Rapò Final Pwogrè USAID/HAITI SIPÒ HICD POU SONAPI

i Final Completion Report AID OAA - 1 - 13 - 000511/ AID - 521 - TO - 17 - 00001 Submitted January 2 6 , 2018 International Business & Technical Consultants, Inc. 8618 Westwood Center Drive, #400 Vienna, VA 22182 Contact: J ames C. Ma rtin jmartin@ibtci.com DISCLAIMER This Deliverable was prepared by International Business & Technical Consultants, Inc. (IBTCI) for review by the United Stat es A gency for International Development. The views expressed in this report do not necessarily reflect the views of the United States Agency for International Development or the United States Government. Cover Photo: Balanced Score Card Training Workshop USAID/HAITI HICD SUPPORT TO SONAPI ii Table of Contents ACRONYMS ................................ ................................ ................................ ................................ ......... iii I. EXECUTIVE SUMMARY ................................ ................................ ................................ .................. 1 II. INTR ODUCTION ................................ ................................ ................................ .............................. 3 III. FINDINGS ................................ ................................ ................................ ................................ ........ 4 IV. ACHIEVEMENTS ................................ ................................ ................................ ............................ 6 A. Performance Solutions Package (PSP) ................................ ................................ ................................ . 6 B. Balanced Score Card (BSC) ................................ ................................ ................................ ................ 8 C. Technical Assistance for PSP Implementation ................................ ................................ .................. 9 V. RECOMMENDATIONS ................................ ................................ ................................ .................. 10 VI. ACTIVITIES UNDERTAKEN SINCE NOVEMBER PROGRESS REPORT ................................ . 11 A. Microsoft Project Training ................................ ................................ ................................ ................ 12 B. Review of SONAPI HR Policies and Procedures Manual ................................ ................................ .. 13 C. Out - Briefing for SONAPI and USAID ................................ ................................ .............................. 14 VII. LESSONS LEARNED ................................ ................................ ................................ ................... 14 ANNEX A: Table of Deliverables ................................ ................................ ................................ ......... 16 ANNEX B: Progress Against Performance Indicators (Indicator Performance Tracking Table) .............. 17 ANNEX C: Funds Obligated and Disbursed ................................ ................................ .......................... 20 ANNEX D: Microsoft Project Training Background Materials ................................ ............................... 21 ANNEX E: Human Resources Policies and Procedures ................................ ................................ .......... 33 iii A CRONYMS BPR Business Process Reengineering BSC DG COR ERP GOH HICD Balanced Score Card Director General Contracting Officer’s Representative Enterprise Resource Planning Government of Haiti Human and Institutional Capacity Development HR HTG IBTCI Human Resources Haitian Gourdes International Business & Technical Consultants, Inc. IT KPI KSA MOU M&E Information Technology Key Performance Indicators Knowledge , Skills , Abilities Memorandum of Understanding Monitoring and Evaluation PIC Parc Industriel de Caracol PIM Parc Industriel de Métropolitain PSP Performance Solutions Package SONAPI Société National des Parcs Industriels USAID United States Agency for International Development 1 I. EXECUTIVE SUMMARY INTRODUCTION The United States Agency for International Development (USAID)/ Haiti contracted International Business and Technical Consultants, I nc. (IBTCI) , u nder the terms of USAID’s HICD Pro IDIQ # AID - OAA - 1 - 13 - 00051 1 and Task Order (T.O.) AID - 521 - TO - 17 - 00001, to perform a Human and Institutional Capacity (HICD) assessment of Haiti’s Société National des Parcs Industriels (SONAPI ). SONAPI is the government - owned regulator and manager of two industrial parks : Parc Industriel de Métro politain (PIM, located in Port au Prince) and Parc Industriel de Caracol (PIC, located on Haiti’s north coast). The initial period of performance for the contract was from May 1 - November 17, 2017, and was subsequently extended by USAID/Haiti until January 5, 2018. PURPOSE AND METHODOLOGY As part of the contract, IBTCI was to perform an HICD assessment of SONAPI, then (together with SONAPI) produce a Performance Solutions Package (PSP) identifying steps to address the performance gaps identified in the assessment. Following that, IBTCI was to support SONAPI in developing a Balanced Score Card (BSC) to track its progress in implementing the recommended measures in the PSP and, to the extent possible, provide limited technical assistance to help begin imp lementation of some of those measures. D irector G eneral Introduction to the Risk Management Training FINDINGS The assessment team’s Final Assessment Report de tailed human and institutional performance gaps ranging from issues as fundamental as a lack of vison regarding what SONAPI seeks to achieve as an organization to as (seemingly) mundane as procedures for hiring and firing employees. SONAPI lacks coherent mission and vision statements, strategic plannin g 2 documents to support such a vis i on , and an organizational structure that would efficiently support such a vision . The organization is so overcentralized that decisions on spending as little as $ 70 must be made by the Director G eneral (DG). It lacks properly written down procedures and policies covering almost its entire range of activities, from F inance and A ccounting, to H uman R esources (HR) , to T enant S ervices. HR w eaknesses were particularly troubling . T here i s a dearth o f procedures for hiring and firing, promotions, and training ; many employees are on annual contracts that make building a professional staff difficult ; and SONAPI employees provide services, such as cleaning and transport, which are not part of its core mi ssion . SONAPI has poor communicati on both internally (to its employees) and externally (to business tenants and potential tenants) and is not organized in a way conducive to proving quality service to its tenants. At SONAPI’s request, the team also provided a paper organogram with recommendations on how SONAPI could reorganize itself for more efficient performance. ACHIEVEMENTS After completing the Assessment Report, the team worked together with SONAPI to devel op the Performance Solutions Package (PSP), containing a total of 4 7 recommendations for addressing the performance gaps identified in the Assessment , including both organization - wide, cross - cutting solutions and solutions in each of 11 function/office - specific areas. Among the k ey recommendation s w ere that SONAPI do a Business Process Reengineering (BPR) for its core business process and key support services to help determine how to organize itself to perform more efficiently; write and fully implement detailed policies and procedures across the organization’s functions; decentralize management procedures in general, and of PIC in particular; consider out - sourcing some services; empower a highly qualified HR professional to bring its HR processes up to international standards; and create a business unit to improve service to tenants and attract new business. SONAPI then developed a Balanced Score Card (BSC) , with support from the assessment team, to detail and track its progress against the individual steps needed to implement each of the recommendations in the PSP. The assessment team provided a three - day training to SONAPI staff on how to produce such a Score Card, and then supported the dedicated SONAPI task that developed the Score c ard , which eventually contained 117 separate steps required to implement its recommendations . To help SONAPI track its performance on the Score Card and as a performance tool in general, IBTCI fu nded training on “ Microsoft Project ” software for a core team of SONAPI professional s and is purchasing the software for SONAPI’s use. As part of its support for implementation of the PSP recommendations, and in addition to the steps mentioned above, the assessment team also provided training to relevant SONAPI staff on risk management , and provided an analysis of and recommendations for SONAPI’s HR proce dures manual. CHALLENGES 3 The assessment team faced challenge s throughout the project . The original three key personnel dropped out and had to be replaced. SONAPI’s commitment to the process was questionable: the team experienced significant delays in access to SONAPI senior management and information (such as SONAPI procedures manuals). SONAPI senior management was a lso v ery slow in providing input to/approving the Assessment Report, PSP, and BSC. RECOM M E N DATIONS The Assessment Team strongly recommends that USAID condition future support for SONAPI on seeing clear evidence of SONAPI ’s commitment to reform, as evidenced by the organization moving forward unilaterally on several of the steps outlined in the BSC and PSP . Illustrative steps could include new Mission and Vison Statements ; creating a new business unit and interactive website for tenant communic ations ; collecting outstanding rent due from tenants; beginning implementation of a decentralization strategy; conducting a cost - benefit analysis for out - sourcing services; and creating/ implementing a strategy for converting one - year employee hiring contracts to permanent ones. Should SONAPI demonstrate such commitment, possible areas for donor support to SONAPI include BPR; training for A ccounting , A udit, B usiness U nit , and HR staff; Enterprise Resource Planning software (for integrated IT operations across SONA PI); and writing a complete HR policies and procedures manu al . A CTIVITIES SINCE LAST MONTHLY REPORT Since the last monthly report (November 22, 2017), the team: a) organized a training session on Microsoft Project software to help SONAPI in performance management; b) reviewed and provided advice on HR policies and procedures contained in the SONAPI polic ies/procedures manual; and c) provided out - briefings on the Assessment’s findings, conclusions, and recommendations to SONAPI (December 14, 2017) and USAID December 15,2017) LESSONS LEARNED As mentioned above under “Challenges”, access and SONAPI commitment were issues, as was the lack of a SONAPI permanent staff POC for the team. More time for team and SONAPI reflection (and SONAPI internal consultations) between the stages might have been h elpful. The importance of having clear commitments up front (for example, through a Memorandum of Understanding [ MOU ] outlin ing what is expected from both sides in an HICD assessment, and assign a full - time empowered employee to support the assessment ) is the most important lesson learned the team can offer . The team also suggests that t he Assessment, PSP, and technical assistance stages should generally play out over a longer period of time, and perhaps be undertaken by different groups. II. I NTRODUCTION The United States Agency for International Develop ment ( USAID )/ Haiti contracted International Business and Technical Consultants, I nc. (IBTCI) , u nder the terms of USAID’s HICD Pro IDIQ # AID - OAA - 1 - 13 - 00051 1 and Task Order (T.O.) AID - 521 - T O - 17 - 00001, to perform a Human and 4 Institutional Capacity (HICD) assessment of Haiti’s Société National des Parcs Industriels (SONAPI) . SONAPI, owned by the Government of Haiti (GOH), is the regulator a nd manager of two industrial parks : Parc Industriel de Métropolitain (PIM, located in Port au Prince) and Parc Industriel de Caracol (PIC, located on Haiti’s north coast). Th is is a fixed price contract with a total value of $499 , 862.19 and payment against four deliverables: a) M&E Plan/Work Plan; b) Fina l Assessment Report/Performance Solutions Package; c) Balanced Score Card; and d) Final Completion Report. The initial period of performance was from May 1 - November 17, 2017, and was subsequently extended by USAID /Haiti until January 5, 2018. P URPOSE AND METHODOLOGY As part of the contract, an IBTCI assessment team (team) was to perform an HICD assessment of SONAPI, utilizing the process set out in USAID’s HICD Handbook, and produced a written report setting out the finding of the assessment. Followin g completion of the report, the team was to work together with a small SONAPI task force to produce a Performance Solutions Package (PSP) identifying steps to address the performance gaps identified in the assessment. Based on the recommendations in the PS P, the team then would support SONAPI in developing a Balanced Score Card to track its progress in implementing the recommended measures in the PSP and, to the extent possible, help in initial implementation of some of those measures. ( NOTE: the activity was NOT viewed as a full - blown technical assistance activity) . In accordance with the terms of the T.O. this Final Completion Report presents:  Findings (The Final Assessment Report)  Achievements , including: o Performance Solutio ns Package o Balanced Score Card o Technic al Assist ance  Recommenda tions on F ut ure A ss istance; and  Lessons Learned. As the Assessment Report and PSP are comprehensive documents in their own right, this report presents them in telegraph style. The “Recommendations” and “Lessons Learned” sections include more detail . This report also serves as the final monthly report f or the activity, and as such includes detail on activities undertaken since November 22, 2017 . I II . FINDINGS KEY PERFORMANCE GAPS IDENTIFIED During the initial assessment of SONAPI ’s performance, undertaken in June - July 2017, the IBTCI team met with SONAPI senior management (including the DG, but unfortunately only one member of the Board of Directors) and with SONAPI department directors and staff in ten functional areas, conducted t wo focus group discussions, and visited each of the two industrial parks (meeting with tenants in both). Please note that the findings shown below represent the state 5 of affairs as of the conducting of the assessment; changes since that time are reflected , to the extent possible, in the version of the Balanced Score Card included with this report. Key Findings of the Assessment include , but are not limited to : Institutional Level: Critical Gaps  Mission/ V ision not differentiated, do not express strategic future growth objectives of SONAPI (DG expressed to the team a new vision, but it has not been formalized or approved) ;  Lack of strategic planning at all levels, resulting largely from lack of clear vision, mission and strategies ;  Current organiz ational structure is not optimal; nor does it match that shown in SONAPI ’ s organigram o At DG ’ s request, the team provided an informal recommendation on a revised structure, including a draft organigram ;  Lack of good international governance policies & practices ;  Inactive Board of Directors (sometimes meets the requirement to meet 4 times per year , but not at regular, predictable intervals; few directors play active role) ;  Overcentralized decision - making makes SONAPI less efficient/effective o Even most mu ndane issues pushed to top for decisions o (for example, financial transactions exceeding $ US 70 ( approximately 4,500 H AITIAN Gourdes, or H TG) must be approved by DG ; PIC requests for payments are sent to SONAPI HQ for approval/check signing ) ;  Investment/capital improvement budget is very low as percentage of total budget ;  Standardized policies and procedures are unavailable and/or unenforced (throughout the assessment, SONAPI said it had such procedures, but could not share them). Lack of such procedures leads to: o Lack of controls/ responsibility/accountability on part of staff at all levels o Decreased overall effectiveness o Greater business r isk, decreased growth potential and sustainability ;  Lack of modern management tools (hardware/software) harms productivity ;  Lack of both internal (to staff) and external (to existing and potential customers) communications policy and systems o Culture is one of information hoarding rather than information sharing ;  Lack of defined and measurable service standards , leading to poor service delivery and tenant dis satisfaction ;  High level of tenant rent arrears ; and Frequent turnover of DGs, who traditionally have had political rather than a business backgrounds, exacerbates almost all of the problems cited above. Human (Individual) Level: Critical Gaps  The HR Department is particularly weak ; HR plays merely an administrative/clerical role, rather than a strategic one ;  Lack of HR policies & procedures 6 o Only four developed by end of November 2017; lacked substance and detail o This weakens HR performance controls; contributes to increased operational risks ;  Job specifications lack Kn o wledge, Skills, and Abilities ( KSA s ) and KPIs ( Key P erformance I ndicators) o No career paths o No way to ensure qualified individuals in positions o Actual qualifications vary widely across departments, many un/underqualified staff o (For example, even two weeks after our request, HR was unable to provide more than the most basic info about staff academic and professional qualifications) ;  No promulgated training policy or plan o Training budget is non - transparent and controlled by DG ’ s office  Insufficient and non - transparent systems for communication with staff, tenants, and potential customers IV. ACHIEVEMENTS A. P erformance Solutions Package (PSP) Following completion of the Assessment report, the team worked together with a small core group of self - selected SONAPI staffs to develop a PSP to address the performance gaps (and their related causes) identified in the assessment. This was a critical ste p in transitioning “ownership” of the reform process from the team to SONAPI. The PSP included both high - level/cross - cutting “solutions” as well as solutions specific to each of ten separate functions (generally but not always equating to specific SONAPI d epartments) and one department the task force recommended be created (a business office to interact with SONAPI tenants and work on business development). They were ranked by both priority (high, medium or low) and timeframe (short - , medium - or long - term ) . SONAPI senior management approved the PSP with few or no changes to the draft. The team believes that SONAPI management appreciates the magnitude o f the performance gaps identified and the related solutions. Equally , the team believes that SONAPI managem ent is aware that implementing these solutions is critical to improving performance and achieving sustainable growth . Critical priorities outlined in the PSP included: 1. Write, approve, and implement n ew Vision, Mission & Strategy statements ; 2. Conduct Business Process Reengineering (BPR) for core business processes & key support processes ; 3. Write & fully implement detailed policies & procedures ; 4. Restructure SONAPI (purpose - built organizational structure) per BPR results ; 5. D ecentralize PIC (per BPR & rest ructured organization) ; 6. Conduct cost - benefit analysis for outsourcing activities & outsource as per findings ; 7. Strengthen new Internal Audit team/procedures ; 8. Automate remaining accounting operations (budget management & monitoring payroll) ; 9. E stablish a Business Unit ( to do market research & manage tenant relations) ; and 10. Formulate and implement s trategy to recover large tenant rent arrears . 7 The tables below show proposed solutions by high - level/cross - cutting themes as well as specific functions/areas. a. High - L evel and Cross - C utting S olutions Proposed Implementation Time AREAS Number of Proposed Solutions Short - Term Solutions Medium - Term Solutions Long - Term Solutions Vision, Mission, Values 3 3 - - Strategies 3 2 1 - Board of Directors 3 - 1 2 Policies and Procedures 1 1 - - Total 1 0 6 2 2 b. Function and Office Specific S olutions Proposed Implementation Timeline AREAS Number of Proposed Solutions Short - Term Solutions Medium - Term Solutions Long - Term Solutions 1. Finance and Accounting 5 3 2 - 2. Human Resources 7 4 - 3 3. Procurement 1 - - 1 4. Assets Management 4 3 - 1 5. Information Technology 3 1 2 - 6. Logistics 3 - 3 - 7. Engineering 3 1 1 1 8. Communication 1 1 - - 9. Legal Affairs 2 - 2 - 8 10. Internal Audit 3 1 2 - 11. Tenants 5 1 4 - Total 3 7 1 5 16 6 B. B alanced Score C ard (BSC) The contract required the team to support SONAPI in designing a B SC to track its progress in implementing the solutions identified in the PSP. Having the team in a supporting rather than lead role in this process was a further step in transitioning ownership of the process to SONAPI. The process of developing the BSC beg an with a workshop designed to introduce 20 selected SONAPI staff (only 14 actually attended) to the B SC concept. The objective of the workshop was to ensure SONAPI staff understand the relevance of the B SC as a performance monitoring tool - both for the PSP and as a broader strategic planning and management tool - and to build capacity to prepare and to use the BSC for those purposes . Of the 14 staff trained, five volunteered for the task force to w ork on preparing the BSC with IBTCI support . The task force then reviewed the PSP to ensure its members had a common understanding of the solutions proposed, the corresponding objectives/outcomes, and the required activities to implement the recommendations. The final step in the process involved building the BSC in an Excel Spreadsheet , taking each Performance Solution in the PSP and breaking it down into the individual actions needed to accomplish it, along with an indication of the priority and timeframe (b oth from the PSP, but with the timeframe further broken out by the individual st eps ) . The task force identified 117 discrete steps that SONAPI must undertake to implement the p erformance solutions in the Score Car d . To assist SONAPI in tracking progress against the Score Card, and as a performance management tool in general , IBTCI funded a third - party training of five SONAPI staff on “Microsoft Project” software, and is in the process of purchasing the software for SONAPI to use going forward. The expec tation is that SONAPI will load the Score Card onto Mi crosoft Project , which provides robust applications for performance monitoring. Further details on this training are contained in section VI of this report . 9 Microsoft Project Training Following completion of the Balanced Score Card, the team submitted the document to SONAPI management for review and approval. The only concerns expressed by management were about several of the implementation dates/timelines. The exact dates and timelines may have been over - ambitious projections by our SONAPI colleagues and are not critical. However, it is important that tasks in individual functions be completed sequentially – that short - term tasks (for example, in accounting) be accomplished before moving to the m id - and long - term tasks in the same areas . C. Technical Assistance for PSP Implementation As noted in the introduction, this assessment was not intended to be a full - blown technical assistance activity. Given the magnitude of the SONAPI reforms needed and th e limited timeframe of this activity, it was understood that the IBTCI team would offer only limited, short - term technical assistance support. In addition to the training workshop on the Balanced Score Card (which is not considered part of the technical as sistance for implementation, IBTCI offered the following technical assistance, based on requests from SONAPI: 1. Risk Management Training: SONAPI management wanted this training be provided to the overall management team (PIM and PIC) in addition to the four staff from the Audit D epartment. The three - day training workshop involved 17 staff. The training covered the following items: a. Risk management concept, the importance of contro l l ing risks for organizational achievement; b. The r isk - based audit concept; c. Id entifyi ng, measuring & mitigating risk; and d. Planning audit missions by risk level . 2. MS Project T raining (3 days/5 participants) a. As noted under the Balanced Score section, i ntended to track Score Card progress and other SONAPI projects . 3. Review of HR policies & procedures manual to create a more effective and efficient HR Function within SONAPI . 10 Risk Management Training Workshop More details on #2 - 3 are contained in section IV of this report covering activities since the last progress report in November . SONAPI also requested IBTCI support in reviewing its current accounting software procedures, and making recommendations concerning software upgrades. IBTCI discuss ed this potential assistance with a Haitian consulting firm, but in the end SONAPI was unable to come up with a clear description of what assistance it desired, so this assistance did not take place. V . RECOMMENDATIONS A challenging environment requires a challenge to SONAPI: Although SONAPI staff at the working level were suppo rtive of the team and engagement at all levels at SONAPI improved over time, the degree to which SONAPI was truly committed to the HICD process was a question mark throughout the activity. The team experienced lengthy delays in obtaining an initial meetin g with the DG, as well as in feedback from SONAPI on the different outputs (e.g., Assessment Report, PSP, BSC ) of the activity. The team often received incomplete or even contradictory information about policies and procedures (such as the existence or a procedures manual or lack thereof). Senior management claimed at the team’s out - briefing for SONAPI on December 14 that it had already implemented many of the recommendations of the PSP, including an interactive website for communication with tenants, imp roved internet connectivity, policies/procedures manuals, and rent recoveries. However, the evidence for those assertions is unclear. In one case – procedures – the team’s review of existing HR procedures showed them to be woefully limited in extent. Acc ordingly, IBTCI recommends that USAID NOT consider further assistance unless and until SONAPI can demonstrate it has taken ownership of the re form process – specifically, that it is undertaking concrete steps towards implementing some of the PSP recommend ations on its own. Below is an illustrative list of steps the team suggests would show evidence of such resolve. Thes e are not the only potential ways for SONAPI to show its commitment, nor does IBTCI recommend a specific number or percentage of PSP solut ions implemented to demonstrate that commitment – 11 but the burden of proof lies with SONAPI to prove that commitment. Many of the suggested steps require little or no financial commitment or outside support. Potential s teps to d emonstrate c ommitment to c hange:  Announce/publicize new Mission and Vision Statements  Create a 2 - 3 year business growth strategic plan  Implement decentralization strategy for both HQ and PIC  Create & implement Business Development Unit  Create inter - active website for improved SONAPI - tenant communication  Create & begin carry ing out strategy for collecting all outstanding rent due NLT Q1/2018  Do cost - benefit analysis for out - sourcing services, implement in 2018 per findings Draft s trategy to convert 1 - year contracts to permanent ones; begin in Q2/2018 Should SONAPI demonstrate its commitment to reform by undertaking steps above, or other steps demonstrating sufficient seriousness, there are several areas outlined in the PSP and Score Card where USAID or other donors could provide support in helping SONAPI restructure itself. Below is yet another illustrative, non - exclusive list of potential areas for donor support once SONAP I has developed commitment: Potential a reas for d onor s upport to SONAPI :  Sup port in carrying out Business Process Reengineering (BPR)  Training for Accounting, Audit, Business Unit & HR staff  D rafting new laws for SONAPI and a one - stop investment shop  Support for Enterprise Resource Planning (ERP) software platform (to link multiple on - line processes, such as a ccounting, payroll, HR, etc)  S upport for writing a complete HR policy & procedures manual and/or empowering a highly trained HR expert to help SONAPI completely overhaul its HR processes V I . ACTIVITIES UNDERTAKEN SINCE NOVEMBER PROGRESS REPORT This report also serves as the final progress report for the SONAPI HICD activity, covering activities undertaken from November 22 (the date of the last progress report) onwards. Since that time, IBTCI has:  Resubmitted and obtained USAID approval on the Final Assessment Report and PSP;  Submitted and obtained USAID approval on the Balanced Score Card;  Conducted Microsoft Pro ject training (more details below);  Reviewed and made recommendations on SONAPI HR p olicies and procedures (details below); and  Provided final out - briefings on the Haiti SONAPI activity for SONAPI (De cember 14) and USAID (December 15 ). SONAPI Deputy Team Leader Jonathan Elliot Smith and IBTCI home office Project Director for SONAPI James Martin conducted the briefings. 12 IBTCI has also procured five versions of Microsoft Project software for use by SONAPI . Initial users will probably be the five individuals who attended the training, but one participant (from the IT department) expressed confidence that he could train others to use it. Ideally at least one version will be on a computer that several people can access . IBTCI also had discussions with a Haitian consulting firm about providing short - term technical assistance to SONAPI on how to upgrade its accounting software and related processes, but these discussions took longer than expected , and SONAPI was unable to provide clear g uidance on the assistance desired. As a result, this potential support activity will not be undertaken . A. Microsoft Project Training As noted above and in the “Balanced Score Card” section, IBTCI funded train i ng for SONAPI staff on “Microsoft Project software to improve SONAPI’s performance management ability of the Score Card and other issues. The training took place December 6 - 8, 2017, and was conducted by the local consult ing firm , Center for Support and Tr aining in Management (CAFEM) located in Delmas 75, Rue Casagnol prolonge, No.3 . Six SONAPI staff were scheduled for training, but only five attended: four from PIM and one from PIC .  PIM participants: Ms. Sandy Gedeon Engineer, Administrative Director; La reche Garah Webster, Financial Director; Rony Toussaint, Economist; Valcout Medgine , Secretary attached to the General Management for PIM in Port au Prince  PIC participant: Mr. Smith Jean, Engineer, Deputy Director for PIC. Course content and program: Day 1  Introduction of planning steps  Set ting up Microsoft P roject and creat ing the project file  Insert ing tasks and other inputs  Allocation of resource  Tracking activities, costs and time analysis  Case study Day 2  Review and summa r y of previous day  Insert ing of new tasks  S chedul ing and analy zing time spent on project  Design ing responsibility chart/ Gantt chart  Establishment of monitoring system  Tracking costs and measure performance  Analy sis the gaps  Producing and editing reports 13 Day 3  Case study (s elect a Ba lanced Score Card project recommendation and develop it as a project, using MS Project  Tracking task, schedule, budget tracking, and cost analysis  Reporting and formatting of the report . Participants completed an end - of - training evaluation. On a satisfaction scale of 5, the group satisfaction rating was 4. Participants confidently stated that they had been taught well in MS Project software and feel fully capable of using it for work purpo ses. Rony Toussaint, the Economist, said MS Project will bring a lot of added value for SONAPI and that he would be able to replicate the training inside SONAPI, so that more staff and management employees can learn and use MS Project. (N ote : SONAPI presum ably would need to buy additional copies of MS Proj e ct for this to occur. Further details about this training are contained in Annex D. CAFEM provided detailed take - away MS Project manuals for all participants. USAID Contracting Officer’s Representative (COR) Christine Musset visited the training session on December 8. B. Review of SONAPI HR Policies and Procedures Manual SONAPI requested that IBTCI 1) review the current SONAPI HR policies and procedures documents contained in the SONAPI Manuel de Procédures , dated 23 November 2017, reference SONAPI memorandum DA - 025/EX18 - 19; and 2) help develop HR procedures to the extent possible in the two - week timeframe for which the IBTCI consultant (the SONAPI D epu ty Team Leader) was available. Once in - country, SONAPI specified it wanted the consultant to concentrate on analyzing the four HR procedures in the manual, which constitute 13 pages of the larger SONAPI manual, and which cover 1) applicant background check; 2) new employee orientation; 3) employee performance evaluation; and 4) leave. The analysis and full report (¨Essential Employee Handbook Guideline¨) was undertaken December 1 - 10, 2017 , and is attached as Annex E . The detailed review and analysis of the HR section of the SONAPI manual revealed that the SONAPI HR policies statements too frequently are, or include, statements of procedure rather than policy It also revealed that the HR policies and procedures texts, and even the few flow charts in the HR se ction, seriously lack detail. Given the se findings, the report concentrated on the following discussions and explanations:  C omparisons between some existing parts of the SONAPI HR manual and examples of good practice texts on the same HR themes.  S amples o f cross - functional ( “ swimlane ” ) flow diagram, which allow s one to appreciate that the SONAP I flow diagrams still need substantial work, and which illustrate why we recommend that SONAPI develop cross - functional flow diagrams, with substantially more detail than they have in the current Manuel de Procédures . 14  A detailed write - up of an array of RSTP (recruitment, selection, transfer and promotion) policies, as an example of the detail that should exist in a good international practice employee handbook. A brief review of the rest of the SONAPI policies and procedures manual revealed that the document generally requires the same kinds of detailed work to be done for the HR section in order to bring the manual up to reasonable good international practice stan dards . C . Out - Briefing for SONAPI and USAID The Deputy Team Leader and IBTCI Project Director conducted an out - briefing for SONAPI staff, including the Director General, and with attendance from the USAID COR, on December 14, 2014. Attendees expressed appreciation for the team’s findings and recommendations, but insisted that the recommendations were already outdated, as many of them had been accomplished already ( see discussion under Section V above). The same individuals conducted an out - briefing for USAID staff on December 15.This briefing covered much of the same ground, but with a sharper focus on the need for SONAPI to show more commitment to reform before additional assistance is considered. V II . LESSONS LEARNED IBTCI understands this was USAID/Haiti’s first experience with an HICD activity. Some lessons the assessment team took away from the process that might be useful for USAID Haiti and beyond include: Commitment up - front is critical: Th e team had substantial difficulties at the outset obtaining access to key SONAPI interlocutors and documents. SONAPI ’s slow response at various stages in the process ( e.g. , review of assessment report, PSP, BSC), and turs HICD Handbook recommends that US AID sign a Memorandum of Understanding (MOU) with the assisted explaining and governing how the process will be undertaken. There was no such M OU with SONAPI. Completing one would almost certainly not have solved all difficulties the team encountered, but it would have provided a roadmap for all sides of what was expected. Have an empowered POC as a team member : The team did not have a permanent SONAPI POC at the start of the assessment process. The individual finally named several weeks into the process was a consultant rather than a full - time SONAPI employee. This person later left, and was replaced by still an other consultant. If a full - time SONAPI employee with sufficient stature and experience in the organization had been named early on, things migh t have gone much more smoothly. For future assessments, such a POC might be named as part of the MOU process. Ti me (and perhaps different implementers) needed between steps: The assessment process can be undertak en in a relatively time - bound period by one party , but the other steps in the HICD process – the PSP, development of a Score Card or similar performance man agement tool, and technical assistance to implement PSP recommendations – require much more substantial involvement by the assisted organization and USAID. Future HICD engagements should take into account the need for a more expanded timeframe if the plan is to undertake more than just the 15 assessment part of the process – and the longer timeframes might in turn require different implementers depending on the situation. Time is better spent in - country : This “lesson” conflicts to a certain extent with the previous one. IBTCI found that shuttling team members in and out of Haiti multiple times was not conducive to a smooth operation or building rapport with the assisted organization. On the other hand, having the team sitting on its hands in Haiti waiting for SONAPI to approve the PSP and Score Card would not have been a productive use of its time either – so these two recommendations should be considered as two sides of the same coin. 16 A NNEX A: Table of D eliverables Deliverables Status Observations Monitoring & Evaluation /Work Plan Submitted /USAID Approved /August 4 , 2017 Final Performance Assessment Report Submitted /USAID Approved /December 7 , 2017 Performance Solutions package ( PSP) Submitted /USAID Approved /December 7 , 2017 Monthly Progress R eports Submitted /USAID (June through November) Approved /Various Dates , 2017 Balanced Score C ard Submitted/USAID Approved /December 26 , 2017 Draft Completion R eport To be submitted within 10 working days after Out - brief Submitted January 2 , 2018 Final Completion R eport Following USAID review/comments Submitted January 22 , 2018 Resubmitted Jan uary 26, 2018 17 ANNEX B: Indicator Performance Tracking Table No. Indicator Title Unit of measure Disag - gregation Baseline FY 17 target Dec . 2017 LOP results Comments 1 SONAPI core organizational functions interviewed Percentage of SONAPI functional units interviewed PIM and PIC 0 100 % N/A 100 % This indicator was completed in July. 2 Tenants interviewed Number of tenants interviewed PIM and PIC 0 15 N/A 13 The planned interviews were completed at the end of June: 6 of the 8 PIC tenants (2 interview requests rejected), plus a representative samp le (7) of the PIM tenants. Thus, 13 tenants out of 15 were interviewed. 3 Performance gaps identified Number of gaps between SONAPI’s existing procedures and standard international practices identified N/A 0 24 N/A 4 7 A total of 4 7 gaps were identified in the Final Assessment Report/PSP. 4 Performance Solutions Package designed Number of HICD Performance Solutions Packages (PSPs) designed and formally delivered to USAID N/A 0 1 N/A 1 The PSP was approved by USAID December 7 . 5 S core Card developed Number of HICD scorecards developed and delivered formally to USAID N/A 0 1 N/A 1 The scorecard has been approved by USAID. An updated version showing status of SONAPI progress to date was to be delivered to USAID with the 18 Final Completion Report , but the team was unable to collect the necessary information from SONAPI. 6 Performance solutions initiated Number of performance solutions for which implementation has been initiated N/A 0 2 2 3 The Risk management workshop addressed the solution of strengthening the capacity of the new internal audit function. Development of an M&E system for tracking progress on the Balanced Scorecard is underway via the Score Card and the MS Project software. IBTCI provided support on HR policies and procedures. 19 7 SONAPI units receiving HICD assistance Number of SONAPI functional units receiving HICD assistance N/A 0 10 6 10 1 Participants from SONAPI functional units (see below) participated in training on: a) Risk Management (10/18 - 10/20 /2017 ) . Functional Units represented included: 1. Finance and Accounting 2. Human Resources 3. Procurement 4. Assets Management 5. Information Technology 6. Logistics 7. Engineering 8. Communications & SONAPI Promotio n 9. Legal Affairs 10. Internal Audit. b) Microsoft Project (12/6 - 12/8/2017 The five participants included individuals from the IT, logistics, engineering, finance, and DG’s office . c) Review of SONAPI HR Policies and Procedures Manual 12 - 1 - 12/10/2017 Supported HR functional unit. 1 Ten functional units were assisted on risk management, five in Microsoft and one on HR policies/procedures, but the cumulativ e total is still ten (the total # of SONAPI units) 20 ANNEX C: Funds Obligated and Disbursed Contract Current Contract Remaining Amount Billing To date Amount Payment Milestones as per the Contract (Fixed Price) Percentag e $499,862.96 Amount Amount 1 M&E Work plan $49,986.30 $0.00 $49,986.30 $0.00 2 Final Assessment Report/Performance Solutions Package $49,986.30 $0.00 $49,986.30 $0.00 3 Third Progress Report $99,972.59 $0.00 $99,972.59 $0.00 4 Score Card $199,945.19 $199,945.19 $199,945.19 $0.00 5 Final Completion Report $99,972.58 $0.00 $0.00 $99,972.58 Fixed Price Amount 0.00% $499,862.9 6 $199,945.1 9 $399,890.3 8 $99,972.5 8 21 ANNEX D : Microsoft Project Training Background Materials Microsoft Project Training Agenda Design Features Microsoft Project Workshop Participants Six participants – SONAPI technical and administrative managers Local IBTCI representative Project Management expert, specializing in MS Project (OPS) o Goals Build the capacity of SONAPI personnel by: developing MS Project skills to effectively use the tool for project management. o Dates o December 6 - December 8 o Subjects Addressed The following subjects were addressed during the training : 1. Methods for creating project files (length, start date, working hours) 2. Work Break - Down Structure (Tasks and work materials ) 3. Resource Allocation  Human Resources, Materials, Time, Budget 4. Activity Monitoring, costs, and time…  Measuring productivity with earned value  Evaluating gaps  Producing Reports 5. Data Analysis and Recommendations o Goals At the end of the course on « Methods for Project planning, implementation, and monitoring », participants: o Reviewed the seven steps of planning and set their expectations o Mastered MS Project 22 Design Features Microsoft Project Workshop o Developed a work break - down structure o Developed a master record/inspection record o Developed a budget o Developed a project timeline o Created a chart of responsibilities o Set up and implement requisites for a good monitoring system o Developed an individual plan o How Participants learn by doing, and the training session focus ed primarily on instructional dialogue. An array of instructional methods were used: the design and development of training exercises were submitted in accordance to the Principles and Practices of Adult Learning. Participants demonstrate d wha t they’ve learned through rich discussions, visual aids, and on - site training exercises. 23 Microsoft Project Training Attendance List 24 25 26 Microsoft Project Training Exit Evaluations 27 28 29 30 31 32 33 ANNEX E : Human Resources Policies and Procedures SONAPI Organizational Functional Assessment Consultancy June - December 2017 Human Resources Function Essential Employee Handbook Guideline Submitted by Jonathan Smith – IBTCI Consultant December 06, 2017 3 4 T HE ESSENTIAL EMPLOYEE HANDBOOK INTRODUCTION: SONAPI requested the consultant review the current SONAPI HR policies and procedures documents contained in the SONAPI Manuel de Procédures , dated 23 November 2017, reference SONAPI memorandum DA - 025/EX18 - 19. This was done and it is noted here that there are several SONAPI HR policies and procedures, as well as other functional policies and procedures which have not yet been developed at the time of this report. This review is focused on the 13 pages which constitute the aforementioned 23 November edition of the SONAPI Manuel de Procédures. However, many of the observations apply to the rest of the manual. Purpose of Review of SONAPI Manuel de Procédures : Employee handbooks 2 are valuable business tools. The main purpose of this consultancy is to provide SON API with professional observations that can assist SONAPI to create and put into effect a SONAPI HR employee handbook (manual of HR policies and procedures) that meets the standards of an international good practice manual and which can serve as a benchmar k for all other SONAPI policies and proc edures in all SONAPI functions. Contents of this Document : Section 1 : Key findings of review; general advice on constructing a good international practice employee handbook; 2 tables: 1) essential topics to include in an HR employee handbook; and 2) self - audit checklist 3 Section 2 : Definitions of Policy and Procedure Section 3 : Some comparisons between SONAPI HR manual texts and sample texts taken from good practice employee policy and procedures handbook 4 Section 4 : Standard flow diagram symbols; Swimlane Flow Diagram explanation and sample ANNEX: Sample of RSTP policies and procedures (RSTP=Recruiting, Selection, Transfer and Promotion) SECTION 1: KEY FINDINGS OF REVIEW: The review revealed that the SONAPI HR polic ies statements too frequently are, or include, statements of procedure. 5 Writing policy statements is sometimes a challenge for an organization. Therefore, this document includes a section on ¨text book definitions¨ of the meanings of ¨policy¨ and ¨procedu re¨ for guiding one on the distinctions. We strongly recommend that SONAPI review all their statements of policy across the entire manual, to ensure that their policies statements do not include statements of 2 Term used in this document for referring to any organization´s manual o f policy and procedures 3 A basic, simple means for analysing the thoroughness and reliability of the SONAPI employee handbook ( Manuel de Procédures) in general and, in particular, Section II of the SONAPI manual - Procédures des Ressources Humaines , consti tuting 13 pages, dated August 23, 2017 4 Samples by consultant´s research over years. Not all original sources identified. 5 The Consultant reviewed other functions written up in the Manuel . There is a similar mix - up . 35 procedure. It is important, since policy has le gal implications, whereas procedure is the simpler aspec t of how policy is carried out. This review also revealed that the HR policies and procedures texts, and even the few flow charts in the HR section, seriously lack detail. The existing flow charts are entitled ¨summary view¨. However, that is not the purpose of a flow diagram. A flow diagram is like a road map, in that it is supposed to provide the viewer with enough detail so that the viewer can understand the flow, or path, without having to read ext ensive text. A cross - functional flow diagram, which is the kind we recommend SONAPI develop, should clearly denote who the activity owners are all along the different functional activ ities involved in a procedure. The lack of detail in the present version of the SONAPI manual flow diagrams, as well as the paucity of text in the procedures section, suggest that SONAPI has either 1) not taken good measure of the completeness of the detail required in order for a policy and procedures manual to be considered up to the standards of a good international practice policy and procedures manual; or 2) have not fully understood what elements constitut