Project Cycle Management_Kombolcha Polytechnic College

Project Cycle Management

1. ETHIOPIAN MANAGEMENT INSTITUTE Project Planning , Implementation Monitoring & Evaluation WELCOME TO PROJECT MANAGEMENT TRAINING

2. Training Content (Two days) Concepts and characteristics of a project PCM Logical framework Analysis LFA-Analysis Phase

3. ETHIOPIAN MANAGEMENT INSTITUTE Project Planning , Implementation Monitoring & Evaluation   Climate setting

4. ETHIOPIAN MANAGEMENT INSTITUTE Project Planning , Implementation Monitoring & Evaluation 1. Knowing Each Other: Self Introduction 1. Name 2. Educational Background 3. Work Experience related to Project

5. Facilitator: Dawit Yitagessu (MDM candidate, MEC, BSc , PGDL) Consultant and Trainer Associate Consultant at Ethiopian Management Institute Manger, Geese Business & Development Management Counseling Service Email: [email protected] Geeseconsulting@gmail,com Cell phone number: 0911881912 5

6. 2. Setting training norms

7. 3.Election of Reporters , time keeper and a Class Manager

8. 4. Trainees Expectations

9. Session one: Project concept & Characteristics

10. ETHIOPIAN MANAGEMENT INSTITUTE MONITORING & EVALUATION 1. Definition of Project and its Characteristics According to the project management institute (PMI) a project is “a temporary endeavor undertaken to create a unique product, service, or a result. On the other hand UNIDO (1986) defined “a project as a proposal for investment to create, expand and/or develop certain facilities in order to increase the production of goods and/ or services in a community during a certain period of time”. A project is a group of linked activities leading to the delivery of a product or service, clearly identified and usually in a context of limited time and resources. It is expected to produce future benefits of a fairly specific kind. In general projects are referred to by development economists as “the cutting edge of development”.

11. ETHIOPIAN MANAGEMENT INSTITUTE MONITORING & EVALUATION 1. Definition of Project and its Characteristics A project can be small, as in the case of the construction of a house, human capacity development, system design, spring development, awareness campaign or It can be large, as in the case of a multi- sectoral or integrated project involving a number of sectors and rural and urban communities What define both of them as a project are the common characteristics they possess. These are, both; have well defined objectives have defined start and finish dates are designed and implemented to produce specific results require financial, material and human resources involve one or more individual or groups are unique (i.e. they will not be repeated precisely in the same way in the future) have definite location and target group (beneficiaries)

12. The characteristics of a project Items characterizes Specific issue Uniqueness Unique product /goods and services/ Unique context Unique process Duration Temporary and limited timeframe Numerous constraints Quality, Time, Costs, Scope Project life cycle They emerge from need/demand/resource and finish with the delivery of a satisfactory product or service Involvement of multiple parties [stakeholders] Different interest Different fields Different organizations Different culture Context of relative uncertainty Environmental uncertainty [complexity, unpredictability] Technological uncertainty [size,] Resources uncertainty , number , complexity]

13. Group Discussion Differences and similarities between Programs and projects Discuss and present the major components of a project/program cycle manageme nt

14. ETHIOPIAN MANAGEMENT INSTITUTE MONITORING & EVALUATION 2. Differences and Similarities Between Project and Program The term project should be differentiated from the term program to avoid the confusion that arises when they are used interchangeably. Programs unlike projects are open-ended. This means they may not have necessarily a well defined finish date. A series of related projects make a program. Programs are usually expected to produce the longer-term impact on societies.

15. Difference and similarities between project and programs Project Program Differences Is specific in objectives/purpose Has specific area/geographic unit Has specific target groups Has clearly determined and allocated fund Has specific life Has got general objectives May not have specific area May not have specific target groups May not have clear and detailed financial allocation May not have specific time of ending Similarities Has purpose/objectives Require input (financial, manpower, material, etc) Generate output (goods and/or services) Operate over space and time.

16. ETHIOPIAN MANAGEMENT INSTITUTE MONITORING & EVALUATION 3 . Project Cycle: Phases and Stages To clarify the mass of procedures, methods and possibilities relating to the planning and management of projects, it is useful to have a frame work within which development projects may be viewed. Accordingly, projects from all sectors whether social services, agriculture, industry or public works follow a similar path moving from conception to reality . This path is often referred as a “project cycle”. For each stage the activities and persons or organizations involved may vary. Different organizations/donors have developed their own cycles and requirements at each stage/phase.

17. Diagram 1: Project Cycle World Bank Model of project Cycle

18. ETHIOPIAN MANAGEMENT INSTITUTE MONITORING & EVALUATION 3 . Project Cycle: Phases and Stages Project Cycle Management (PCM) is a method to control projects, programs and project portfolios through all its phases of the project cycle. The project cycle comprises six interlinked stages through which a project passes in its life which in turn are grouped in to three major phases as presented in the table below. Project Cycle Management (PCM) is a method to control projects, programs and project portfolios through all its phases of the project cycle. The project cycle comprises six interlinked stages through which a project passes in its life which in turn are grouped in to three major phases as presented in the following table. Project Cycle Management (PCM) is a method to control projects, programs and project portfolios through all its phases of the project cycle. The project cycle comprises six interlinked stages through which a project passes in its life which in turn are grouped in to three major phases as presented in the following table.

19. Project Cycle: Phases and Stages (UNIDO Model) Phase Stage I. Pre-Investment 1. Identification 2. Preparation/formulation Pre-feasibility study Feasibility study 3. Appraisal/selection 4. Appraisal 5. Decision II. Investment 1. Implementation Tendering, Negotiating and Contracting Detailed Engineering Design Construction, Erection & Commissioning 2. Monitoring 3. Evaluation (on-going & terminal) III. Operation 1. Operation 2. Ex-post evaluation

20. Implementation Formulation Monitoring and Evaluation Identification The project cycle-WBG Model Appraisal and Financing decision 20

21. Project Mgt. Framework Source: Schwalbe, 2015:12 21

22. SESSION TWO Logical Framework Analysis (LFA) 1

23. ETHIOPIAN MANAGEMENT INSTITUTE MONITORING & EVALUATION 2.1. Session Objective By the end of this session participants will be able to: Exercise the analysis and planning phase of the project; Distinguish the vertical logic and the horizontal logic in the project matrix; Use the log frame matrix as a tool for planning, monitoring and evaluation of any project

24. ETHIOPIAN MANAGEMENT INSTITUTE MONITORING & EVALUATION 2.2. The Logical Framework Approach There are two phases of the Logical Framework Approach (LFA): the analysis phase and the project planning phase. Each phase involves four steps – therefore a total of eight steps which allows one to formulate and design a project designing matrix. The Analysis Phase involves:  Stakeholders or participant analysis Problems analysis Objectives analysis Alternatives analysis  The Project Planning Phase Involves:  Defining the project elements Assessing the assumptions or the external factors Developing indicators Identifying the means of verification ( MoV )

25. The ANALYSIS PHASE (Project Identification & exploration phase) 1

26. Stakeholders analysis 1

27. Learning Objective To enhance capacity of project planners to use participatory approach in planning and managing programs & projects. 1

28. Discussion Question ….. Form a group and answer the following questions and present to plenary. Who are stakeholders? Why participation of stakeholders/community is required? In which stage of the project cycle community/stakeholders’ participation is important? What should be the degree of Community/stakeholder Participation in each stage of the PCM? 1

29. Definition A stakeholder is someone who has an interest in the project. Any person, group of people or organization who has a vested interest in the project now or in the future Anybody who is affected by or can affect the project (… individual, community, group, organization etc...) Includes a much wider set of actors than the immediate beneficiaries of the project. 1

30. Types of stakeholders Primary Stakeholders : are the direct-targeted participants and institutions in the development program/project. Secondary Stakeholders: are the intermediary participants. or Internal stakeholders: External Stakeholders: are individuals and groups not formally and directly involved but who may impact or be impacted by the project. 1

31. Stakeholder analysis is a process of systematically gathering and analyzing qualitative information to determine whose interests should be taken into account when developing and/or implementing a policy or program. 1

32. Stakeholder Analysis format No Type of Stakeholder Interest Roles Level of Influence Involvement Mechanism 11/4/2020 32

33. Group Discussion Questions Purpose : To clarify stakeholder concept with practical exercise Time : 30 minutes Discussion Questions: Select one project from your organization and discuss in your group and identify the stakeholders. It is preferable if you select a project currently on progress (at planning or implementation stage). Categorize them in at least two groups (primary and secondary) and elaborate your justification for the grouping 1

34. Identifying stakeholders Questions that are helpful to identify relevant stakeholders: Who are likely to be affected by the project? Who is responsible for what is intended to be done? Who is likely to mobilize for or against what is intended? Who can make what is intended more effective through their participation or less effective by their non-participation or outright opposition? Who can contribute financial and technical resources? Whose behavior has to change for the effort to succeed? 1

35. Examples of common stakeholders group project managers project user groups/community affected groups/community (if any) community based organizations /CBOs/ project financers and implementers concerned local, national and international governmental organizations and NGOs religious and traditional leaders informal social net-works which may mobilize or contribute resources to the project and serve as channels of communication about the project political parties the private sector and professional bodies, which may mobilize or contribute resources to the project; and other groups who may have an interest on the project. 1

36. Key Project Stakeholders include: Project manager and Project team international/donors, national political (legislators, governors), Public, commercial/private for-profit, Nonprofit [NGOs], civil society organizations (CSO/CBOs), Project financers users/consumers. 36

37. 2. PROBLEM ANALYSIS 1

38. Why problem analysis? Helps to determine the main problem, effects and root causes Helps to bond project participants together Builds better understanding of underlying causes of development issues Builds stakeholder consensus Helps establishment of meaningful relationship with other implementers Helps to establish the actual size of the problem Helps to link with organization’s comparative advantage 1

39. Problem analysis can be undertaken at any stage of the project cycle, but most useful at the stage of IDENTIFICATION and DESIGN There are different techniques for problem analysis but the most important one for project planning is problem tree analysis When and how it should be used? 1

40. Steps in developing a problem tree Step 1. Identify a problem situation Step 2. Check with stakeholders /planning group to see if they consider it as a problem Step 3. Identify immediate effects Step 4. Identify immediate causes Step 5. Establish a cause and effect relationship between the various problems and build a problem tree. 1

41. Format of a Problem Tree Secondary Effects 11/4/2020 42 Secondary Effects Secondary Effects Primary Effects Primary Effects Primary Effects Secondary/ Root Cause Secondary/ Root Cause Secondary/ Root Cause Primary Cause Primary Cause Primary Cause FOCAL PROBLEM

42. Example 1 : Subject of the workshop is food security , the possible problems mentioned in relation to this subject are: Food production on hills decreasing Ethnic clashes in neighboring districts Food shortages High incidence of malnutrition Canals are blocked Rice production in low lands decreasing Poor maintenance of irrigation facilities Dikes are degraded Soil fertility on hill slopes is decreasing Soil erosion on hill slopes Irregular supply of inputs for rice production High immigration rates Irrigation water does not reach fields in desired quantity

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44. Group Discussion Points Identify a core/central problem Explore the root causes and effects at different level Discuss their relationship (cause and effect) and construct the problem tree

45. 3. Developing the objective tree 1

46. Developing the objective tree Step 1. Reformulating all elements in the problem tree into positive desirable conditions. Step 2. Review the resulting Means-End relationship to assure validity and completeness of the objective tree. Check if all the statement in the objective tree makes sense. Step 3. If necessary, revise the statements Step 4. Delete the objective statement of the problem if it appears unrealistic or unnecessary 1

47. FORMAT OF A SIMPLIFIED OBJECTIVE TREE 11/4/2020 48 Aim of Objective Aim of Objective Aim of Objective Means of Objective Means of Objective Means of Objective CENTRAL OBJECTIVE

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49. Group discussion Identify project ideas/problems of your own and select one to develop a problem and objective tree. Time: 1hr 1

50. 4. Alternative Tree Analysis is a technique for identifying alternative solutions or course of action that can be used to achieve the same or alternative objectives and the display of this information in a simple format. is a process in which specific project strategies are selected from among the objectives and means raised in Objectives Analysis, based upon selection criteria .

51. The aim of alternative strategy analysis is division of the objectives tree into more consistent smaller sub-units that may, compose the core for a project. Each of the sub-units of the objective tree can represent an alternative strategy for the future project. The project objectives set the framework for the strategy of the project.

52. Criteria for selecting the alternative: RELEVANCE : the strategy corresponds to the needs of the stakeholders. EFFECTIVENESS: the lower level objectives of the strategy will contribute to achievement of the project purpose. EFFICIENCY: cost-effectiveness of the strategy in transforming the means into results. CONSISTENT with development policies SUSTAINABILITY of the project ASSUMPTIONS and RISKS

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54. SESSION THREE: LFA-PLANNING PHASE 1

55. ETHIOPIAN MANAGEMENT INSTITUTE MONITORING & EVALUATION Project Planning Matrix (LFM) 4by4 Project Elements Objectively Verifiable Indicators ( OVI) Means of Verification ( MoV ) Assumptions and Risks Goal B.L Target Project Purpose B.L Target Outputs B.L Target Activities Inputs

56. Course of action (List Activities) Output Statement 1.2.2. Course of action (List Activities) Output Statement 1.2.1. Risk and assumptions specific to Results Chain #1.2 Outcome Statement 1.2. Course of action ( List Activities) Output Statement 1.1.2. Course of action ( List Activities) Output Statement 1.1.1. Risk and assumptions specific to Results Chain #1.1 Outcome statement 1.1. Overall Risk Analysis Impact statement 1. Risk and assumptions Geogr Focus MOVs Targets Baselines Indicators Levels # A Logframe for each Outcome Vertical Logic Impact Outcome Outputs Activities

57. Course of action (List Activities) Output Statement 1.2.2. Course of action (List Activities) Output Statement 1.2.1. Risk and assumptions specific to Results Chain #1.2 Outcome Statement 1.2. Course of action ( List Activities) Output Statement 1.1.2. Course of action ( List Activities) Output Statement 1.1.1. Risk and assumptions specific to Results Chain #1.1 Outcome statement 1.1. Overall Risk Analysis Impact statement 1. Risk and assumptions Geogr Focus MOVs Targets Baselines Indicators Levels # A Logframe for each Outcome Horizontal Logic Indicators Baselines Targets Means of Verification (Data Sources) Geographic Scope Critical Assumptions

58. Term Description Goal It describes the long term desired solution or change to which the project contributes. It is related to the main problem or need the project addresses. It cannot be achieved by the project alone. Other projects also contribute. Project Purpose This is the reason for undertaking the project and describes a more immediate situation that is expected as a consequence of the implementation of the project. In other words it illustrates a change in the target group that is brought about by the project. Outputs Outputs describe the goods, services and products that we expect the project to deliver or make available during its implementation. Activities The actions and steps taken to accomplish the outputs Indicators The indicators are the signs or measurements against which the project’s progress and performance can be measured. Means of Verification This refers to the source of information or data that will be used to determine whether the indicator has been reached or not. Inputs Input refers the resources that are needed to carry out the planned activities and the budget summary. They include things such as finance or money, materials and equipments, time and human resource. Assumptions Assumptions describe external factors such as events, situations, conditions or decisions which are beyond the control of managing the project, but which need to exist for the project to succeed. Assumptions allow us to see the extent to which our project is at risk and enable us to take precautionary measures.

59. Objectives Definition Example Goal The broader development impact to which the project contributes Improved community health on a sustainable basis Purpose The development outcome or effect expected at the end of the project A clean, reliable and sustainable supply of water adequate for community needs Outputs The direct measurable results of the project (largely under management’s control) 1.1. Plan for water supply 1.2. Suitable header tank 1.3. Operational pump Activities The tasks carried out to implement the project & deliver the outputs Conduct site survey; identify local labour sources; build header tank; construct pump. 1

60. Amde Gizaw 61 The Logic of LogFrames Project Description Indicators Source of Verification Assumptions Goal Objective(s)/ Outcome(s) Deliverables/ Outputs Activities If the OBJECTIVES are accomplished; Then this should contribute to the overall goal If DELIVERABLES are produced; Then the OBJECTIVES are accomplished If adequate RESOURCES/INPUTS are provided; Then the ACTIVITIES can be conducted If the ACTIVITIES are conducted; Then RESULTS can be produced

61. Equivalence of Terminologies Impact Strategic Result Goal Aim of Objective Outcome Key Result Purpose objective Output Immediate Result Output Means of objective 62 08/08/2017 Adugna

62. 63 Hierarchy of Results Desired changes in: Rights holders’ status - Impact Beliefs, behaviour and practices – Outcome Institutional performance – Outcome Quality & availability of Services and other development tools (products) (knowledge, skills) – resulting from completion of activities of development interventions - Output Development bottlenecks 08/08/2017 Adugna

63. ETHIOPIAN MANAGEMENT INSTITUTE MONITORING & EVALUATION Group Discussion Based on your previous exercise (objective tree analysis) identify Rewrite the project elements & define Potential activities based on means of objectives, Indicators and means of verification for the results , Assumptions at each result level and Develop the LFA (the vertical logic)

64. Quiz : Chain of Results Input Activity Output Outcome Impact Extreme poverty and hunger eradicated Women equality and empowerment framework and policies in place at all levels Low-income families in 60 districts demonstrate skills necessary to sustain gender equality … 10 pilot districts’ planning officers able to undertake gender-sensitive budgeting Training for 100 EDC staff 3 new project vehicles mobilized Reduction in child mortality 50 consultations with village heads 30 village heads of 5 target districts of Somali regional state capable of undertaking participatory planning 65 08/08/2017 Adugna

65. Quiz : Chain of Results Input Activity Output Outcome Impact Extreme poverty and hunger eradicated Women equality and empowerment framework and policies in place at all levels Low-income families in 60 districts demonstrate skills necessary to sustain gender equality … 10 pilot districts’ planning officers able to undertake gender-sensitive budgeting Training for 100 HEW staff 3 new project vehicles mobilized Reduced child mortality 50 consultations with village heads 30 village heads of 5 target districts of Somali regional state capable of participatory planning x x x x x x x x x 08/08/2017 66 Adugna

66. Session Three: Project Formulation

67. The contents of a standard and acceptable document must answer the following ten key questions: What is the problem which the project will try to solve? Which group of people will benefit from the solution? To which development objective will the project contribute? What is (are) the immediate objective(s ) of the project? What will the project actually produce ( outputs ) to enable the achievement of the immediate objective(s)? How will it produce the outputs ( strategies) ? What activities will be undertaken? What financial, material and human resources ( inputs ) are needed? Who are the stakeholders , their roles and level of influences? What is the institutional framework or implementing organization structure? What are the phase-out and sustainability strategies? What are the M&E techniques, system, tools and indicators? 1

68. Cont’d…. Cover letter Proposal Title Executive Summary Organization Information/Introduction Background/ Project context Problem/need Statement Target population (Direct & Indirect) Project Goals and Objectives Project Outputs 1

69. Cont’d …. Activities Inputs Assumptions and risks Stakeholders Analysis Monitoring and Evaluation Phase Out Strategy and Sustainability Organization and Administration Project Budget Annexes (LFA , Schedules, etc) References 1

70. 1. Cover Letter  The cover letter is important because it is the piece of information about your project proposal read by donors or funders. It should: quickly gain the reader attention, show why the particular agency can be interested in your proposal, convey the importance and urgency of your project, keep the letter short and to the point, make it look good 1

71. 2. Proposal Title  make the title short and do not forget to keep the interest of your reader’s mind. As much as possible, make it persuasive , positive and one that capture your donor’s attention. 1

72. 3.   Executive Summary Clear and concise summary the entire proposal help the donor understand and visualize the project. 1-3 pages 1

73. 4. Organizational Information /Introduction/   Describe the organization that seeks funding. Briefly summarize the organization’s history, mission, clients, track record of achievement and current programs undertaken Include also some background information about the location, how the organization is managed and does work, and other details that build the creditability of the organization should be included in this part of the project proposal, i.e. evaluation of your program, letters of support and referring agents. 1

74. 5. Background/Context Here give some background information on geographic and climatic information, political and administrative scenario and socio-economic status, etc. 1

75. 6. Problem Analysis The problem/Need statement or situation description is a key step in grant proposal writing . It is where you convince the funder that the issue you want to tackle is important and shows that your organization is an expert on the issue. In developing problem/Need statement: State the problem/Need using facts and figures Use statistics that are clear and support your argument If possible use research and comparative statistics Don't assume that the funder knows much about your subject area Describe why this need/situation is important Describe your issue in as local context as possible 1

76. 7. Beneficiaries The beneficiaries and the satisfaction of their needs is the major motivating element to bear in mind when preparing a project proposal . The needs of beneficiaries must be compatible with the project’s objective. Note that terms like “target group”, “target population”, and “target audience” are often used instead of beneficiaries in various project proposal documents. 1

77. 8. Development Objective /General Objective /Goal used to describe a desired end, a solution to national or regional development. In project proposal writing, a distinction is made between development objective and immediate objective. 1

78. Specific/ immediate Objectives are short term: S – Specific M – Measurable outcomes A – Achievable, attainable R – Realistic T – Time-bound, achievable in a specified time period 1

79. 9. Project Outputs Outputs are the results of project activities (services made available, infrastructure built, financial products, human resources trained, etc.) intended to achieve the immediate objective. Outputs are tangible and visible. 1

80. 10. Project Activities Activities are the action taken to produce the output. Activities take place over time and are coordinated to be complete by the date required in the description of the output. 1

81. 11. Inputs are the financial, material equipment, logistics) and human resources (project team, partner organization) necessary for carrying out the activities. Identifying local resource is important for a project to be “sustainable”, capable of carrying on after the completion date 1

82. 12. Assumptions and risks Important events, conditions or decisions outside the control of the project which must prevail the goal. outside control of the project management necessary for the achievement of the purpose. Important events, conditions or decisions outside control of the project management necessary for the production of outputs. Important events, conditions, decisions outside control of the project management necessary for the start of the project . A risk is an external factor that may negatively influence the realization of objective(s). Assumption is the underlying hypothesis on which the cause-effect relationship is based. Important events, conditions or decisions outside the control of the project

83. 13. Stakeholders Analysis A stakeholder is someone who has an interest in the project. Any person, group of people or organization who has a vested interest in the project now or in the future Anybody who is affected by or can affect the project (… individual, community, group, organization etc...) It is a process of systematically gathering and analyzing qualitative information to determine whose interests should be taken into account when developing and/or implementing a policy or program

84. 14. Phase-out Strategy & Sustainability Institutions or communities who will take over the project have to be identified and indicated from the outset during the formulation stage. (Identify the potential Receivers/owners and ensure their legality) Prepare exist/phase-out strategy/plan together which includes- Active participation, create sense of ownership, capacity building, MOU, asset transfer Furthermore, if you continue this project in the future, how will it be supported? This is a difficult question to answer effectively since most funders don't want to support the same set of project forever. 1

85. 14. Phase-out Strategy & Sustainability This is important not only for the funder but for the success of the project or organization. The satiability strategies must be clearly identified and prepared together with stakeholders. This may include the following Active community/stakeholders participation at all level of PCM Capacity building , Local resource integration Improve sense of ownership, Create /Strengthen linkage Strengthen partnership and networking 1

86. 15. Organization and Administration  The project’s internal organization as well as its relations to partner organizations has to be expressed in hierarchical and operational terms. M&E procedure should be described here 1

87. 16. Monitoring and Evaluation A proposal must include a plan for M&E and method to be followed This is extremely important for funders Include the following information: - Who should monitor and evaluate? What to monitor and evaluate? How to monitor and evaluate? And Resource requirements 1

88. 17. Project Budget Budgets are cost projections. Attach a one or two-page budget showing: Expenses: Personnel Expenses Direct Project Expenses Administrative or overhead expenses Income: Earned income Contribution income (cash and in kind) For NGO project (it is mandatory to fulfill 70%/30% issue) 1

89. Group Activities : Discuss & present major points of your PP under the following contents Problem statement (cause-effect relationship) Goal and objective (SMART) Outputs Activities and strategies Assumptions and risks Stakeholders Analysis Phase-out and sustainability strategies 1

90. Session Four: Project Implementation and management

91. ETHIOPIAN MANAGEMENT INSTITUTE MONITORING & EVALUATION 5.4. Project Implementation (Organization & Management) It concerns with the execution of the project, by drawing on the resources provided in the financing agreement to achieve the desired results and purpose of the project. In this phase various works are accomplished, like that of forming project implementation unit (organization), preparation of detail implementation (action) plan, setting up of M & E system, etc. Different reports are also produced at this stage; - inception report or plan of operations, annual working plans, progress reports, monitoring reports and the like. Project Cycle Management (PCM) is a method to control projects, programs and project portfolios through all its phases of the project cycle. The project cycle comprises six interlinked stages through which a project passes in its life which in turn are grouped in to three major phases as presented in the following table. Project Cycle Management (PCM) is a method to control projects, programs and project portfolios through all its phases of the project cycle. The project cycle comprises six interlinked stages through which a project passes in its life which in turn are grouped in to three major phases as presented in the following table.

92. Implementation A project can be implemented properly only when implementation is consistent with the project’s objectives; and a project is successful only after it has yielded its expected future benefits to a particular set of project beneficiaries. It has three phase Preparation phase Actual Implementation phase Phase-out-Finalization phase

93. 1. Preparation phase Project Organization System Development Internalize the project document Financial and physical schedule Ensure the required Resource Project Familiarization Beneficiaries Selection Procurement /Initial/ Partnership and networking Startup Evaluation

94. A. Project Organization Organization (Functional , Projectized , Matrix) HRM Leadership Office Arrangement MOU with stakeholders

95. B. System Development Administration System Procurement System Financial Management System M&E System System for Mainstreaming of Crosscutting issues (Gender, environment, Disability, Health, etc) Communication System

96. HRM/Administration System Organizational structure Job titles and descriptions Salary Scales HR Plan-Staffing (Hiring, upgrading, transfer) Team Building-Technical personals Team Building-Administrative personals Training/capacity building Motivation schemes Disciple & leave Other related

97. 2. Actual Implementation phase Implementation according to the schedule Leadership Technical support Strong partnership, networking and Linkage Timely Monitor , review(plan vs. achievement) and Close supervision Conduct mid term evaluation Keep the Principles (participation, flexibility, sense of ownership, integration of local resource, etc)

98. 3. Phase-out-Finalization phase Ensure objectives/results will be actualized Implement all the remaining activities Ensure full participation of the operating agencies Implement the exit strategy Close the project Conduct Evaluation

99. S h a r e L e s s o n s L e a r n e d E v a l u a t e S u c c e s s C o n d u c t C l o s e - O u t M e e t i n g R o a d m a p t o P r o j e c t S u c c e s s F o r m P r o j e c t T e a m S t a t e m e n t o f W o r k R e s p o n s i b i l i t y M a t r i x P u r p o s e P r o j e c t B a c k g r o u n d P r o j e c t D e l i v e r a b l e s W o r k B r e a k d o w n S t r u c t u r e R A A S S R N e t w o r k G a n t t B u d g e t R e s o u r c e P l a n U p d a t e P l a n R e s o l v e I s s u e s M a n a g e C h a n g e T r a c k P r o g r e s s P e r f o r m T a s k s L E A D E R S H I P C O M M U N I C A T I O N T I M E P R O J E C T N O T E B O O K M E E T I N G S R E P O R T S L E S S O N S L E A R N E D P L A N I M P L E M E N T C L O S E - O U T 100

100. Session Five: Project Monitoring & Evaluation

101. Day session objectives By the end of the session participants will be able to: Define correctly monitoring and evaluation and state its importance; Identify the difference between conventional/ traditional vs. result oriented monitoring and evaluation Describe the types and usage/application of different monitoring and evaluation instruments appropriately Describe correctly the scope and principles of monitoring and evaluation without referring to notes Describe the differences and complementary aspects/ features of monitoring and evaluation in group effort

102.  Reflection Exercise 1 Purpose: To familiarize the participants with the basic concepts of Monitoring and Evaluation and understand the traditional versus result based approach in Monitoring and Evaluation Questions: What do you understand by Monitoring and Evaluation? What do you understand on the difference between traditional / implementation versus result based monitoring and evaluation system?

103. Monitoring It is a continuous process of gathering, analysing and interpreting of information of the daily use of inputs and their conversion into outputs in order to enable timely adjustment of the development programme /project when necessary It is a key management tool and a basic part of implementation management

104. Evaluation It is a systematic and periodic gathering, analyzing and interpreting of information on the overall project performance and objective achievement in light of relevance, efficiency, effectiveness, impact and sustainability In this process it considers an in-depth review of the strategy and lessons learned both from on-going &/or completed project drawn such as reasons contributing for success or failure.

105. Traditional Vs Result Based Monitoring and Evaluation (RBME) One challenge in monitoring and evaluation is deciding what to monitor and evaluate to be effective to attain the objectives and goals set by the organization. Historically, organizations have focussed their attention on resource inputs (what they spend), activities (what they did) and outputs (what they produced).

106. Traditional M&E Implementation-focused M&E systems are designed to address compliance—the “did they do it ” question. Did they mobilize the needed inputs/resources? Did they undertake and completed the agreed activities? Did they implement the policies issued? Did they implement the rules and regulations? Did they deliver the intended outputs (the products or services to be produced)?

107. Traditional M&E The implementation approach focuses on monitoring and assessing how well a project, program, rule, regulation, policy, etc. is being executed, It links the implementation to a particular unit of responsibility. It does not provide policymakers, managers, and stakeholders with an understanding of the success or failure or the result of policies issued, program and projects implemented. Therefore, RBME systems are a powerful management tool that can be used by governments and other organizations to demonstrate accountability, transparency, and results.

108. Result- R BM&E Results are changes in a state or condition which derive from a policy, strategy, program, project or intervention carried. It may be intended or unintended, positive or negative. When we say results it includes outputs, outcomes and impacts Results-based monitoring is a continuous process of collecting and analyzing information to compare how well a policy, program, project or intervention is being implemented against expected results.

109. Five Criteria's for Good Result Statements SMART Results S pecific M easurable A chievable R elevant T ime-bound

110. Results Focus on Change Results indicate the expected change or transformation that is expected at the end of an intervention The wording should capture the desired state at the end of the project Outcomes in a logic model typically describe the consequences of the activities and outputs. They have an action word associated with them (e.g., "increased", "improved").

111. Change vs Action Language To express results, Results Based Management uses “Change” language instead of “Action” language the results of actions, not the actions or processes themselves

112. Key Change Words • Improved • Increased • Strengthened • Reduced • Enhanced Results describe the desired future state

113. Results Examples Improved markets for agricultural trade among Eastern African countries Increased coordination of agricultural markets across countries by the Agricultural Forum

114. Traditional Vs Result Based Monitoring and Evaluation (RBME) ELEMENTS OF TRADITIONAL M & E ELEMENTS OF RESULT BASED M & E Description of the problem or situation before the intervention; Baseline data to describe the problem or situation before the intervention; Indicators are for activities and immediate outputs; Indicators are for outcomes and impact; Data collection focuses on inputs, activities and immediate outputs; Data collection focuses on outputs and how/whether they contribute towards achievement of outcomes and objectives . Systematic reporting on provision of input and attainment of output More focus on change among stakeholders by indicating the performance trend over time Directly linked to a discrete intervention (or series of interventions); Systematic reporting with more qualitative and quantitative information on the progress of outcomes Designed to provide information on administrative, implementation and management issues as opposed to broader development effectiveness issues. Captures information on success or failure of the project partnership strategy in achieving desired impact

115. activities (how the specific program / project carries out its work) outputs (goods, products and services produced by the program/ project or intervention carried) immediate outcomes (purpose) (the first-level effects of the outputs) end outcomes (impact) (the final or long-term consequences) intermediate outcomes (Purpose) (the benefits and changes resulting from the outputs) R E S U L T s Results Chain

116. Traditional v.s. RBM&E Traditional M&E focuses on the monitoring and evaluation of inputs, activities, and outputs – programmme implementation. RBM&E, however, combines the traditional approach of monitoring implementation with the assessment of results.

117. Summary-RBME Therefore, Results-Based M&E (RBME) systems are required to address the “so what” question. So what that activities have taken place? So what that the outputs from these activities have been produced?

118. Summary-RBME A results-based system provides feedback on the actual outcomes and goals of organizations’ actions. Results-based systems help answer the following questions: What are the objectives and goals of the government/organization/program/ project? Are they being achieved? How can achievement be proven?

119. Difference and Similarities between Monitoring and Evaluation  

120.  Exercise 2 Purpose: To familiarize the participants with the differences, complementary features and relationships of Monitoring and Evaluation. Questions: What are the distinctive characteristics of Monitoring and Evaluation? What are the complementary features and relationship of Monitoring and Evaluation?

121. Themes Monitoring Evaluation Objectives To determine the efficiency & legitimacy of the application and use of inputs as well as their conversion into outputs To facilitate an adjustment of activity plans, time schedules or budgets To determine whether the objectives set were realistic, given the capacities with which and the circumstances in which they had to be fulfilled To undertake review of things done i.e. to assess the impact of the project activities Reference Period/Frequency It takes place during the execution of a programme /project activity It is a continuous feed back system that remains in force throughout the programme / project cycle Carried out periodically i.e. before the implementation of the programme / project; on different periods while the planned activities are on progress, at the completion of the project as well as after it become fully operational Focus Focus on input, process, output and work plan Focus on relevance,sustainability, impact and cost-effectivness Primary Users It is a tool for project managers to use in judging and influencing the progress of implementation Results are used by funding agencies and other relevant institutions in future programmes /projects design Data Gathered Primarily quantitative Primarily qualitaive Actors Internal Internal/external Analysis Simple In depth & Comparative analytical method What does it answer? Activities performed Outputs achieved Resources used Quality of work performed Problems encountered Rectifying measures Results achieved Strategy and policy options used and their effectiveness Main action Oversight / supervision and measure on deviation In-depth analysis /learning from success and failure

122. Complementary Features of Monitoring & Evaluation Monitoring Evaluation Implementation oriented Tracks results/output Assess intermediate results Focus on timeliness Emphasis on multi-level results Informs Budgeting Strengthens accountability for managing results Essential for programme implementation & improvements Can use disaggregated data Policy oriented Explain results/output, outcome , and impact Assess high level results Focus on impact & sustainability Emphasis on final results Informs broad resources allocation Strengthens accountability for results themselves Essential for strategy development May need aggregated data

123. Group Reflection Purpose of M&E

124.  Exercise 3 Purpose: To familiarize the participants with the types and features of Monitoring and Evaluation questions: Discuss with group members the types & tools of monitoring you are familiar with & present in a plenary?

125. Project Monitoring Tools of Monitoring Monitoring Supervision Controlling

126. Controlling It is the comparison of what has been achieved with what was planned and the determination of necessary adjustments to the plan in order to mitigate the effects, on overall performance of any deviations from the plan. It is verifying whether everything occurs (quality, cost, and time) in conformity with the plans adopted, the instructions issued and the principles established. It includes reporting on any deviations from the plan, the reasons for the deviations and the corrective actions that need to be taken.

127. Supervision It involves keeping a finger on pulse of the program/project, diagnosing problems as they arise and advising on their solution. It is watching and assessing the environment for factors and situations which may have an adverse effect on the project, anticipation of problems before they overwhelm the project and coming up with suitable proposals to solve them.

128. Types of Monitoring There are two types of monitoring and a distinction has to be made between these process monitoring and impact monitoring P rocess Monitoring: considers the use of resources, the progress of activities, and the way these are carried out. It is a means for reviewing and planning work on a regular basis.

129. Types of Monitoring Impact Monitoring it h elps to monitor changes brought as a result of the project/program intervention while the project is still on progress. It might be economic aspect, social, organizational, technological, attitude, etc. or other intended and unintended results over a longer period. This is different from impact evaluation or assessment which is expected to be done sometime after the project is completed.

130. What & How to Monitor? Pro ject P hysical P rogress (inputs, activities, and outputs) Finance Progress (expenditure) Project Quality Monitoring /service & products/ Assumption and Risk Monitoring Beneficiary C ontact Monitoring (BCM) Management related issues

131. means of communication tools for Monitoring Progress Reports Site Visit Review Meetings

132.  Exercise/Activity/ 5 Purpose: To familiarize the participants with periods of evaluation and criteria to be used during evaluation of development projects. Questions: What are the types of evaluation based on periods of evaluation? What are the basic criteria's to be used in project evaluation?

133. Period Ex-ante Evaluation (Start-up Evaluation) : /Before Implementation/ Mid term Terminal/Summative Evaluation Some time After terminal / Ex-post Evaluation

134. Scope Summative Foramtive

135. Responsible body Internal External

136. Evaluation Criteria /What to Evaluate/ The criteria for evaluation address five major sets of issues. These are; 1. Relevance 2. Efficiency 3. Effectiveness 4. Impact 5. Sustainability

137. Evaluation Criteria /What to Evaluate/ Relevance of the project Did the project address priority problems faced by the target areas and communities? Was the project consistent with policies of both donors and recipient governments (or agencies)? Effectiveness Have outputs and outcomes been achieved as planned?

138. Evaluation Criteria /What to Evaluate/ Efficiency of resources (availability & utilization) Were inputs (staff, time, money, equipment) used in the best possible way to achieve outputs? Could implementation been improved/ was there a better way of doing things? Sustainability factors Have the necessary systems been put in place to ensure the project itself and more particularly the project benefits continue once the project and its funding (external) have ended? Impact What has been the contribution of the project to the higher level development goals? Did the project have any negative or unforeseen consequences?

139. Points to be raised Evaluation criteria What to measure? Whose perspective? Point of reference Key question Relevance/Coverage Appropriateness in relation to policies/needs and priorities of target group The client/the Government/target group Mission of the gov, donor, implementer Are objectives in keeping needs/priorities? What differences & impact did it want to make? Should project be continued/terminate? Impact Intended and unintended positive and negative effect Target group/community Base line data; status before intervention Do the positive effect outweigh negative effect? Efficiency Timely delivery of project result Project implementer Similar intervention/best practices Could it have been done cheaper, more quickly and with better quality? Effectiveness (coherence, coordination) Achievement of objectives Target group/community Agreed objectives To what extent agreed objectives been achieved? Are activities sufficient to realize objectives? Sustainability/Connectedness Likelihood of benefits/services to continue Target group/community Phase out strategy/future situation To what extent does the project impact justify investment?/are the involved stakeholders willing and able to keep project exit strategy

140. Project M&E System

141. M&E system Components –Assess using the following Checklist Clear objectives of M&E M&E Structure and manpower M&E capacity M&E Stakeholders Elements and priority area of M&E (What to monitor and evaluate) Indicators for M&E M&E methods & instruments M&E Plan with clear budget (The 5 friends of planning & Resource) Data collection, analysis and interpretation mechanisms Data base Report, dissemination and use Advocacy ,communication and culture

142. 1. Importance of Designing M & E system Provides a frameworks and methodologies on how to collect, analyze data and generate essential information at macro and micro levels. Fills the existing gaps if any in project monitoring and evaluation Support project preparation, approval and implementation system Enables institutions to properly manage projects with increased responsibility and accountability Facilitate timely and informed decision making in the preparation, implementation and operation of development projects

143. 3. Approaches in M & E system The two commonly used approaches in the M&E system design are; Conventional or “Blueprint” approach T he “process” approach

144. A. Conventional or “Blueprint” approach In this approach project planning and appraisal team formulate detailed organizational setup and work plans before project implementation starts . It includes the objective of M&E system, the required data, studies to be undertaken, organizational setup of the unit, personnel and budgetary needs, and formats to be used and the reporting mechanisms and time.

145. B. T he “process” approach In the process approach the appraisal team does not specify and produce detailed work program they only outline objectives, overall project activities, organizational arrangement and personnel requirements. Then, project managers and stake holders /partners jointly determine what is to be monitored and evaluated during project implementation. This permits project managers, partners and M&E staff to develop formats to collect and analyze data on the subjects and problems they view as important for project implementation.

146. Steps in designing M & E system Step 1. Determine the objectives of M&E Who is to be served by the M & E system Define the purpose Step 2. Identify and involve the stakeholders Step 3 . Define what should be monitored and evaluated . e.g : activities, inputs, outputs, results, critical assumption, impacts

147. Steps in designing M & E system Step 4. Determine the priority areas to be monitored and evaluated Determine the important issues to be considered for decision making Step 5. Identify and indicate key elements and indicators to be focused on Step 6. Design and test M&E instrument Step 7. Plan how you will execute the M&E activity /responsibility/

148. Steps in designing M & E system Step 8. Determine how and when data will be collected, processed and analysed Progress report, progress review meeting, field visits, weekly or fortnightly. Survey, literature, etc. Step 9. Prepare, disseminate and use the M&E report . Determine type of information needed , identify who requires the information , know why the information is required , determine when and how it is needed and k now how important the information is.

149. Preparation of M & E Plan M&E Questions or project objectives (Goal, purpose, outputs, activities, inputs & assumptions) Indicators Data Collection & Use Source of Data/Information Baseline data needed Who is involved (Responsibility for collection) Methods & Tools Frequency Reporting Use of Information Impact Assumptions Outcomes Assumptions Outputs Assumptions Activities Assumptions Inputs Assumptions

150.  Exercises/Activities 7 Purpose: To familiarize the participants with indicators ,baseline and target Group work: Discuss what indicators are and describe the quality of indicators. Forward at least two organizational specific indicators and merge with the group reflection and present in the plenary.