All_Attachments_Combined.pdf

Attachment J.1

BACKGROUND INFORMATION

C.1 BIH DIASPORA DEMOGRAPHICS

With more than 2 million individuals living abroad, the BiH diaspora is equal to 56.6% of the current population of the state of BiH (3.53 million) according to the BiH Agency for Statistics, which makes BiH the top emigrating country in Europe’s emerging markets. The BiH diaspora is distributed among many countries, with large diaspora settled in Europe and the successor states to the former Yugoslavia, United States, Canada, and Australia.

With migration there are often many “push” or “pull” factors that lead people to emigrate. In the case of

BiH, the armed conflict and resulting Balkan Wars (1992-95) “pushed” millions to emigrate resulting in the territorial relocation of 2.2 million inhabitants during this time period. Over 1 million were displaced internally, and 1.2 million fled to foreign countries according to the IOM Study from 2010, Maximizing the Development Impact of Migration-related Development Flows and Investment into Bosnia &

Herzegovina. Nevertheless, it is important to emphasize that the BiH diaspora is not solely borne out of the 20-year postwar period. Dating back to the post-World War I economic boom, BiH emigrants were

“pulled” by the lure of economic opportunity to Turkey, Germany, and other EU countries. These communities have been forged by long-term migration with subsequent generations of

Bosnians/Herzegovinians, who connect with BiH as their heritage and not necessarily origin. Regardless of their destination country or socio-economic status, it is evident that these communities abroad maintain their commitment to family and friends back home. According to the Central Bank of BiH and

Ministry of Human Rights and Refugees, with USD 2.072 billion in remittances coming into the country and with remittance payments making up 13.42 percent of the country’s Gross Domestic Product (GDP), BiH is one of the world’s per capita top remittance receiving countries. However, according to the

World Bank, about 77 percent of remittances, on average, are believed to be spent on immediate needs, such as food, housing and healthcare. Recently, per the BiH Agency for Statistics in April 2016, the deteriorating economic conditions, persistent poverty, and 42% percent unemployment rate, especially among college-educated young adults, has led many to continue emigrating.

DEVELOPMENT HYPOTHESIS

USAID/BiH’s strategic goal is to ensure BiH becomes a more stable country that moves closer to Euro-

Atlantic integration. One of the specific benchmarks for measuring achievement of this goal is progress on the path to EU Accession. The 2012 -2016 USAID/BiH CDCS includes two development objectives

(DOs) to achieve this overarching goal. The first DO strives to overcome political challenges in the country by creating more functional and accountable institutions and actors that meet citizens’ needs, while the second DO focuses on the economic growth of the country with the aim of ensuring that BiH has a competitive, market-oriented economy providing better economic opportunities for all its citizens.

The development hypothesis of the economic growth DO 2 emphasizes that an economy with competition and based on market forces will result in new and better enterprises and ideas that lead to more jobs and opportunities. Private sector-driven economic growth provides the only means for a country to generate the public and private resources it needs to address development challenges on its own and emerge from dependence on foreign aid. Economic growth provides the material basis for progress in all other dimensions of development and long-term stability. Achievement of the economic growth DO requires achievement of two Intermediate Results (IRs):

IR 2.1. Improved capacity of the private sector to compete in the market economy; and IR 2.2. Improved economic aspects of governance relevant to business activity.

This activity contributes to Project 2.1, which directly corresponds to IR2.1 (Attachment J.1, 2.1

Logframe is an essential part of the M&E Template). The development hypothesis of Project 2.1 assumes that the stronger private sector export performance, increased FDI inflows, and domestic direct investments (supported by targeted technological innovation that increases resource efficiency) will restore and accelerate economic growth in BiH while strengthening integrative ties with the EU.

Project 2.1’s purpose is to improve the capacity of the private sector to compete in a market economy.

The Project, as a set of activities, is targeting specific market failures that inhibit performance of private enterprises’ success. This includes addressing specific regulatory and institutional barriers critical for private enterprises, but also strengthening government/public and private organizations that support competitiveness of private enterprises. All activities are carried out through close local partnerships.

The ultimate results will be a more competitive private sector able to withstand competitive pressures and market forces within the EU (Copenhagen criteria) underpinned by sustained and expanded employment opportunities.

The Harnessing Bosnia and Herzegovina Diaspora for Economic Development Activity will be primarily contributing to Project 2.1 Sub-purpose 2.1.2-1 Investment Growth – Increased investment in the private sector and Project 2.1 purpose. The development hypothesis for this activity is that if linkages are made between domestic investment opportunities and diaspora capital/knowledge, if business enabling obstacles are reduced, and if diaspora have access to finance, technical assistance, and grants to start and expand enterprises than diaspora investment in BiH will increase which will contribute to job creation.

C.2 CONTRACT OBJECTIVES AND EXPECTED RESULTS

C.2.1. Leveraging diaspora input, into the development of an institutional policy framework for diaspora investment.

A Development Context

Contrary to the current trend among many countries with large diaspora populations, according to a

Handbook for Policymakers and Practitioners in Home and Host Countries: Developing a Road Map for

Engaging Diasporas in Development, BiH does not have a separate Ministry for Diaspora, nor does it have a coherent diaspora policy framework. Instead, duties concerned with BiH’s diaspora are dispersed over several ministries and agencies at the State level (instead of at the Entity or local levels).

According to the Law on Ministries and Other Administrative Bodies of BiH, which was adopted in 2003, the Ministry of Foreign Affairs has the responsibility to protect the rights and interests of BiH citizens abroad, both temporary and permanent. It is also concerned with the coordination of the work of

Bosnian embassies and other consular bodies, and of the cooperation with emigrated Bosnians.

Although the Ministry of Foreign Affairs has the overall responsibility of cooperation with BiH diaspora, the main body responsible for diaspora policy is the Department for Diaspora, located in the Ministry for

Human Rights and Refugees. This department is in charge of formulating a diaspora policy, but one has yet to be drafted.

At the Entity level, the Ministries of Finance and Economy also support diaspora investment; however this is not coordinated with the State level Ministry of Human Rights. To further complicate the fragmentation of roles and responsibilities assigned to different government ministries and institutions, the Ministry of Civil Affairs and the BiH Agency for Labor and Employment both have minor responsibilities related to the education of migrant children abroad and on bilateral agreements on employment and circular migration per “Policies and Politics in Diaspora Contribution: Effects of

Migrant Sending and Receiving Government Policies on Diaspora Contribution to the Home Country -

Including a Case Study on the Bosnian Diaspora in Germany – “Puck Graflaand”

When compared to Serbia, Montenegro, and Kosovo that have adopted National Level Diaspora

Strategies, BiH is lagging behind other countries in the region. The BiH diaspora is highly dissatisfied with the absence of government support according to the BiH Agency for Statistics. Current streamlined initiatives to engage diaspora tend to be rather limited, unsystematic, and not undertaken in the spirit of co-creation with BiH diaspora groups. Realizing the significant impact that diaspora could play in BiH economic development several local NGOs organized Bosnian Diaspora Business Forums (Mostar and

Prijedor -2013, Sarajevo-2014 and Banja Luka-2015) which brought together significant number of diaspora entrepreneurs who expressed their interest to invest in the country. Participants in these forums concluded that the BiH diaspora is a great asset which has not been sufficiently exploited, not only in terms of investments, but in the transfer of modern technology and experience in contemporary economic management and business acumen that are extremely necessary to further BiH’s development. However, it was also highlighted that for such development potential to be fulfilled, effective institutional policies are vital. The same conclusions were made at the last Bosnian Diaspora

Congress that was held in spring 2016. Despite these repetitive calls for a coherent diaspora policy from the diaspora community, no such framework has been drafted or adopted.

In addition, bureaucratic, regulatory and other informal barriers are difficult to negotiate for Diaspora investors not living in the country. The 2014 report “Diaspora and Development in Bosnia and

Herzegovina,” noted that “there is a lack of institutional capacity for more active diaspora engagement in development” due to the complex administrative, economic, and political environment in BiH. The report “To BiH or not to BiH?" that discussed the return of young diaspora to the BiH labor market, identified that “while many migrants are interested in entrepreneurship, few actually initiate business activities upon return. This indicates obstacles and complications linked to doing business in BiH per “To

BiH or not to BiH?”: A report on the return of young Diaspora to the BiH labour market, MDG

Achievement Fund, Youth Employability and Retention Programme. The World Bank estimates that in

Sarajevo, starting a business requires an average of 37 days and 11 separate procedures, well above the average for the region. These barriers are difficult to negotiate for diaspora investors not living in the country. In an effort to promote the growth of businesses in its entity, the Republika Srpska (RS) passed a series of amendments in the fall and winter of 2013 to create an RS one-stop-shop for business registration. Although the RS centralized the process of registering a business, ostensibly making it easier, faster, and cheaper for new business owners to register their companies in eleven towns of the

RS, http://photos.state.gov/libraries/sarajevo/30982/pdfs/2014-investment-climate-statement.pdf, it still does not provide investment information, business advisory services, or outreach activities to potential diaspora investors.

The BiH Government under the leadership of the Ministry of Human Rights and Refugees has plans to develop a migration policy which would, among other things, articulate BiH programs and activities aimed at promoting diaspora economic engagement. Other organizations, including UNDP and IOM funded by Swiss Cooperation Programme, have expressed interest in supporting development of this policy. Therefore, USAID does not intend to be significantly involved in this effort but will provide some support through: 1) an assessment of barriers to diaspora investment; and 2) facilitating, when practical, diaspora input into the process.

Note further that the results of the assessment may be used to inform other development programs aimed at improving the business environment, including those implemented by USAID, the World Bank, and the European Union.

C.2.2. Expand diaspora direct investment by providing technical assistance and grants to eligible early-stage SMEs and start-ups.

A Development Context

Overall, BiH migrants can be considered quite entrepreneurial; with a considerable number (32%) having or intending to invest in their place of migration. Compared to this, a relatively few (6%) have invested in BiH to date. This level of past investment in the country of origin is considerably lower than for other countries studied. Looking forward, 26 per cent of all Bosnian migrants are planning to initiate or expand an investment in a business enterprise in BiH in the future. The investment intentions of

Bosnian immigrants are very similar across socio economic factors, including income, education and sector for employment, among others according to the Maximizing the Development Impact of

Migration-Related Financial Flows and Investment to Bosnia and Herzegovina-IOM International

Organization for Development and IASCI International Agency for Source Country Information.

Bosnia and Herzegovina (BiH) is one of the world’s top per capita remittance receiving countries.

According to the Central Bank, in 2014 $2.3 billion in official remittances entered the country representing 13 percent of Gross Domestic Product (GDP). It is generally presumed that remittances are primarily destined for consumption (the World Bank estimates approximately 77 per cent). The remaining 23 percent of remittances could be directed towards investment. However, a notable problem associated with remittances is a lack of associated financial sector products that successfully leverage remittances for productive investments. These could include products that direct investments to small and medium enterprises (SMEs), portfolio investments in emerging stock markets or government bonds, philanthropic contributions, and/or the development of trade and business networks for joint ventures.

In general, a few financial institutions have attempted to provide banking products and services to remittance recipients in developing countries, but none have sought directly to leverage diaspora as investors. Additionally, commercial bank financing for BiH’s established SMEs exists, although it is very limited for early-stage SMEs seeking to expand and/or diversify operations. These banks have limited experience with cash-flow based lending to the diaspora segment, so there is plenty of room for improvement. This is very relevant for diaspora-based businesses, which are early stage and lack credit history in BiH, to secure access to finance. Proactive financial institutions are eager to work with diaspora but do not know their socio-economic profile or how to reach them."

C.2.3. Develop sustainable local platform to provide business services and facilitation to potential diaspora investors.

A. Development Context

In contrast to the high unemployment levels in BiH, the majority of BiH emigrants are economically active per the IASCI/IOM, 2010 and, on average, the employment rate of the BiH diaspora labor force is around 80% according to the BiH Ministry of Human Rights and Refugees. Brain drain remains one of the major problems that the country is facing. According to the World Economic Forum, Bosnia and

Herzegovina was ranked 140 out of 144 countries. An extensive UNDP research carried out by Oxford

University found that 62.6 % of BiH youth would like to leave the country due to employment concerns -

Maximising the Development Impact of Migration-related Financial Flows and Investment from Austria to Bosnia and Herzegovina Prepared for OeEB by International Agency for Source Country Information

(IASCI) and International Organization for Migration (IOM), Vienna Mission.

Meanwhile, BiH has done very little in terms of responding to these challenges. In particular, it has not strategically created programs to keep talented youth in-country nor has it engaged its highly qualified

Diaspora in order to counter these negative trends. There are many self-organized BiH diaspora associations worldwide. The Ministry of Human Rights and Refuges has official information on two hundred and seventeen associations, but, according to the Ministry, there are many more. A comprehensive database about BiH diaspora organizations and their activities does not exist. Some diaspora organizations are focused on helping their communities of origin improve the quality of life in their host countries or on fundraising activities for humanitarian needs. Many actively look for ways to

“give-back” to their country or hometowns of origin. They include:

BiH diaspora World Umbrella Association headquartered in the U.K that represents 25 associations worldwide as described in a Letter from Diaspora Congress to USAID Mission

Director requesting USAID assistance in creating policy framework and diaspora investment opportunities;

Bosnian-Herzegovinian American Academy of Arts and Sciences that gathers several hundred prominent academia members, scientists, and experts from the Unites States and Canada focused on transferring their professional knowledge philanthropically to BiH;

Bosana Foundation from Los Angeles that helps orphaned and marginalized youth from BiH by providing job training, internships, and mentoring;

Swedish Academics, Artists, and Entrepreneurs Network (APU) with 250 industry and academia experts from Scandinavia; and

Australian Union of BiH Associations.

While each of these diaspora groups is individually attempting to become more engaged in BiH’s economic development, there is a lack of collaboration among them and the absence of a single, official platform established by the BiH government or some other institutions (NGO or private sector initiative) that could help streamline these fragmented diaspora efforts. There is a lack of interaction and coordination with BiH’s direct investment needs. The utilization of the latest online technologies and social media communities would create additional opportunities for diaspora organizations to facilitate contributions to the country’s development in very efficient ways.

ATTACHMENT J.2

NAME OF THE ACTIVITY AND ACRONYM

Monitoring and Evaluation Plan (note the document version, e.g. draft, revised)

Period of coverage (should cover the entire Activity implementation period, e.g.

October 1, 2014–September 30, 2019)

Date of Submission This publication was produced for review by the United States Agency for International Development by (implementing partner)

NAME OF THE ACTIVITY AND ACRONYM

Monitoring and Evaluation Plan (document version)

Period of coverage (from-to)

Prepared under the USAID’s Bosnia and Herzegovina ________________Activity, Contract Number _______________(or Cooperative Agreement Number or Grant Number)

Submitted to:

USAID/Bosnia Herzegovina, _________(month, year)

Implementing Partner (IP):

Disclaimer This document is made possible by the generous support of the American people through the United States Agency for International Development (USAID). The contents are the responsibility of ____________ (implementing partner) and do not necessarily reflect the views of USAID or the United States government.1

1 FYI, in case of multilateral funding, also acknowledge other donors, e.g. suppose Sweden is participating in the Activity through Swedish International Development Cooperation Agency (Sida), then the phrasing would be “generous support of the American and Swedish people, through the United States Agency for International Development (USAID) and Swedish International Development Agency (Sida).” Also include the same acknowledgement on the front page. Further, restate the caveat clause to “and do not necessarily reflect the views of USAID, Sida, or the United States or Swedish government.”

USAID _________________ MONITORING AND EVALUATION PLAN– DATE 0

Table of Contents

1. ACTIVITY AND HOW IT SUPPORTS USAID PROJECT

1.1 Activity Description

1.2 Activity LogFrame and How Activity Contributes to USAID Project

1.2.1 Relevant Project LogFrame

1.2.2 Activity LogFrame

1.2.3 Description of the Activity LogFrame and Underlying Development Hypothesis, Assumptions, and Risks

1.2.4 How Activity Contributes to Project

1.3. Organizational Structure of Activity and Tasks to Achieve Results

2. PERFORMANCE INDICATORS AND REPORTING

2.1 Indicators

2.2 Information and Data Sources

2.3 Responsibilities of the XYZ Team

2.4 Quality Control and Data Verification

2.5 Baselines and Targets

2.6 Data Collection and Analysis

3. EVALUATION FRAMEWORK AND LEARNING APPROACHES

APPENDIX 1. PROJECT LOGICAL FRAMEWORK CONNECTIONS TO

ACTIVITY LOGICAL FRAMEWORK

APPENDIX 2. USAID/BiH PROJECT LOGICAL FRAMEWORKS

APPENDIX 3. EXAMPLE OF LEVELS OF RESULTS MEASURED

APPENDIX 4. VERTICAL AND HORIZONTAL LOGIC OF THE LOGICAL

FRAMEWORK APPROACH

APPENDIX 5. INDICATOR PERFORMANCE TRACKING TABLE (IPTT) TO

BE ATTACHED TO ACTIVITY QUARTERLY AND ANNUAL

REPORTS

APPENDIX 6. PERFORMANCE INDICATOR REFERENCE SHEETS (PIRS)

TO BE ATTACHED TO THE ACTIVITY M&E PLAN

APPENDIX 7. SCHEDULE OF PERFORMANCE MONITORING TASKS AND

RESPONSIBILITIES TO BE USED IN ACTIVITY WORK PLANS26

USAID/BiH _________________ (Activity name) MONITORING AND EVALUATION PLAN____ (period covered) 1

1. ACTIVITY AND HOW IT SUPPORTS USAID PROJECT

This document is the Monitoring and Evaluation (M&E) Pan for the USAID/BiH _____________ Activity for the period _______ (life of Activity).

Section 1 is the description of the Activity and its contribution to the relevant USAID/BiH Project2. Section 2 describes the Activity’s performance indicators and reporting (M&E system) and Section 3 discusses evaluation framework and learning approaches.

In order to have a well-designed and comprehensive M&E system at Activity level, the development of the Activity LogFrame (see section 1.2.2 and Appendix 3) should be closely based on the relevant Project Logical Framework (LogFrame) (see section 1.2.1 and Appendices 1 and 2). There should be clear connection between the two LogFrames.

The Activity Development Hypothesis needs to be explained clearly within the M&E Plan (see section 1.2.3 and Appendix 4).

M&E Plan developed by each Activity needs to include Performance Indicator Summary Worksheet (see section 2.2). This Worksheet should serve as the basis for the development of more detailed Indicator Performance Tracking Table (IPTT) (see Appendix 5), which should be used for reporting within each Activity Quarterly and Annual Report.

In addition to the Performance Indicators Summary Worksheet, initial M&E Plan must include an Appendix with Performance Indicator Reference Sheets (PIRS) for each Activity indicator (see Appendix 6). For Project-level indicators which your Activity reports on, contact USAID MEASURE- BiH or your COR/AOR to receive Project-level PIRS, based on which you should prepare your Activity PIRS using definition, data source, and methodology in line with the Project-level specification. For Project-level indicators which are included in your Activity LogFrame, but which your Activity does not report on (for example, secondary data indicators), you do not have to develop PIRS documentation (it is prepared by USAID MEASURE-BiH or your COR/AOR).

Initial Activity M&E Plan should be developed simultaneously with the Activity Work Plan, with clear timeline and responsibilities (see Appendix 7).

It should be noted that the narrative part of the M&E Plan should explain general approach for the indicated sections, while the table templates (PIRS and Performance Indicators Worksheet) should include specificities for each individual indicator.

Also note that templates/figures/explanations given in the Appendices of this document should not be included in your Activity M&E Plan, they are attached here for the purpose of resource/background/information, with the exception of Appendix 6 (PIRS). Appendix 6 should be used as template for PIRS documentation which your Activity needs to develop for each indicator and attach it to your Activity M&E Plan as an Appendix. In addition, your Activity M&E Plan needs to include relevant USAID/BiH Project LogFrame, which you should copy into 1.2.1 straight from the Appendix 2 of this document.

Please note that once the Activity M&E Plan is approved it is valid for the entire duration of Activity and targets defined over the life of Activity which are set in PIRS documentation attached to the

2 Current Version of USAID-BiH Project Logical Frameworks (LogFrames) are presented in Appendix 2.

USAID/BiH _________________ (Activity name) MONITORING AND EVALUATION PLAN____ (period covered) 2

M&E Plan should not be changed. Any change in either name/definition of indicators or the value of targets requires adjustment and the approval of the new M&E Plan (with associated explanations of reasons for changes) by USAID/BiH. Data on actuals is reported regularly in Indicator Performance Tracking Tables within Quarterly/Annual Reports (with the targets in those Tracking Tables reflecting the exact targets set within the PIRS documentation of the Activity M&E Plan) and the analyses of actuals should be given in the textual part of the Quarterly/Annual Reports.

Please delete instructions/explanations as you fill in your Activity M&E Plan.

1.1 Activity Description

Insert the Activity Purpose as defined in the Contract/Grant/Cooperative Agreement and a brief general overview of the Activity.

1.2 Activity LogFrame and How Activity Contributes to USAID Project

In this section, present your Activity LogFrame in the required format provided in the sub-section

1.2.2 with necessary explanations.

The Activity LogFrame is usually developed by the USAID Mission in the Activity design phase. If the Activity LogFrame has not been developed yet in the required format, please refer to the Appendix 1, which explains how to develop the Activity LogFrame from the relevant Project LogFrame.

In sub-section 1.2.1, copy the relevant LogFrame for the Project your Activity contributes to from Appendix 3.

In sub-section 1.2.2, fill in your Activity LogFrame in the provided template. Please delete the instructions/explanations as you fill in the LogFrame.

In sub-section 1.2.3, describe the logic of your Activity LogFrame, i.e. Activity Development Hypothesis, as well as underlying assumptions and risks.

In sub-section 1.2.4, discuss how the Activity contributes to the Project LogFrame Results.

1.2.1 Relevant Project LogFrame

Please copy the relevant Project LogFrame from the Appendix 2.

USAID _________________ MONITORING AND EVALUATION PLAN– DATE 3

1.2.2 Activity LogFrame

Please fill in your Activity Logframe.

Level of result Narrative Summary Indicators Data Sources Assumptions Activity Goal Activity Goal usually corresponds to the USAID Project Purpose or to the

USAID Project Sub-purpose. Select the appropriate result from the list below.

57T 57T

What is the performance indicator you will use to determine the Activity’s contribution to the Goal? A good indicator includes the unit of measure, but not the desired direction. Employ the relevant indicators from the Project LogFrame.

Specify where the indicator data will come from?

Activity Purpose This is the purpose of the Activity’s existence, the key result to be achieved by the Activity. It usually correspond to the USAID Project Sub-purpose or to Project Outputs. Select below from the list of Project Sub-purposes and Project Outputs.

57T 57T

What are the performance indicators you will use to determine the achievement of this result? A good indicator includes the unit of measure, but not the desired direction. A result should generally have minimum 1 and maximum 3 indicators.

Same as above. If the purpose is achieved, which assumptions must hold true to achieve the Activity Goal? If the Activity team can influence or control an action, it should not be listed as an assumption but rather an input, output, or sub-purpose.

Activity Sub-purpose 1 Activity Sub-purpose is a more elaborate and specific definition of the Activity Purpose. Number of sub-purposes should not go beyond manageable

Same as above. Same as above.

If this sub-purpose is achieved, which assumptions must hold true to achieve the Activity Purpose? If the Activity team can influence or control an action, it should not be listed as an assumption but rather an input, output, or sub-purpose.

Activity Outcome/ Output 1.1

Outputs are the tangible, immediate, and intended products or consequences of an activity within USAID’s control or influence, produced as a direct result of inputs. Outcomes are the conditions affecting people, systems, or institutions that indicate progress or lack of progress toward achievement of goals. Outcomes are any results higher than an output to which a given Activity output contributes to but for which the Activity is not solely responsible.

One or more Outcomes/Outputs contribute to one sub-purpose, although in reality it might relate to different sub-purposes.

If this outcome/output is achieved, which respective sub-purpose? If the Activity team can influence or control an action, it should not be listed as an assumption but rather an input or an output.

Activity Input 1.1.1 List key tasks to achieve the respective Activity Outcome/Output. List key general inputs necessary per each respective task, such as human and physical resources. In order to organize a training for example, rented facilities, equipment, trainer, materials, etc. would be listed here.

Same as above. If this input is invested and Activity tasks implemented, which assumptions must hold true to achieve the respective output. If the team can control it, it should not be listed as an assumption, but an input.

Activity Outcome/ Output 1.2

Outputs are the tangible, immediate, and intended products or consequences of an activity within USAID’s control or influence, produced as a direct result of inputs. Outcomes are the conditions affecting people, systems, or institutions that indicate progress or lack of progress toward achievement of goals. Outcomes are any results higher than an output to which a given Activity output contributes to but for which the Activity is not solely responsible.

One or more Outcomes/Outputs contribute to one sub-purpose, although in

What are the performance indicators you will use to determine the achievement of this result? A good indicator includes the unit of measure, but not the desired direction. A result should generally have minimum 1 and maximum 3 indicators.

Same as above. If this outcome/output is achieved, which assumptions must hold true to achieve the respective sub-purpose? If the Activity team can influence or control an action, it should not be listed as an assumption but rather an input or an output.

USAID/BiH _________________ (Activity name) MONITORING AND EVALUATION PLAN____ (period covered) 4

Activity Input 1.2.1 List key tasks to achieve the respective Activity Outcome/Output. List key general inputs necessary per each respective task, such as human and physical resources. In order to organize a training for example, rented facilities, equipment, trainer, materials, etc. would be listed here.

Same as above. If this input is invested and Activity tasks implemented, which assumptions must hold true to achieve the respective output. If the team can control it, it should not be listed as an assumption, but an input.

Activity Sub-purpose 2 Activity Sub-purpose is a more elaborate and specific definition of the Activity Purpose. Number of sub-purposes should not go beyond manageable

If this sub-purpose is achieved, which

Activity Purpose? If the Activity team can influence or control an action, it should not be listed as an assumption but rather an input, output, or sub-purpose.

Activity Outcome/ Output 2.1

Outputs are the tangible, immediate, and intended products or consequences of an activity within USAID’s control or influence, produced as a direct result of inputs. Outcomes are the conditions affecting people, systems, or institutions that indicate progress or lack of progress toward achievement of goals. Outcomes are any results higher than an output to which a given Activity output contributes to but for which the Activity is not solely responsible.

One or more Outcomes/Outputs contribute to one sub-purpose, although in

If this outcome/output is achieved, which respective sub-purpose? If the Activity team can influence or control an action, it should not be listed as an assumption but rather an input or an output.

Activity Input 2.1.1 List key tasks to achieve the respective Activity Outcome/Output. List key general inputs necessary per each respective task, such as human and physical resources. In order to organize a training for example, rented facilities, equipment, trainer, materials, etc. would be listed here.

Same as above. If this input is invested and Activity tasks implemented, which assumptions must hold true to achieve the respective output. If the team can control it, it should not be listed as an assumption, but an input.

Activity Outcome/ Output 2.2

Outputs are the tangible, immediate, and intended products or consequences of an activity within USAID’s control or influence, produced as a direct result of inputs. Outcomes are the conditions affecting people, systems, or institutions that indicate progress or lack of progress toward achievement of goals. Outcomes are any results higher than an output to which a given Activity output contributes to but for which the Activity is not solely responsible.

One or more Outcomes/Outputs contribute to one sub-purpose, although in reality it might relate to different sub-purposes.

What are the performance indicators you will use to determine the achievement of this result? A good indicator includes the unit of measure, but not the desired direction. A result should generally have minimum 1 and maximum 3 indicators.

Same as above. If this outcome/output is achieved, which assumptions must hold true to achieve the respective sub-purpose? If the Activity team can influence or control an action, it should not be listed as an assumption but rather an input or an output.

Activity Input 2.2.1 List key tasks to achieve the respective Activity Outcome/Output. List key general inputs necessary per each respective task, such as human and physical resources. In order to organize a training for example, rented facilities, equipment, trainer, materials, etc. would be listed here.

Same as above. If this input is invested and Activity tasks implemented, which assumptions must hold true to achieve the respective output. If the team can control it, it should not be listed as an assumption, but an input.

USAID _________________ MONITORING AND EVALUATION PLAN– DATE 5

1.2.3 Description of the Activity LogFrame and Underlying Development Hypothesis, Assumptions, and Risks

In this section, lay out the Activity Development Hypothesis, which is the narrative description of your Activity LogFrame. See Appendix 4, which explains vertical and horizontal logic of the LogFrame approach.

Also explain how the Activity will monitor its Development Hypothesis in order to determine whether it is valid and that it could potentially be modified if data so indicates.

Finally, please describe what assumptions were used in the development of indicators, and how (if altered) those assumptions would affect Activity implementation, and thus, your ability to meet targets and expected results. You can group those however you wish: general/Activity-specific; by type of underlying risk (such as, macro- or microeconomic, exogenous, endogenous, etc.).

1.2.4 How Activity Contributes to Project

In this sub-section, please draft a narrative that explains how the Activity contributes to the USAID/BiH Project results.

If possible, also discuss how your Activity relates to other USAID-funded activities that contribute to the same Results in the relevant Project and how you may coordinate your tasks.

1.3. Organizational Structure of Activity and Tasks to Achieve Results

In this section, please present the organizational structure of the Activity and the major tasks to be undertaken to achieve results.

USAID/BiH _________________ (Activity name) MONITORING AND EVALUATION PLAN____ (period covered) 6

2. PERFORMANCE INDICATORS AND REPORTING

2.1 Indicators

This is the sub-section which should include discussion of general characteristics of your Activity indicators, including baseline and targets. Explanation should include discussions on why your Activity selected specific indicators and why.

For example:

“Indicators have been identified for each Activity result. These indicators are sufficient to enable a full report on the achievement of each intended objective. The indicators are designed to enable the XYZ team and USAID/BiH to: capture and communicate major Activity results; and track implementation progress.”

In this section, discuss the Activity LogFrame Outcome/Outputs, Sub-Purpose, and Purpose, and present the indicators you will employ to measure these. Please include these in a matrix form, using the following template:

Performance Indicator Summary Worksheet (with Annual Targets) to be Included in

M&E Plan

Unit of Measure

Disaggre-gation

Frequency Data

Source

Overall Activity Baseline

Target for Fiscal Year 1

Target for Year 2

Target for Year 3

Target for Year X

Life of Activity

Cumulative Target*

Activity Goal:

Number and name of indicator 1: E.g. Total amount of…

Activity Purpose:

Number and name of indicator 2:

Number and name of indicator 3:

Add rows per each indicator…

Activity Sub-Purpose:

Number and name of indicator x:

Add rows per each indicator…

Add rows per each sub-purpose…

Activity Outcome/Output:

Number and name of indicator x:

Add rows per each indicator…

*All targets need to be annual, except for the final column which shown Life of Activity Cumulative Target.

USAID/BiH _________________ (Activity name) MONITORING AND EVALUATION PLAN____ (period covered) 7

In addition to this Summary Worksheet, Activity M&E Plan should have an Appendix with Performance Indicators Reference Sheet (PIRS) documentation (one per each indicator), which focuses in more detail on each individual performance indicator. The PIRS includes all the information shown in the table above for a single performance indicator, it also includes additional information, such as Data Quality issues, plans and the estimated costs of obtaining performance data for the indicator addressed, etc.

Use the PIRS template given in Appendix 6 in this document to develop PIRS for each of your Activity indicators, which you will attach to your M&E Plan.

Specifying each indicator in detail within PIRS facilitates data consistency and clarity throughout the life of the Activity.

2.2 Information and Data Sources

Please discuss general approaches related to data and information sources.

For example:

“The information needed for the M&E system comes from a variety of sources. We will collect basic M&E information directly from participating organizations/beneficiaries— (list)—using a set of standardized tools. We will collect additional M&E data, when necessary, from the various administrative and technical records of ____________. When appropriate, we will also consult secondary sources of data— (list of secondary sources).

It should be noted that there must be a balance between M&E data collection and XYZ technical responsibilities. Our M&E system is designed so that, rather than presenting a data collection burden for Activity staff and their counterparts, it complements ongoing technical activities. Care was taken to eliminate indicators that were correlated, redundant, or not indicative of Activity performance. The Activity will employ appropriate information technology in M&E system implementation to ease the burden of data entry and management and employ user-friendly information systems for data entry and analysis. “

2.3 Responsibilities of the XYZ Team

Please describe here who is responsible for what in your M&E system.

2.4 Quality Control and Data Verification

Please explain here how you will ensure data quality and verifiability. Who is responsible for what in your M&E system data quality control and verification?

For example:

“XYZ technical staff will provide initial quality control for the various M&E raw data elements. After data entry is completed, the COP will conduct data quality control by examining the quantitative data to identify common errors including logical inconsistencies, out-of-range values, significant departures from trends, or other errors. Should any problem be identified, the COP will help the technical units verify data against original sources and alternate data sources, when they are

USAID/BiH _________________ (Activity name) MONITORING AND EVALUATION PLAN____ (period covered) 8 available. Any quality issues will be noted and elaborated in regular reports. The same quality control system will apply to qualitative information.

A great deal of primary data will be recorded as part of XYZ’s normal business practice. XYZ staff will review the data to ensure their accuracy. When an issue is identified, the COP will discuss the issue with relevant XYZ team member and find a way to resolve it. Information voluntarily disclosed by the counterparts will be treated bona fide. The data analysis, when included in the quarterly and annual reports, will also document specific changes in data and further verification analysis as necessary.”

2.5 Baselines and Targets

In this section, discuss how the baseline and targets were set; what the process was; how data was collected; where these data can be found, etc.

In particular, discuss how you expect to accomplish the targets, and the process you will employ to monitor the progress and revise the targets if necessary. Targets are set after completing an analysis that illustrates what realistic targets are.

2.6 Data Collection and Analysis

Please briefly explain Activity’s general approach to collecting and analyzing data.

For example:

“In order to review the data generated through the M&E plan to measure progress toward achieving Activity objectives and to report to USAID, XYZ has designed data collection tools and instruments that are for internal use; but they will be made available to USAID upon request and during a Data Quality Assessment. Data analysis will primarily be done using spreadsheets and formulas calculating results to reduce human errors. All calculations will be made available to USAID upon request and during a Data Quality Assessment.”

Explain what types of data collection instruments are used (for example, sign-in sheets, data entry forms, questionnaires/surveys, secondary data, third party data etc.).

USAID/BiH _________________ (Activity name) MONITORING AND EVALUATION PLAN____ (period covered) 9

3. EVALUATION FRAMEWORK AND LEARNING APPROACHES

In this section, discuss any plans for evaluation of your Activity, either commissioned separately by USAID/BiH (external evaluation) or your own (internal evaluation).

Discuss the major evaluation questions that you perceive important for your Activity and how it can be ensured that adequate data (including baseline data) is collected to answer these questions.

Discuss what methodologies would be most appropriate.

If comparison groups are to be established, discuss how these groups will be established and monitored, how baseline data will be collected, and how follow-up data will be collected during implementation.

If applicable, discuss plans for any initial assessments or analyses required for informing Activity implementation, as well as any suggestions for innovative evaluation approaches and collaboration of your Activity with external evaluation teams.

Discuss how you plan to use the findings and recommendations from any evaluation to improve your Activity. Also discuss learning approaches you will use and how you will provide knowledge as an input into the Mission and the Agency wide learning approaches.

USAID _________________ MONITORING AND EVALUATION PLAN– DATE 10

Project – Activity Connections When the Activity Logical Framework is being developed, the starting point is the appropriate USAID Project Logical Framework.

Case 1 (outline arrows) Project Purpose serve as the Activity Goal when the Activity is of high-value/high-level in terms of desired results comparing to others in the Mission. In this case, one of the Project Sub-purposes will serve as the Activity Purpose, and some of the Project Outcomes/Outputs as the Activity Sub-purposes.

Case 2 (filled arrows) Project Sub-purpose is, in many cases, the Activity Goal. Then one of the Project Outputs is the Activity Purpose, and Project Inputs can serve as the Activity Sub-purposes.

These two cases illustrate the most usual cases, however, for some activities, Activity goal can correspond to Project result at lower level (i.e. Project Outcome/Output).

In addition, in some cases, the exact wording does not match between the two LogFrames, but in the M&E Plan, the connection should be clearly stated.

APPENDIX 1. PROJECT LOGICAL FRAMEWORK CONNECTIONS TO ACTIVITY LOGICAL FRAMEWORK

Project Logical Framework

Level of Result Project Goal

Project Purpose

Project Sub-purpose

Project Outcome/Output

Project Input

Activity Logical Framework

Level of Result Activity Goal

Activity Purpose

Activity Sub-purpose

Activity Outcome/Output

Activity Input

USAID _________________ MONITORING AND EVALUATION PLAN– DATE 11

APPENDIX 2. USAID/BiH PROJECT LOGICAL FRAMEWORKS

Project 1.1 More effective judicial, executive and legislative branches of government

Level of Result Narrative Summary Indicators Data Sources

Project Goal 1.

1. More functional accountable institutions and actors that meet citizens' needs

1-A Freedom House, Nations in Transit Democracy Score 1-B World Bank Worldwide Governance Indicators Government Effectiveness Percentile Rank 1-C Percentage of citizens satisfied with public service delivery

Freedom House NIT Website

World Bank Worldwide Governance Indicators Website

National Survey, MEASURE-BiH

Project Purpose 1.1.

1.1. More effective judicial, executive and legislative branches of government.

1.1-a.1 BiH Legislative Capacity Index Score

1.1-a.2 FBiH Legislative Capacity Index Score

1.1-b.1 World Justice Project Rule of Law Index – Civil Justice

1.1-b.2 World Justice Project Rule of Law Index - Criminal Justice

1.1-c NIT's Local Democratic Governance Score

Activity reports

Activity reports

World Justice Project Rule of Law Index Website

World Justice Project Rule of Law Index Website

Freedom House NIT Website

Project Sub-purpose 1.1.1.

More effective, independent and accountable justice actors

1.1.1-1 Judicial Effectiveness Index Score 1.1.1-2 Percentage of citizens confident in in the rule of law 1.1.1-3 Number of judicial personnel trained with USG Assistance

JEI Report, MEASURE-BiH National Survey, MEASURE-BiH

Activity reports

Project Outcome/ Output 1.1.1.1.

Status and performance of prosecutors/offices strengthened

1.1.1.1-1 Percentage of investigations completed for cases of corruption and economic crime 1.1.1.1-2 Number of Partner Prosecutor Offices with score 4 or 5 on JSA Prosecutors Office Capacity Matrix (POCM) for appraisal process dimension

HJPC Reports

Activity reports

Project Outcome/ Output 1.1.1.2.

Efficiency in the enforcement of courts' decisions improved

1.1.1.2-1 Number of unresolved civil execution cases

HJPC Reports

Project Outcome/ Output 1.1.1.3.

Justice sector institutions strengthened to combat corruption

1.1.1.3-1 Summary score of Judicial Effectiveness Index (JEI-BiH) components related to prosecutors’ efficiency in combatting corruption

1.1.1.3-2 Percentage of citizens who perceive the judiciary effective in combating corruption

JEI Report, MEASURE-BiH

1.1.2.

Strengthened government's capacity to counteract trafficking in persons

1.1.2-1 State Department's country ranking

U.S. Department of State Trafficking in Persons Report Website

1.1.3.

BH governing institutions' capacity to adopt, implement and account for more effective policies, laws, and budgets that address critical EU accession issues

1.1.3-1.a BiH Score on Legislative Capacity Index (LCI) - Policy Development and Law Making Dimension

1..1.3-1.b FBiH Score on Legislative Capacity Index (LCI) - Policy Development and Law Making Dimension

Output 1.1.3.1.

The quality and effectiveness of legislation is improved as a result of increased use of evidence-based policy development in the law making process

1.1.3.1-1 Score on Standard Policy Development Methodology - SPDM Matrix https://freedomhouse.org/report/nations-transit/2014/bosnia-and-herzegovina#.VW7E8k39nIV http://info.worldbank.org/governance/wgi/index.aspx#countryReports http://worldjusticeproject.org/rule-of-law-index/ http://worldjusticeproject.org/rule-of-law-index/ https://freedomhouse.org/report/nations-transit/2014/bosnia-and-herzegovina#.VW7E8k39nIV http://www.state.gov/j/tip/rls/tiprpt/

USAID/BiH _________________ (Activity name) MONITORING AND EVALUATION PLAN____ (period covered) 12

Output 1.1.3.2.

Increased parliament's participation and expertise in, and scrutiny of, budget preparation, review, adoption, implementation, and oversight processes

1.1.3.2-1.a BiH Score on Legislative Capacity Index (LCI) - Budget Review, Adoption and Implementation Dimension

1.1.3.2-1.b FBiH Score on Legislative Capacity Index (LCI) - Budget Review, Adoption and Implementation Dimension

Output 1.1.3.3.

BiH governing institutions are increasingly accountable and transparent as a result of strengthened systems of public accountability and transparency

1.1.3.3-1.a Ratio of non-compliant agencies and poorly performing programs that are the subject of evidence-based public hearings in BiH

1.1.3.3-1.b Ratio of non-compliant agencies and poorly performing programs that are the subject of evidence-based public hearings in FBiH

1.1.4.

Strengthened local governments’ ability to deliver public services

1.1.4-1 Municipal Capacity Index score

1.1.4-2 Percentage of citizens satisfied with the quality of services provided by local government

TBD

National Survey, MEASURE-BiH

Project Outcome/ Output 1.1.4.1.

Improved intergovernmental functional and fiscal framework in both BiH entities

1.1.4.1-1 Percentage of…