Practical Guide to Programme/Project Cycle Management

Practical Guide to Programme/Project Cycle Management 1

Capacity Building for the NGO Sector

A Practical Guide

To

Programme/Project Cycle Management

By

NGANG Carol Chi

Southern Africa Social Development Agency

PG-PCM: Version 1.0 - September 2009

Project Management Tools & Techniques for

Capacitating the NGO Sector across Southern Africa


This guide was prepared by

Ngang Carol Chi Southern Africa Social Development Agency (SASDA)

604 Church Gardens, Bourke Street Sunnyside 0002, Pretoria

South Africa

Tel: +27 (0) 78 491 4620 E-mail: [email protected]

Website: www.sasda-hq.org

mailto:[email protected]

http://www.sasda-hq.org/


TABLE OF CONTENTS

Introduction

Overview __________________________________________________________ 5

Purpose of the Guide _________________________________________________ 5

Skills to be Developed ________________________________________________ 6

Intended Audience ___________________________________________________ 6

How to use the Guide _________________________________________________ 7 PCM Concepts and Components

Defining the Concepts ________________________________________________ 8

The Concept of Programme/Project Cycle Management ________________ 8

The Concept of Development Partnership _________________________ 10

Components of Programme/Project Cycle Management _____________________ 11

Managing Development Partnership ______________________________ 11

Managing the Programme/Project Cycle ___________________________ 14 Logical Framework Approach to Programme/Project Cycle Management

What is Logical Framework Approach ___________________________________ 18

Logical Framework Approach as Management Tool __________________ 18

LFA as an Embedded Structure of PCM ___________________________ 18

Interlinked Phases of the Logical Framework Approach _______________ 19

Strengths and Weakness of the Logical Framework Approach ________________ 31

Application of the Logical Framework Approach ___________________________ 32

Using the LFA to Develop Operational Plans _______________________ 32

Role of the LFA in Monitoring, Evaluation and Reporting ______________ 35 Glossary of Terms ______________________________________________________ 43 Resources ____________________________________________________________ 46 References for Further Reading ____________________________________________ 47


INTRODUCTION

Overview

This section presents an overview of the relevance and importance of the Programme/Project Cycle Management (PCM) approach in the context of social development programmes and projects and explains the role of the guide as a valuable support material to training workshops on programme or project cycle management.

The PCM approach to managing programmes and projects developed out of a combination of experiences gained from project management and the Logical Framework Approach (LFA) and has since been adopted by leading development agencies all over the world. The approach is becoming very popular with development partnerships in determining:

The relevance of programmes and projects to target beneficiaries The extent to which risk is taken into account in programming Considerations for factors affecting sustainability, and How lessons learnt and best practices are incorporated into decision making and

further planning.

At the operational or implementation level, the PCM approach is essential for assuring improvements in programmes and projects by ensuring:

Proper feasibility assessment Structured monitoring and evaluation, and Informed decision making at every stage in the project or programme cycle.

This guide presents PCM as a method that allows for flexibility in the management of programmes and projects and explains the principles on which development partnerships are planned and driven.

Purpose of the Guide

The Practical Guide to Programme/Project Cycle Management has been produced as part of the broader SASDA Capacity Building Programme for the NGO sector across Southern Africa. We are confident that through the use of this guide social development programme and project managers will not only become conversant with the PCM approach but will also reap substantial benefits from its application.

The guide is prepared with a mind to facilitate programme or project cycle management through the introduction of appropriate management tools that will ensure quality monitoring of programme or project implementation and to orientate the focus of programme or project managers to the PCM approach. The emphasis on the latter is directed towards developing analytical and logical framework approaches in designing and managing programmes and projects.


As part of the training toolkit on Programme/Project Cycle Management the guide is intended to promote and integrate the application of the PCM approach into social development programme and project management so that the approach becomes a universal concept not only with international development agencies but also with organisations that operate at grassroots level. The guide will: Explain PCM and how you can use it to design and implement programmes and

projects as well as to identify opportunities for replication Explain how to build a logical framework to help partners discuss and think

through all the implications of what they are planning to do. Put all the elements into a simple plan, Explain some best practice techniques for programme or project management.

Skills to be Developed

The use of this guide will enable you to gain knowledge and understanding in:

The concept and structure of the PCM method The analytical steps in programme or project design The use of the logical framework in operational planning and in developing a

monitoring and evaluation system.

Use together with other SASDA practical guides and as a participant in a workshop on programme/project cycle management this guide will enable you to overcome difficulties in programme or project management, develop and enhance practical skills and techniques relating to programme or project cycle management and increase the potential of your programme or project to perform optimally in development partnerships. It is important to understand the philosophy of thinking of development agencies and to apply and incorporation such philosophy at grassroots level.

Intended Audience

The guide is prepared to meet the capacity needs of programme and project managers, programme/project designers and other social development practitioners who have had little or no experience in programme or project cycle management and who require fundamental knowledge about the PCM approach and its application to be able to design, implement, evaluate and mainstream projects. The guide is design purposefully to capacitate those that will be involved in programme or project design and management and as such focus is centered more on the practicalities and applicability of the analytical steps and the use of the logical framework than on the concept.

As part of a training toolkit, the guide will be useful both to the trainer as well as to the workshop participants in facilitating learning, understanding and application of the concept and components of the PCM method and in improving skills and techniques in programme or project cycle management. Used for training, the guide should be accompanied by other elements of the Programme/Project Cycle Management toolkit.


How to use the Guide This document is just a guide with practical step by step instructions to help you through the phases and stages of development partnership and of programme/project cycle management and to enable you develop standardized documentation with relative ease. The guide also contains some practical examples to help you in the understanding of the different concepts and principles used. Used alone, as a novice in the field the guide might not necessarily provide you with all the skills, techniques and competences required to qualify you as a technocrat in programme or project cycle management. Accompanied by other SASDA Practical Guides, for example the Practical Guide to Programme/Project Design and the Practical Guide to Programme/Project Planning, and as part of the workshop training toolkit it will greatly help to break the mystery and complexity of programme/project cycle management as a methodology for managing, especially complex programmes and projects that involve more than one donor partner. The glossary of terms gives an explanation of some of the terms and concepts used in the guide. Also included is a list of websites for reference and further reading to give more understanding on how different organisations apply the Programme/Project Cycle Management methodology in their programmes and projects. The guide serves as a post workshop reference and support material to the application of techniques and approaches learnt during the training.

About this Guide

Audience Programme & project managers & development practitioners who want to gain knowledge about the PCM concept & its application

Content Defines & illustrates the PCM concept, introduces the logical framework approach, explains how to use the logframe for operational planning & for designing a monitoring & evaluation system.

Outcomes Users of this guide will gain knowledge & understanding of the concept of PCM & its benefits in development partnership, develop the skills and techniques in the use of the LFA, increase their skills & competences in programme/project cycle management & consequently increase organisational capacity.


PCM CONCEPTS & COMPONENTS

Defining the Concepts The Concept of Programme/Project Cycle Management Project and Programme A project is defined as an undertaking for the purpose of achieving established objectives within the constraints of time, space and budget. In other words, a project can be described as a process of providing inputs over a period of time using resources provided to carry out activities and produce outputs (results) in order to achieve defined objectives (project purpose) or as a set of related activities planned to take place during a defined time frame and budget to improve the situation of a specific group of people. A programme is a much broader concept involving a collection of interrelated projects and activities, with a variety of methods of intervention contributing to an overall goal. A programme will thus have a range of strategies working towards defined outcomes. Programme/Project Cycle

The programme or project cycle describes the sequence or pattern through which projects are planned and carried out and how they relate and affect each other. The cycle starts with an idea which is developed into a working plan that can be implemented, monitored and evaluated. The basic components of a programme or project cycle are generally identical but how they are formulated varies. The breakdown of the programme or project cycle into phases helps to orientate managerial action. The PCM method was introduced to improve quality of programme or project design and management and consequently the quality of development aid.

Management Management refers to the act of structuring social processes in order to achieve predetermined objectives. It is broken down into key functions such as agreeing on objectives, planning, decision making, motivating, organising, steering, monitoring and informing. The performing of these functions and the resultant task throughout the programme or project cycle constitutes what is known as management.

Principles of PCM

Project Cycle Stages - Structured & informed decision making

Client Orientation - Stakeholder involvement in decision making

Logframe Analysis – Comprehensive & consistent analysis

Sustainability – Mechanisms for continued flow of benefits

Integrated Approach – Vertical integration & standardized documentation

Source: PCM Training Handbook - ITAD


Programme/Project Cycle Management Programme or project cycle management describes management activities and decision making processes used during the life of a programme or project. In essence, PCM is a way of thinking through the life cycle of a programme or project and consists of a set of design and management concepts, techniques and tasks that is used to support informed decision making and to strengthen the management of programmes and projects.

Programmes and projects tend to be developed to attract funds

Programmes and projects are designed to solve problems

Programmes and projects have to fit a standardized set of outputs

Programmes & projects develop criteria & indicators to suite the local situation & achieve excellence

Focus is on writing applications for funding

Focus is on designing and making decisions before writing the proposal

Stakeholders have not been actively involved in designing programmes and projects

Stakeholders help to define the problems and make decisions about the solutions

Programmes and projects are driven by the funder or technical supply

Programmes and projects are driven by demand

Poor analysis of local situation

Through stakeholders’ involvement the local situation is well understood

Programmes and projects are activity focused

Programmes and projects are designed through identifying objectives as solutions to problems

Programme or project impact cannot be verified

Each objective has clear evidence indicators that can be verified

The vision is usually short-term

The focus is always on the long-term and sustainable benefits

Programmes and projects tend to include many areas and become complex and exclusive

Programmes and projects tend to be placed in an operational strategy and remain focused on a single goal

Inconsistent documentation

All documents are standardized to improve consistency and content

Fig. 1 – PCM rationale

PCM & the Logical Framework Programme/Project Management


The Programme/Project Cycle Manager

Programme and Project Managers play a central and catalytic role in ensuring that interventions go through their life cycle and produce the desired outcomes. Seeing that the methodology of managing programmes and projects is gradually shifting from traditional programme or project management to programme or project cycle management managers as well need to make a shift towards becoming programme or project cycle managers in order to be able to better articulate the concept. The PCM approach to managing programmes and projects is a complex methodology and therefore requires mastery of the skills and techniques involved, especially with regards to the understanding of the logic of intervention and use of the Logical Framework Analysis.

Controlling and directing

Empowering and releasing potential

Imposing norms

Releasing creativity

Creating certainty

Managing uncertainty

Telling

Listening

Vertical/line authority

Matrix programme or project management

Solving problems

Creating opportunities

Area and scope management

Collaboration and partnerships

Fig. 2 – The changing roles of Programme and Project Managers

The Concept of Development Partnership

Development has become a very complex and interwoven process that no single organisation can claim to go the distance alone. Given the stakeholders that are supposed to be taken into consideration and the logical nature by which programmes and projects are designed the essence for partnerships comes into play. This means that the management processes of all the actors involved become interlinked and have to be systematically taken care of, which tend to exert high demands on managers. The need for a unifying system to coordinate the links and processes to achieve desired goals therefore becomes imperative. The PCM concept was thus introduced to facilitate successful development partnerships by helping to define the parameters of collaboration, clarifying roles, duties and responsibilities of all the actors involved. To have a better understanding of this, let us look at some key concepts:

Now Then


Development Development can be described as the structured process of an intervention to change or improve a current undesirable situation to a future situation, which is considered satisfactory. Experiences gathered over the years from different development initiatives have shown that development can only succeed when the persons affected by the problem are directly involved in bringing about the necessary change or improvement. Development can only take place when the people affected by a problem are assisted in self-help initiative to address their actual needs with the resources and scope of action available to them. Development Partnership

Development partnership is geared towards empowering disadvantaged groups, encouraging development processes within target groups and ensuring that such self-help initiatives are properly coordinated to run successfully. The level of intervention of each of the actors to the partnership may vary depending on the roles they are expected to play. Whatever the role, the principle advocates for limited intervention either to facilitate or assist the development process through funding or technical assistance to the extent to which the target group cannot provide for itself. The bed rock of development partnership is participation, which means the active and equal involvement of especially those who are usually excluded from development initiatives. The preconditions for development partnerships are that:

The initiative must be geared towards addressing the needs of the target group The initiative should strengthen the self-help capacities of the people affected by

the problem The initiative should be feasible within the social, economic and political context The initiative must create the preconditions to ensure the sustainability of the

situation it helped to improve.

Components of PCM

Managing Development Partnership Structure of Development Partnership The structure of development partnership indicates the various actors that are usually involved in a development process and the different levels at which they intervene to achieve the established development goal. The different actors should be clearly identified as indicated in Fig. 3 and the various levels at which they intervene in the development process.

At the very core is the target group, at whose level the intended development is supposed to take place.


Next down the line is the implementing organisation(s) that design and implement a programme or project based on the needs of the target group so that the intended development can take place.

Far down the ladder are the agencies that provide the input (funding and technical assistance) to enable the implementing organisation(s) to carry out the programme or project.

Basic Structure of Development Partnership

Development Process

Activities of the target group

(Self-help initiative)

Fig. 3 – The Structure of Development Partnership indicating various actors and their levels of intervention. (Adapted from the GTZ Guidelines on Project Cycle Management and Objectives Oriented Planning)

The basic point of consensus between these various actors should be a common development goal, which should be the desired improvement that the target group wants to see happen and the necessary measures and methods to achieve the goal. The self-help initiative may be initiated by the target group itself or by the implementing organisation. In the latter case, the affected group must be consulted and allowed ownership over the process of implementing the activities. It is obvious that every development effort requires considerable input to accomplish it. According to the principle, the affected group should be able to sufficiently mobilize its own resources and strategies in relation to the planned improvement. However, the nature of the problem might require huge financial resources or technical expertise that the target group by itself cannot provide. Under the programme or project carried out the implementing organisation should on its part establish what shortcomings there are in achieving the desired improvement of the situation of the affected groups and what external input is needed to ensure that the planned development takes place. Input from external sources, be it funding, technical assistance or collaboration is determined by what the target group and the implementing organisation plan to do and what they would need in terms of human, material and financial resources.

Current situation

(Desired to be changed or improved)

Future situation

(Intended improvements or development goals)

Programme/Project Activities (Implementing Organisation)

Funding, technical assistance, collaboration (Input)


The Relevance of PCM in Development Partnership

When you submit a proposal for funding and the funding agency approves the proposal and decides to fund your programme or project it is to a large extent a partnership that has been established. The funding agency will deserve to know how their funds are being used, what is happening in the project and what impact it is making. Funding is hardly a once off show. Most funding agencies will also want to reap valuable lessons from the intervention for possible replication in other situations. Partnership is not limited to funding but also to technical assistance or collaboration. In development partnerships each of the actors involved has specific priorities and interests to protect. The use of the PCM approach has proven to be a valuable tool for designing such partnerships such that they run successfully and satisfactorily for all the partners. Programme/project cycle management ensures that affected groups become actively involved as equal partners, that they gain ownership over the process of creating their own development and that the other actors - funding agencies and implementing organisation, for example, gain optimal satisfaction for their input. In a development partnership there is bound to be some expectations from each of the actors involved to ensure a smooth collaboration. Good Governance: Good governance relates to the way you structure your working

relations with the other actors involved in the partnership. It is an important component of development partnership and describes the good practices of the partnership. The partnership good governance statement should describe:

The purpose of the partnership and each partner’s interests Terms of reference specifying each partner’s involvement in terms of decision

making, planning, monitoring and reporting. Relevant reference documents relating to the legal and legislative requirements of

the partnership Stakeholder Analysis: In development partnership you will need to define the range of stakeholders that you aim to work with. Stakeholders refer to individuals, groups of persons or entities that have interest or a relationship with your development partnership. After identifying the stakeholders it is good to categorise them so that it becomes easy to determine the extent of involvement of each of them.

Primary stakeholders: This category includes those whose interest lies at the heart of the programme or project. Their involvement is indispensable.

Secondary stakeholders: This category normally provides the primary support for the programme or project and from it you are likely to identify partners for the development partnership.

Tertiary stakeholders: This category might not necessarily be directly involved but their involvement might become necessary at a later stage.

An assessment of the different stakeholders will help to determine expectations, commitment and contribution to the intervention.


Roles and Responsibilities: Defining specific roles and responsibilities for each of the development partners will enable you identify how and when each of them would be involved at the different phases of the programme or project cycle. Some of the partners may have to play keys roles while others may have to play a supporting role. Once the roles and responsibilities for each partner have been established the information can be used to draw up terms of reference for the development partnership.

Managing the Programme or Project Cycle Structure of Programme/Project Life Cycle The life cycle of a programme or project describes the process that starts from the conception of an idea through planning to completion of the programme or project activities. According to this concept a programme or project goes through different phases. The number and duration of each phase vary according to the nature of the programme or project. The structure of the cycle does not follow any unique pattern. However, the generic structure usually consists of six phases as indicated in Fig. 4. Analysis of the Main Phases The programme or project cycle is a diagrammatic description of the sequence of how interventions are planned and carried out, beginning with an idea, which leads to a strategy for a specific action, which then is formulated, financed, implemented and evaluated with a view to improving the situation and taking further action. The cycle defines the various phases in the life of the programme or project, with a well defined process of involvement of different stakeholders, management activities and decision making processes that need to happen before, during and after implementation.

Programme/Project Cycle

Fig. 4 – Structure of programme/project cycle showing six phases and the outcome of each of the phases

Programming

Identification

Formulation

Evaluation

Implementation

Financing

Programme/ project

idea conceived

Programme/ project

concept developed

Programme/ project

designed & proposal

developed

Funding agreement

specifying deliverables

Implementation plan

& monitoring system

Impact assessment &

feedback of lessons learnt


The phases of the programme/project cycle are designed to: Help you think through the key steps of setting up and running a programme or

project Help you to formulate problems and ideas into programmes or projects Ensure that programmes and projects are documented and prepared so that they

are technically and institutionally feasible Ensure that programmes and projects are sustainable Help to improve monitoring and evaluation Encourage and improve the process of learning by experience

Before Implementation Programming: Programming is concerned with analysing problems, constraints and opportunities, establishing general principles and guidelines, agreeing on sectoral and thematic focus and outlining of programme or project ideas. The main actors involved at this stage are the implementing organisation and the affected group. This phase also includes the actual selection of potential partners. Identification: This phase consists of the framework for analysis of problems, needs and interest of potential stakeholders and the identification of options to address the problem. The analysis will also help in understanding the programme or project context with regards to its relevance, feasibility and sustainability and the chances of funding based on comparison of the programme/project objectives with the funding criteria of potential partners. The implementing organisation plays a leading role during this phase and the outcome is a programme or project concept that has the potential of being funded. Formulation: Also known as the design phase, involves an intensive participatory process that brings together the principal actors into a planning process and allow for relevant programme or project ideas to be developed into operational issues such as activity and resource scheduling. All significant aspects of the idea are studied, taking into account stakeholders’ views, relevance to the problem, feasibility and other issues. The outcome of the process is a decision to carry the programme or project forward or not. If the decision is reached to go ahead then a proposal is put up, aimed at securing funding for the proposed programme or project. The submitted proposal is subject to a final appraisal and review by the potential donor, leading to a decision on whether to approve the programme or project for funding or not. If it is approved, then the phase concludes with the signing of a formal agreement between the implementing organisation and the donor partner. During Implementation Implementation: Implementation involves carrying out programme or project activities as planned. To ensure that the programme or project stays on course, constant and proper monitoring and mid-term evaluations are necessary to measure the extent to which results and objectives are being achieved, to identify any shortfalls and to enable adjustments to the changing circumstances. During this phase, all the actors get involved directly or indirectly.


After Implementation Evaluation: Evaluation is carried out to measure the results of the intervention in relation to the objectives – whether they were achieved or not and helps to determine the relevance, effectiveness, efficiency and impact. Evaluation should provide information that is credible and useful, allowing for valuable lessons learned during the course of the programme or project to be incorporated into decision making and to influence further action. The results of evaluation would determine if the intervention should be carried on, terminated or if the strategy should be changed. The conclusions would be relevant for planning and implementation of other programmes or projects. The evaluation phase may involve some external experts but the role of the implementing organisation and the affected group is very important in conducting an affective evaluation. The outcome may consist of lessons learnt and feedback that is channeled into future programming and/or policy frameworking. Programme/Project Spiral

Effective and efficient programme or project cycle management provides a framework for on-going learning from the process and consequently improvement of interventions. In order to measure lasting impact it is important that the change process is tracked throughout the life cycle of the programme or project. The entire process is therefore not linear but has many feedback loops by which to review the analysis, planning and decision making informed by lessons learned from each of the phases. This explains the fact that development work is never a straightforward process and in reality does not follow the ideal “programme or project cycle.” Since all development work involves continuous learning and change at every stage in the process it is reasonable to think in terms of a programme or project spiral rather than a cycle. The spiral is presented as a changing process whereby experience gained through different activities is systematically incorporated into future ones. Beneficiary and Stakeholder Orientation The active participation of all stakeholders in the different stages is a critical factor for the success of the programme or project. Participation helps to enhance ownership of the intervention by the affected group and to ensure maximum use of the expertise and experience of the other actors involved. In most grassroots projects focus is laid on the local partner as the major stakeholder and every external intervention is directed to supporting the priorities and needs as identified by the local partner. In more complex and sophisticated programmes and projects the requirement is for mutual exchange of knowledge and expertise and the outcome is usually a negotiation between all the stakeholders. In this regard the negotiation process must ensure that the expectations of all stakeholders are clarified and given equal consideration. The approach in this instance is more of collaboration in order to ensure sufficient mutual interest. Understanding the importance of effective and efficient programme or project cycle management practice is paramount to clarifying how the different actors involved in the different stages of a programme or project can learn from the process. While a broad range of approaches and tools have been developed to increase stakeholder participation, PCM serves as the major integrating approach through which all such tools are related and coordinated.


The use of the PCM method ensures that the input processes between partner organisations and the target group are properly interlinked and geared towards a common purpose, which is to achieve the development goal or to improve the current unsatisfactory situation experienced by the target group.

Levels of Partnership Input Processes

Target Group

Partnership

Implementing Organisation

Partnership Funding Agency

Fig. 5 – Levels of partnership and input processes (Source: GTZ Guidelines on Project Cycle Management and Project-Oriented Planning)

Development goal

achieved

Programme/project purpose achieved

Partnership

objective achieved

Partnership

Proposal

Programme/project

concept

Current unsatisfactory

situation


LOGICAL FRAMEWORK APPROACH TO PCM

What is Logical Framework Approach? PCM defines different phases in the lifecycle of a programme or project with well defined process of involvement of different stakeholders, management activities and decision making procedures. It is a methodology to manage the entire programme or project cycle, from analysis, planning, implementation to evaluation using the Logical Framework Approach (LFA) or simply referred to as the logframe. The LFA is a way of thinking and an effective technique for enabling stakeholders to identify and analyse problems and to define objectives and activities that need to be undertaken to address problems identified. Programme and project planners use the logframe structure to test the design of a proposed intervention to ensure its relevance, feasibility and sustainability. The logframe as a key management tool provides the basis for the preparation of activity or implementation plans and for the development of a monitoring system and a framework for evaluation.

LFA as a Dynamic Management Tool

The logical framework is an essential tool that is used by those who prepare and implement projects to structure and formulate their ideas and to present them in a clear and standardized format. However, the establishment of each logframe should be the result of a thorough analysis and a joint planning process whose quality depends on the following factors: Information available The skills of the planning team Consultation of a balanced representation of stakeholders In depth consideration for lessons learnt

The logframe as such is not a rigid instrument but a dynamic tool that needs to be re-assessed and revised as the programme or project develops and as circumstances change during implementation. Such flexibility, however, especially where it concerns budgetary changes must be regulated by agreement and consensus by all the parties involved in the development partnership.

LFA as an Embedded Structure of the PCM Approach The logframe can only serve as a useful and dynamic management instrument with limited shortcomings when it is embedded within the broader context of the PCM approach. This means that by itself alone, the logframe is characterized by potential flaws and limitations. The PCM approach should indeed allow for constant integration of changes and new insight that are the result of analyses and experiences gained during the programme or project cycle. Within PCM such integration and adaptation will be


undertaken in a flexible but organised, transparent and negotiated manner. Only in this context, PCM guided learning can outweigh the risks of rigidity.

The Interlinked Phases of the LFA The logframe comprises of two phases which are carried out progressively during the identification and formulation phases of the programme or project cycle. Using the LFA during identification (analysis) phase helps to ensure that programme/project ideas are relevant, while during the formulation (planning) phase it helps to ensure feasibility and sustainability. Basically the approach can be ear-marked by the following characteristics:

Stakeholder participation Logicality in the design process Reaching consensus based on mutual understanding Consistency in implementation and decision making.

The approach consists of a combination and interlink between the Analysis phase and the Planning phase.

Analysis Phase The analysis phase provides the basis upon which the existing situation is assessed to develop a vision of the future desired situation and to select the strategies that will be applied to achieve them. Programme or project analysis is best done in a workshop environment where all key stakeholders are represented and problems and issues are discussed openly. The four stages of analysis include stakeholder analysis, problem analysis, analysis of objectives and strategy analysis. The LFA is used at this stage to ensure that programme or project ideas are relevant Stakeholder Analysis Stakeholder analysis is a systematic way of assessing the role that different stakeholders have to play in your programme or project. Stakeholders may be affected positively or negatively by programme or project activities and this is based on how each of the stakeholders perceives the existing situation. They may either be individuals, groups, communities or institutions. Understanding all those who would be affected and how they will be affected sets a good base for analysing the problem that your programme or project seeks to address. This information is important in every aspect of programme or project management, especially in design and planning. It is important to do a stakeholder analysis in terms of particular projects or programmes rather than the implementing organisation. This is because stakeholders for different programmes or projects may not be the same. For instance, an NGO that runs many programmes and projects may have stakeholders who are interest in one programme or project and not in another. When conducting a stakeholder analysis, the following issues should be taken into consideration:


Stakeholder profile, which involves the stakeholder’s interests and how they relate with your programme or project aims

Stakeholder consultation, which involves gathering relevant information or data. Stakeholder participation, which involves the input of each of the stakeholders to

the programme or project. Informed decision making based on what has been learnt from the process

Gender and Rights Based Considerations

Programme or project relevance, feasibility and sustainability are likely to be much greater when major stakeholders are consulted during the analysis phase and are actively involved in the planning process. Right holders deserve to be consulted and involved in any decision making process or intervention that affects them, either positively or negatively. For instance, certain programme or project activities may be impossible to realise if both women and men have not been consulted and their respective roles in relation to the programme or project activities agreed upon. Discrimination by gender and downplaying the rights of other right holders affected by an intervention is likely to mitigate the efficiency and impact of the intervention. It is essential therefore to analyse the potential impact of an intervention on men, women, children, ethnic minorities, the disabled and other social groups and their rights given due consideration before important decisions are taken with regards to the intervention, its objectives, strategies and resource allocation. Problem Analysis Problem analysis is an assessment of the negative aspects of an existing situation and representing the relationship that exists between causes and effects in the form of a problem tree. Problem analysis is best done in a participatory workshop involving representatives of all the stakeholder groups. The actual needs of the affected group should first be established, the major or central problem faced by the affected group is identified and then the process follows by identifying the causes to the problem and the effects they produce. Problems do not exist all by themselves; they are always part of a cause-and-effect relationship. If you identify a problem wrongly the solution is most certainly going to be wrong, reason why problems must be expressed in concrete and factual terms and not wrapped up in general and vague language. How to do a Problem Analysis For a better understanding of the concept of problem analysis the process can be done by way of a visual mapping using cards. It is obvious that before the problem assessment workshop, you must have identified a general problem for which you need to provide an intervention.

Get all stakeholders, especially the affected group into a workshop to discuss the general problem and clarify it to make it relevant to contextual priorities. Once the problem has been clarified it becomes a core or central problem

Write the problem down on a card and place it at the centre of a board, for example.

Among the workshop participants, different people will see the same problem in different ways. You should therefore encourage every participant to bring up their


views about the problem. The exercise should capture every perceptive as they form the basis for understanding the whole problem. Try as much to present the problem in terms of how it affects the affected group and make it specific.

Each participant may have to write down their perceptions, each on a card or the workshop facilitator may have to write them down as they are raised by the participants. Participants should use one set of colour cards (orange) for problems that they judge to be causes and another set of colour cards (blue) for problems that they judge to be effects. This helps to distinguish the causes from the effects.

The cards are then arranged on the board in a manner to create a cause and effect hierarchy. If the problem raised is a cause it goes on the lower level below the core problem. If it is an effect it goes on the upper level. The causes should be arranged in their order of ascendency, that is, from the root causes to the immediate causes. The causes help to establish why the problem exists and the effects help to clarify what impact the problem has on the community.

Problem Tree

EFFECTS

CAUSES

Fig. 6 – Example of a problem tree indicating the problems facing the NGO sector

When the process is completed, the diagram will take the structure of a tree – the Problem Tree – representing a comprehensive picture of the existing negative situation, with the causes representing the roots, the core problem representing the trunk and the effects representing the branches of the tree. Problem analysis is particularly important:

In helping to analyse a given situation In identifying key issues to focus on In clarifying the causes and effects of a problem In setting programme/project objectives through participation of all stakeholders

Discussing the problem itself is important and can lead to greater understanding of the issues surrounding it.

Projects

Failure

Freezing/Withdraw

al of Funds

Loss of Stakeholder/ Donor Confidence

Financial

Malpractices

Accountability is

compromised

Poor Reporting on

Project Results

Poor

Governance

Low Staff

Morale

Stakeholder

Dissatisfaction

Poor Monitoring &

Evaluation system

Project Sustainability

not properly addressed

Limitations in scope &

Area of Operation

Mismanagement of

Funds

Poor Programme

design/implementation

Inadequate

Organisational Capacity

Insufficient Funding

Problems Facing the

NGO SECTOR


Analysis of Objectives Unlike problem analysis, analysis of objectives is an assessment and projection of the positive aspects of a desired future situation. It looks at the possible options to solve the identified problem. The assessment involves converting the problems (causes and effects) into objectives that the intervention will seek to achieve and establishing the relationship that exists between the means (methods) and the ends (results). Objectives clearly express what the programme or project is trying to achieve so that activities can be designed to meet them. If objectives are clear, everyone has the same idea why they are engaged in specific activities and progress related to achieving the objectives can be measured. As things change and develop, it may become necessary to alter the objectives on the basis of lessons learnt or changes that occur during implementation. How to do Objectives Analysis The procedure for doing objectives analysis is much simpler once the problem analysis has been done and the problem tree formulated. It involves taking each of the causes and effects and formulating it into objectives so that the resultant objectives tree looks a direct positive reflection of the problem tree. It is most appropriate to do the analysis of objectives in the same workshop and

with the same participants that did the problem analysis. For each of the problems ask participants to write an objective for the

corresponding problem. The objectives should be written on colour cards corresponding to causes and effects on the problem tree but in this case arranged in the hierarchy of means and ends.

Objectives Tree

ENDS

MEANS

Fig. 7 – Example of an objectives tree projecting the desired future situation

Project purpose is achieved

Funding becomes

increasingly available

Donor confidence & support is restored

Sound financial

systems in place

Accountability is

increased

Lessons learnt are

widely disseminated

Improve governance

Increase staff skills & capacity to deliver

Stakeholders eagerly

use services provided

Projects regularly

monitored & evaluated

Sustainability factors put

in place Best practices for

replication identified

Efficient financial

management

Application of PM tools

& techniques

Increase access to capacity building programmes

Access is opened for increased funding

Increase capacity & empowerment of the NGO

Sector


Ensure that objectives identified are desirable and realistically achievable Check the means-ends relationship thus derived to ensure validity and

completeness of the logic of the hierarchy. At the initial analysis the hierarchy might not seem practical. You may need to revise and reorganize the objectives so that they become relevant, feasible and realistic to achieve.

The exercise, when completed will produce an objectives tree as illustrated in Fig 7. The analysis of objectives is important because its outcome will determine the different objectives and results to be included in a logframe. Objectives that are similar should be clustered so that they form the basis for deciding on strategies to achieve them. Strategies Analysis Strategy analysis involves deciding on appropriate strategies for achieving objectives - which of the objectives need to be tackled and which ones need to be left out. It involves deciding on the programme/project purpose, the goal and feasibility of each intervention. How to Choose the Strategy Options

From the objectives tree identify those objectives that are not desirable or feasible. Objectives of the same kind should be clustered into possible strategies.

Agreements should be obtained that the selected strategies are all relevant to solving the core problem.

Arrange strategies as to produce a hierarchy of outputs, purpose and outcomes. Assess the strategies to identify potential projects that can become part of an

operational strategy. Depending on the magnitude of the problem, intervention strategies may require that a programme be designed into a number of projects or a project into a variety of activities.

Strategy Options

Outcomes

Purpose

Outputs

Fig. 8 – Example of an objectives tree projecting the desired future situation

Increase capacity & empowerment of the

NGO Sector

Project Purpose

achieved

Funding becomes

increasingly available

Donor confidence &

support restored

Sound financial

systems in place

Accountability

increased

Lessons learnt are

widely disseminated

Improve

governance Increase staff skills &

capacity to deliver

Stakeholders eagerly

use services provided Projects regularly

monitored & evaluated

Sustainability factors

put in place

Best practices for

replication identified

Efficient financial

management

Application of PM tools

& techniques

Opportunities for capacity building created

Access is opened for

increase funding


Certain considerations need to be taken into account when doing a strategy analysis: What combination of activities or interventions is likely to improve or change the

existing situation and ensure sustainability? Which options best encourage and promote local ownership? Which are the most cost effective options? What are the resources or funding potentials available What other interventions are being carried out

Once identified, the selected strategies can then be transferred into the first column of the logframe to make up the beginning of the construction of the logframe matrix.

Logical Framework Analysis

The Logframe Approach

Stakeholder Analysis: Identify stakeholders, their interest & priorities, how they are consulted & their participation in the programme or project

Intervention Logic: Identify & define programme or project elements, test the internal logic & formulate objectives in measurable terms

Problem Analysis: Identify key problems, constraints and opportunities & determine the relationship between causes & effects

Activity Planning: Decide on what activities need to be done & their sequence & dependency of one to the other, set time frames & milestones & assign responsibilities

Objectives Analysis: Transforming problems identified into objectives to be achieved and determining the relationship between the means (methods) & the ends (results)

Resource Allocation: Matching activity plans with input schedules & developing a budget.

Strategies Analysis: Map out different strategies to achieve objectives and determine overall goals and programme/project purpose

Monitoring & Evaluation: Define indicators for measuring progress, means of verification & decide on frequency of M&E,

Fig. 9 – The logical framework approach indicating components of the analysis and planning frameworks

Planning Phase

The planning framework provides the basis for the programme or project idea or concept to be developed into operational details. The process is the continuation of the LFA sequence and involves transferring the strategy options into the design framework matrix. It forms the basis for scheduling activities and resources and helps to define the exact parameters of the intervention, to ensure that all the pre-requisites for implementation, monitoring and evaluation are in place and to increase the likelihood that the programme or project will be implemented efficiently, effectively and successfully.

Planning Framework Analysis Framework


The planning framework involves identifying priority needs and opportunities, choosing the most appropriate courses of action, agreeing on expected outcomes, calculating the resources needed to achieve objectives, anticipating possible problems and setting clear targets and timeframes for execution. Proper programme or project planning enables you to analyse and assess present needs and future challenges that may undermine and threaten the success of the intervention. The use of the LFA at this stage helps to ensure programme or project feasibility and sustainability. Preparing the Logical Framework – Programme/project Design Matrix (PDM)

The PDM is a format that sets out the basic structure of a programme or project in table format with a four by four matrix and defines the logical interrelationship between the different elements. The PDM otherwise known within other development circles as the logical framework matrix (LFM) is an analytical stakeholder presentational tool that helps to present the relationships between activities, outputs, programme/project purpose and overall goal in a logical and summarised format. It is an important tool, especially for understanding programmes and projects supported by different donors.

Programme/Project Description

Objectively Verifiable Indicators

Means of Verification

Important Assumptions

Overall Goal Contribution to a broader impact, programming framework or policy

How will the overall goal be measured in quantity, quality and time?

Data collection - how when & by whom?

Programme/project Purpose Direct benefits to the target groups

How will the specific objectives be measured in quantity, quality & time?


If purpose is achieved, what assumptions must hold true to achieved overall goal

Outputs Tangible products or services delivered by the programme or project

How will the outputs be measured in quantity, quality & time?


If outputs are achieved, what assumptions must hold true to achieved the purpose

Activities Tasks that have to be undertaken to deliver the desired results

Means Costs If activities are completed, what assumptions must hold true to achieved outputs

Pre-conditions Conditions that must be me for activities to commence

Fig. 10 – Format of the programme/project design matrix

Interpretation of the logic of PDM The matrix in its basic form is a table consisting of four columns and four rows. For better understanding, the logic must be read vertically and horizontally. The vertical logic identifies what the programme or project intends to do and clarifies the causal relationships, important assumptions and uncertainties that are beyond the control of the


programme or project. The horizontal logic has to do with measuring the effects and the input through the specification of key indicators and means of verification. Programme/Project Structure - Levels of Objectives

The objectives selected for inclusion into the programme or project is transposed into the first column of the logframe. This sets out the intervention logic, otherwise known as the programme or project structure which defines the basic strategy underlying the intervention. The structure is specified in terms of four elements and the logic is that inputs allow for activities to be carried out through which outputs (results) are generated. The outputs contribute to the achievement of specific objectives (programme or project purpose), which then contribute to the overall goal. At this stage it is important to ensure that the levels of objectives are correct. Overall Goal: The overall goal defines a broad development objective to which the programme or project contributes in terms of its impact or broader benefits to society. It should explain why the programme or project is important to society in terms of the longer term benefits to the target group and the wider benefits to other groups and how it fits into sectoral, national and/or international development policy frameworks. It is important to note that the singular intervention of your programme or project cannot all by itself claim achievement of impact. Impact is measured by the contribution of many different initiatives. Programme/project Purpose: The programme or project purpose, which is also known as the specific objectives should address the core problem and be defined in terms of the intended direct benefits to the beneficiaries or target group. Outputs: Also referred to as results, the outputs describe the product of the intervention which accords benefits to the target group. It describes the added value generated by the programme or project as a result of the activities carried out. The outputs should address the main causes of the problem that the target group is confronted with. In order to guarantee relevance of outputs the target group demand for the programme or project services should have been identified during problem analysis stage. Activities: Activities describe how the programme or project is implemented, what it will do to produce the expected or desired output. Mastery of the use of the logframe is determined not only in understanding the definitions of the terms used but also in understanding the operational practicalities, especially with regards to the relationship between outputs and programme or project purpose. Although Programme and Project Managers are accountable for delivering the outputs, the extent of their control over the target group is limited. The achievement of the programme or project purpose requires response from the target group itself, whereby they make use of the services provided and by so doing derive benefits for themselves. Programme and Project Managers have a clear responsibility for ensuring that services provided by the programme or project meet beneficiary needs and preferences.


Considering Assumptions It is obvious that when objectives are set not all of them would have to be addressed by the programme or project. As strategies are set and transposed into the PDM those that are left out, together with other external factors, are likely to affect the programme or project implementation and long term sustainability. Assumptions describe the external environment of the programme or project and constitute factors that influence programme or project performance and sustainability but which are beyond the direct control of the programme or project. They must be presented as positive conditions that need to be in place in order to move from activities through to the goals. This helps management to be constantly aware of the risks and uncertainties facing the programme or project. The relationship between the programme or project structure and the external environment is summarised in the “if and then” statement. For example, if the activities are carried out and certain assumptions hold true then outputs will be achieved. Assumptions are likely to change and so must be monitored regularly in order to be able to take corrective action to safeguard the success of the programme or project when they do change.

Programme/project Structure

Objectively Verifiable Indicators

Means of Verification

Important Assumptions

Overall Goal

Then

Programme/Project Purpose If Then

and

Outputs (Results) If

Then

and

Activities If

And

Pre-conditions

Fig. 11 – Relationship between programme/project structure and the external environment

Preconditions on the other hand are factors that must be met before commencement of the programme or project. These conditions need to be met if the programme or project is to succeed and for the benefits to become sustainable. They are therefore different from assumptions. In adding assumptions into the PDM two steps need to be distinguished namely; identifying assumptions and assessing the assumptions.


Identifying Assumptions:

From the objectives analysis, identify those objectives that are not considered within the selected strategy but which are important in determining the success of the programme or project.

Place them as factors that are beyond the control of the programme or project at the appropriate levels on the PDM.

Identify other external factors that must be fulfilled in order to achieve the overall goal, the programme or project purpose and the output.

Identify pre-conditions that have to be met before commencement of programme or project activities.

Once assumptions have been identified they are stated in terms of the desired situation so that it becomes easy to verify and assess them. Assessing the Assumptions:

Assess the importance of the external factors based on conclusions arrived at as indicated in the diagram below.

The external factor that answers almost uncertainly to the question if it will be realised, must be left out.

The external factor that answers likely should be included as an assumption. The one that seem unlikely must be redesigned.

Fig. 12 – Assessment of Assumptions

Do not include in logframe

Do not include in logframe

Include as an assumption

Almost certainly

Likely

Unlikely

Stop the programme or project, it

is not feasible

Redesign the programme/project by

adding activities or results. Reformulate

the programme/project purpose if

necessary

Will it be realised?

Is the external factor important?

No

Yes

Yes

No

Is it possible to redesign the

programme/project in order to

influence the external factor?


Once done, the intervention logic and assumptions, beginning from the preconditions must be checked to see if the intervention logic is in fact logical and coherent and to ensure that nothing has been overlooked. Ensuring Programme/Project Sustainability Once the intervention logic has been established, and prior to completing the PDM it is important to ascertain that the sustainability of the intended programme/project benefits are analyzed. Sustainability means the degree to which the benefits or long term impact of a programme or project are carried beyond the lifecycle and after all the input processes or the major part of donor assistance have been completed. The PCM approach ensures that the sustainability factor is in-built in the design process rather than being hastily considered as an add-on concern at programme or project completion. A timely sustainability analysis will allow for additional outputs or activities to be included in the programme or project during the planning phase in order to increase the chances of sustaining the benefits. To assess programme or project sustainability the following factors need to be considered:

Ownership by beneficiaries: Policy framework Appropriate technology Environmental issues Socio-cultural issues Gender balance Institutional and management capacity

Logframe Objectives Hierarchy Evaluation Criteria

Fig. 13 – Programme or project sustainability factor as defined by the PDM (Adapted from PCM & Evaluation in Rural & Regional Development Projects, Doctoral School Kajaani 2006)

Relevance

Efficiency

Effectiveness

Impact

Impact or long term benefits

Outset Problematic Situation

Overall Goal

benefits

Project Purpose

benefits

Outputs

benefits

Activities

benefits

Input

benefits


To ensure programme or project sustainability, factors affecting sustainability are addressed as part of the planning process and evaluation results are used to build lessons learnt into the design of future programmes or projects. Integrated Approach Using Standardised Documentation Programme or Project Cycle Management links activities both at the level of the intervention framework (programming, planning and implementation) as well as at the level of sectoral and development partnership framework. This ensures proper vertical integration. This also helps to standardize terminology and set of procedures, assessment and evaluation criteria and documentation to ensure full transparency and mutually reinforcing good management practices throughout the programme or project cycle. It is worth noting that standardize does not mean rigid. This means that if PCM is considered a learning cycle, then what is regarded as standardized is therefore also subject to change based on the evaluating of activities at every stage. Lessons learnt would therefore be incorporated into the programme or project cycle. Completing the PDM Objectively Verifiable Indicators Objectively verifiable indicators define targets, which form the basis for performance measurement and the monitoring and evaluation system. They describe the programme or project in operationally measurable terms. Once indicators have been identified they should be defined in terms of quantity, quality, time, target group and location to ensure that they are specific. For example, formulating indicator for an objective that seeks to improve the quality of life will go as follows: Objective: Standard of life improved

Set Quality (how better): Incidence of poverty reduced Set target group (who): Incidence of poverty reduced among the youths Set location (where): Incidence of poverty reduced among the youths in rural and

sub-urban communities Set quantity (how many or how much): Incidence of poverty reduced among the

youths in rural and sub-urban communities by 30% Set timeframe (when): ): Incidence of poverty reduced among the youths in rural

and sub-urban communities by 30% within three years Indicator 1: Incidence of poverty reduced among the youths in rural and sub-urban communities by 30% within three years. Indicator 2: Increase the rate of self-employment and the creation of income generating activities by the youths in rural and sub-urban communities by 50% within three years. Indicator 3: Reduce the rate of HIV/AIDS infection among the youths in rural and sub-urban communities from 40% to 20% by 2013.


According to this logic, different persons using the indicator to measure the set objective should be able to obtain the same results. For the sake of clarity of the expected change and for effective monitoring it is useful to have more that one indicator, which can reasonably and cost effectively be collected. Means of Verification

How will you know you have achieved what your programme or project set out to achieve? There must be a means by which to show evidence that your work has been done. The means of verification define the sources of information for verifying progress in achieving set targets. This entails defining the process of data collection throughout the programme/project cycle. The column describes how information will be collected, when it will be collected and by whom. Means of verification are the instruments providing information that makes it possible for indicators to be monitored and verified. When indicators are formulated, the source of information and means of collection should be specified. To ensure reliability the source of verification should carry the following specifications:

Collection tools by which information will be collected, e.g. interview questionnaires, registers, attendance records, activity reports, etc.

Who will be involved in the information collection? When or how regularly should the information be collected – monthly, quarterly or

yearly? Format in which the information will be made available, e.g. programme or project

reports, records, official statistics, etc. These specifications help to determine the cost effectiveness of the process. Indicators that are found to be too expensive and complicated to collect should be left out. How to Identify means and Costs

Means and costs refer to the human, material and financial resources needed to execute the programme or project. In order to provide an accurate estimate of the inputs for the programme or project, planned activities and management support activities must be specified in sufficient details. The cost for collecting data on the indicators should be given high consideration.

Strengths and Weaknesses of the PDM Strengths The LFA encourages people to consider expectations and how to achieve

objectives Checks the internal logic of the plan ensuring activities, outcomes and objectives

are linked. It forces planners to identify critical assumptions and risks affecting project

success Planners think about how to monitor and evaluate process and impact indicators


Weaknesses A powerful but not a comprehensive tool for planning or management It is time consuming and requires a thorough understanding of the logic and of the

concept of the logical framework analysis. Problems can be compounded by too rigid application of the LF (changing

environment) LFA should be supported by technical, economic, social and environmental

analysis

Application of the Logical Framework Approach

Using the Logframe to Develop Operational Plans After the logframe is completed planning can then take place to include more operational details to the summarised plan as contained in the PDM. The manner in which programme or project activities will be operationalized is demonstrated through the preparation of work plans and activity schedules. The PDM constitutes the main planning framework of a programme or project and therefore a very important document. It defines the main features of the intervention but does not contain all elements of a comprehensive plan and so does not in itself guarantee an appropriate implementation of programme or project activities. It however provides the basis for the elaboration of the technical and operational aspects. The concept of operational planning is therefore aimed at an efficient implementation of the planned programme or project activities and takes into account the following issues:

A detailed activity plan covering content and management activities, and A detailed resource schedule

Activity Planning

The activity plan is a method of presenting the activities of a programme or project, which identifies their logical sequence and any dependencies that exist between them and provides a basis for allocating management responsibilities for completing each activity. The schedule is therefore a detailed month by month breakdown of the main activities listed in the PDM into sub-activities and manageable tasks. Usually, activities may depend on each other, that is, the commencement of one may depend on the completion of the previous. It is therefore ideal to present the activities in the sequence in which they will occur over time so that it becomes easy to see the flow of events and the means and cost necessary in undertaking them.

The activity schedule offers an opportunity to build on the main tasks and develop the level of detail necessary to manage and monitor implementation of the intervention and the development partnership at a practical level. The detail schedule is developed from the main activities contained in the PDM in order that the link between the problem, the objectives and the activities are maintained.

The essential components to be considered when doing activity planning include:


Timing of activities Allocation of tasks and responsibilities Appropriate estimation of means and costs calculation

The procedure for preparing the activity plan follows these steps listed below: Step 1 - List the main activities: The main activities as contained in the PDM are a summary of what the programme or project plans to do in order to achieve its objectives. They form the basis for the preparation of the activity plan. Step 2 - Break activities down into sub-activities and manageable tasks: The technique is to break each activity down into sub-activities and to further break each sub-activity down into manageable tasks. Tasks can then be allocated to individual programme or project team members, which they are responsible for delivering on as their short term goals. The rationale for doing this is to get the level of details right and to ensure that the activities become significantly simple to carry out and managed easily. The level of details, however should become enough when you have had sufficient information to enable you estimate time frames for execution and the resources needed and also for defining job descriptions for the persons responsible for executing the activities. Step 3 - Determine sequence and dependency of activities: It is important to clarify the order in which activities should be carried out from start up to completion. Some activities may run concurrently while the start up of some may depend on the completion of others. Step 4 - Determine start up, duration and completion of activities: Timing involves making a realistic estimate of the duration of each activity and then carrying it into the activity plan to determine possible start up and completion dates. Timing might not be very accurate but it is worth while doing the estimate. At least it sets guidance for the programme or project to be executed within time constraints. Step 5 - Identify process indicators and milestones: There must be a way by which to track the work that you do and to measure progress in carrying out activities. This is done by setting indicators and important milestones by which performance will be measured. Milestones are key events that indicate levels of progress and targets for the programme or project team to aim at. Step 6 - Define expertise and allocate responsibilities: When tasks have been defined it becomes easy to determine what expertise is required. This provides the opportunity to check the feasibility of the activity plan with regards to the human resources available. Task allocation carries with it the responsibility and accountability for achieving milestones and assigned tasks. Task allocation must therefore take into consideration the competences, skills and experiences of each of the team members.

The activity plan, when it is done and completed can be presented in a summarized graphical format called the Gantt chart. The Gantt chart as illustrated in Fig. 14 is the most appropriate technique for doing activity planning and if properly done can serve as a valuable monitoring tool.


Activities Break down main activities into manageable tasks

S

F

Duration - Months

J F M A M J J A S O N D

Allocate tasks among

Staff sw co sw

1. Establish office

2. Put logistics in place,

build public relations, etc

3. Prepare training material 4. Plan, schedule workshop 5. Seek accreditation for

training programmes 6. Provide consultancy

services to other NGOs Etc, etc.

LR SR LR

LR LR LR LR

SR LR

S = Start date, F = Finish date, SW = Support worker, Co = Coordinator, LR = Lead role, SR = Support role = Milestone

Fig. 14 – Gantt chart template illustrating activity schedule and milestones

Resource Scheduling Resources are the inputs that are required in order to carry out the planned activities and manage the programme or project. Once all the activities have been entered into the schedule the means necessary to carry out the activities must be specified. The means include human and material resources and should be allocated to established cost categories. All the identified resources are then translated into monetary terms to get the costs for executing the programme or project activities over time. This requires breakdown of planned activities and specified management support activities into sufficient details to enable appropriate estimation of the inputs for the programme or project. In the case of a development partnership where the programme or project has different funding sources, programme or project costing should allow for allocation of costs between the different partners so that each party is clear about their respective contributions. The simple logic for obtaining costs per activity or per cost category of activities is by multiplying quantity within a specified timeframe by unit cost. The procedure for doing the resource schedule is to:

Work out the human, material and financial inputs necessary for carrying out the planned activities

Work out the human, material and financial means needed to carry out management and support activities, which are not included in the logframe.


Calculate the estimated costs of all the resources that have been identified. Cost estimates must be based on careful and thorough budgeting

Generate a resource schedule table like the one indicated in Fig.15. List all the activities into cost categories and calculate the corresponding cost for each category.

The summary of this can then be transposed into the logframe to make it complete and comprehensive. The activities that need to be undertaken are normally listed in the first column, the inputs in the second column as they have been identified and in the third column a summary of the costs as per the budget origin.

Activities and Resources

Unit

Quantity

Unit Cost

Funding Source

Total Cost

Variable Invariable

Activities (Copy activities from activity plan)

1. Organise capacity building workshops 1.1 Prepare manuals & training materials

1.2 Invite leading experts to facilitate

2. Organise conferences

GTZ

DSD

R1,280,000

R 820,000

R 460,000

Material Resources

1. Equipment

2. Office Supplies

IP R 120,000

R 86,000

R 34,000

Human Resources

1. Salaries and Allowances

2. Staff Training

Etc, Etc

6

4

12 mths

3 mths

R2,600

GTZ R 460,000

R 428,800

R 31,200

Fig. 15 – Example of how to prepare a Resource Schedule

The PDM when it is completed provides a concise summary of the programme or project objectives, indicators for measuring progress, sources by which information collected will be verified and the main risks and assumptions that may affect the achievement of objectives. Together with the detailed activity plan the PDM provides a comprehensive explanation of how the programme or project will be implemented, monitored and evaluated.

Role of the Logframe in Monitoring, Evaluation & Reporting The obvious sequence of events after programme or project planning and funding is implementation. In the ideal six-phase programme or project cycle implementation occupies the fifth position. It is during this phase that the actual work of the programme or project takes place. Programmes and projects if they are implemented without sufficient controls will hardly go according to plan. It is the duty of management to establish control systems to ensure that it stays on course towards the achievement of its objectives. Without such systems of control it will be hard to determine what progress or impact has been made through the implementation of activities.


Differentiating between Monitoring and Evaluation

Monitoring

Monitoring is defined as the systematic and continuous collection, analysis and use of information for management control and decision making. Programme or project monitoring is an integral part of day-to-day management and a tool by which information is provided for management to identify and solve implementation problems and to assess progress in relation to established plans. It measures the gap between what was intended and what is actually happening. Internal evaluation on the other hand diagnoses the reasons for the gaps and provides options for how to respond. Without monitoring, it is difficult to manage or evaluate a programme or project. Designing a Monitoring System: To ensure that the programme or project maintains a focus on activities the design of a programme or project level monitoring system follows five steps: Analyze objectives in order to clarify

programme or project design. Proper monitoring depends on clearly stated objectives. The logical framework helps to ensure that objectives are correctly defined and that actions are result oriented. This logical sequence simplifies the choice of monitoring indicators.

Programme or project implementation usually does not take place immediately after its design. Some time might have elapsed from the moment it was designed to the moment of actual implementation and the programme or project environment or the actors involved might have changed. It is therefore wise and sensible in such a situation to organize a start up workshop bringing together all the stakeholders to review programme or project documents and key assumptions. Activities should be revised as well to ensure that they are clearly formulated and that they remain realistic, specific and measurable. These will form the basis for the monitoring and evaluation system.

Review Implementation Procedures to determine what information is needed at

the different levels of the programme or project management structure. This step involves matching information needs to decision making roles in accordance with the level of detail of information required by each level of management and the frequency of reporting. The logframe provides the framework for identification of information needs as a whole. Spelling out clearly who needs what information and for what purpose helps to determine the kind of information to be collected.

Monitoring

What is monitoring? A systematic management activity Analyses efficiency & effectiveness

– measures actual against planned activities to identify remedial action

How is it done? Rapid & continuous analysis,

useful to improve on-going actions Focuses on resources, activities &

results in the logframe Important in improving

performance

Who does the monitoring? Internally by staff but can also be

done by external monitors

When is it done? Regularly – on a day-to-day basis Takes place at all levels of

management


A review of implementation procedures involves a review of what activities will be undertaken and by whom. This should be done with reference to the activity plan. By so doing, various roles, functions and responsibilities are clarified.

Review indicators that will be used for measuring progress and achievement of

objectives. Within the implementation team the focus will be on the physical and financial monitoring of activities and results. This will require tools for proper and efficient record keeping, which will be used to compare actual expenditure against budget and track progress against the established activity schedule. The reason for major weaknesses in the design of monitoring and evaluation systems is because indicators are poorly specified. Some common problems associated with the selection of indicators include: Selecting too many indicators – The temptation for most programme and project managers is to over estimate the amount of information that they actually need for decision making. Programme and project managers should be able to make a trade off between the amount of information they need and the amount of information the programme or project can produce. Selection of indicators should specify the minimum set of information and the management levels where the information is required. More detail is needed at the day-to-day operational level while aggregated and summarized data is used at higher levels. Selecting complex indicators – Complex indicators present major problems for data collection either in terms of the skills or resources required. Over concentration on progress indicators - A programme or project that focuses principally on collecting progress indicators runs the risk of not providing sufficient information on the performance of the programme or project. Using leading indicators, on the other hand makes it possible to gain a clear indication of the likelihood of achieving the objectives. Selection of impact indicators along side progress indicators is a critical part of programme or project design and in fact sharpens the definition of objectives and identification of target clients.

Design report formats to provide managers at different levels within the

programme or project with access to relevant and timely information for analysis and decision making.

Prepare implementation plan for the monitoring system, which specifies the necessary staff, skills and training required and clearly allocates information and reporting responsibilities.

Evaluation

Evaluation is a systematic and objective assessment of an on-going or completed programme or project, its design, implementation and results. It involves understanding the gaps between what was intended and what is actually happening and looking at the operational and strategic options to make adaptations, if necessary.


An evaluation should provide information that is credible and useful, enabling the incorporation of lessons learnt into decision making processes. While evaluations are therefore meant to improve decision making, resource allocation and accountability, learning is actually the core agenda. Thus evaluation can better be understood not as an intervention to judge the actors or to please the stakeholders but rather as an opportunity for learning. The evaluation phase in the programme or project cycle is a moment of assessment to identify and widely disseminate any lessons learnt. The following evaluation types can be distinguished based on the timing of the exercise:

Mid-term Evaluation: This is an interim evaluation that is usually undertaken in the course of the programme or project to review progress and propose changes to programme or project design during the remaining period of implementation.

Final or end-of-programme/project Evaluation: This kind of evaluation is undertaken to document the resources used, results obtained and progress made towards objectives. The objective is to generate both positive (what went well and why) and negative (what did not go well and why) lessons which can be used to improve future designs.

Impact Evaluation: This type of evaluation is conducted several years after programme or project completion to measure the impact of the intervention on society. Such an impact or the lack of it will also indicate to what extent the programme or project results have proven to be sustainable.

What to Evaluate: Evaluation should be concerned here with two issues: the programme

or project performance as well as the development partnership. Programme or project performance: The evaluation exercise should aim to establish how well or how badly the programme or project has performed in achieving its purpose and reaching its overall goal, to document any lessons learnt for decision making and adaptation where necessary. Evaluating a programme or project’s performance helps to test the programme or project for is mainstream potential – if the intervention can be replicated elsewhere or incorporated in the different partners’ mainstream services. Development Partnership: Evaluating the development partnership provides the opportunity to test to what extent the different partners involved in a programme or project lived up to and respected their commitments. Programme or project failure at times might be due to gaps and shortfalls of the development partnership. The roles and

Evaluation

What is Evaluation? Systematic & objective assessment

of a programme or project Assesses the relevance, efficiency,

effectiveness, impact & sustainability in relation to objectives

Focuses more on results-to-purpose & purpose-to-overall objectives

How is it done? In-depth analysis, Identify lessons learnt

Who does the monitoring? Specialist external evaluators.

When is it done? Periodic - once or twice during the

programme or project cycle. Mid-term, to re-orientate

implementation End-of-programme/project, to draw

lessons from the past to orientate future policies & actions


responsibility framework of the development partnership should serve as a useful source of information for evaluating the development partnership. Evaluation Criteria and their link to the Logframe: It is evident that in the absence of a

proper design, applying evaluation criteria becomes very difficult. The five principal evaluation criteria that are normally applied during evaluations are indeed closely linked to the logframe matrix (PDM). Being a summary of the project design, a poor logframe will therefore not guarantee an effective evaluation. The evaluation criteria can be defined as follows: Relevance: The appropriateness of programme or project objectives to the problems that it was supposed to address and to the environment within which it operates, and including an assessment of the quality of programme or project preparation and design, that is the logic and completeness of the programme or project planning process and the internal logic and coherence of the programme or project design. Efficiency: How well inputs/means have been converted into results in terms of quality, quantity and time and the quality of the results achieved. This generally requires comparing alternative approaches to achieving the same outputs, to see whether the most efficient process has been adopted. Efficiency involves ensuring that the results have been achieved at reasonable cost. Effectiveness: An assessment of the contribution made by outputs to the achievement of the purpose and how assumptions have affected programme or project achievements.

Change

Utilization

Action

Allocation

Fig. 16 – Linking evaluation criteria to the logframe

Overall Goal

Efficiency

Impact

Relevance

Effectiveness

Sustainabilit

y Have and will products and

benefits be maintained?

What are the benefits to

society?

How well did outputs

contribute to achievement of

the project purpose?

How were inputs and activities

converted into outputs?

Quality planning & adaptation,

relevance of problems,

indicators, means, costs,

assumptions and risks

Project Purpose _+ Assumption

Outputs +Assumptions

Activities + Assumptions

Mean + Pre-conditions


Impact: The effect of the programme or project on its broader environment and its contribution to the wider development objectives as summarized in the overall goal and also in the achievement of overarching policy objectives. Sustainability: An assessment of the likelihood of continuation of benefits produced by the programme or project after external funding has ended and with particular reference to factors of ownership by beneficiaries, policy support, economic and financial factors, socio-cultural aspects, gender equality, appropriate technology, environmental aspects and institutional and management capacity. The steps involved in an evaluation exercise closely follow the hierarchical objective structure of the programme or project design. By following this systematic approach all aspects of the programme or project achievements are evaluated. Costs: The actual input costs are compared with plan. This forms the basis of variance analysis. Was there a budget revision? Was the nature and timing of inputs in accordance with the plan? Did the various donors and partner agencies fulfill their financial obligations? Activities: Actual schedule and achieved compared with plan. Were they any delays in implementation of time savings? What were the causes for delays, if any? How did deviations from plans affect the programme or project? Results: Indicators of how activities were transformed into outputs. These indicators are usually process indicators that report successful completion of tasks; others will be quantified targets, while some will aim to measure efficiency of programme or project activities. Efficiency indicators compare actual input as a ratio of actual outputs. Calculation of these ratios will permit comparisons to be made over the life of the programme or project to see if performance has improved, and also comparison with other programmes or projects. Programme/Project Purpose: Indicators of achievement of sustainable benefits for the target group. These effectiveness indicators show whether or not the programme or project has achieved its purpose and whether services are sustainable, i.e. will the services to the beneficiaries continue after external assistance has ended? In the case where the programme or project actual performance does not compare well with the plan, the evaluator must investigate to know if the poor performance is due to problems arising from the initial problem analysis, from the programme or project design or from implementation. Aspects of sustainability must be evaluated thus, was the

institutional and managerial capacity of the programme or project accurately assessed? To what extent was programme or project support implemented? Was the financial viability of the programme or project adequately appraised? The evaluation should also examine the standard and quality of goods and services generated by the programme or project in the opinion of the final beneficiaries. Evaluation of effectiveness and sustainability requires the evaluator to gather information


not only from within the programme or project environment but also through meetings and field visits to beneficiaries and other organisations. Overall Goal: The programme or project contribution to sectoral objectives and the wider society. Programmes and projects are usually just individual contributions to a broader thematic or sectoral policy framework and should be evaluated from within that context. The advantage of this is that several programmes or projects can be evaluated at once and their results related to wider policy objectives. Reporting Programme and Project Managers will want to review progress very frequently, say monthly against contracted budgets and planned activities. Much of the data will be of an operational nature for programme or project team’s internal use. A few selected items plus aggregated data on equipment and materials are considered key indicators for reporting on progress recorded. For monitoring to be described as complete and successful, information collected must be communicated – in the right form, to the right person and at the right time. This enables timely and appropriate management decision making to address problems and to ensure that the programme or project is maintained on course. To communicate information requires appropriate mechanisms to ensure that the necessary information is generated and utilized in a timely and effective manner. Two types of mechanisms include: Progress Reports: Progress reports are periodic summaries of progress made in the

implementation of programme or project activities, incorporating key information from the physical and financial indicators included in the logframe, activity and resource schedules. Progress reports must also provide evidence of how the programme or project is fairing in relation to the plans. Progress reports should be designed in a standard format – the contents matching closely the logframe and its related outputs so that comparison between reports over time becomes easy. The purpose of progress reports is to provide updates on achievements against indicators and milestones using the following framework: Data about intended achievements is compared with

Data on actual achievements, to identify…

Significant variations from plans, as a basis for…

Identification of problems and opportunities, to identify…

Corrective action and alternatives. Within this framework, the report should cover the following areas: Summary of the current status of the programme or project against indicators for

programme or project purpose and outputs


Major activities undertaken during the reporting period as compared to the activity schedule

Programme or project expenditure for the reporting period as compared to the budget and cost schedule

Estimates of the number of clients and beneficiaries reached out to during the period

Current and anticipated problems and constraints encountered during the period and how they have been handled or planned to be handled

Planned major activities and schedules for the next period

Progress Review: This involves a rapid oral assessment by the programme or project

team of current issues and problems. This can be advantageous because direct feedback is easily obtained from the programme or project implementers. However it poses a big problem if it becomes too frequent or to rigorous. The temptation is usually to adjust established plans at the suggestion of ideas that seem bright. If this becomes the practice then you may end up spending more time planning and re-planning rather than actually doing the work, and the consequence will certainly be serious delays in meeting targets and milestones. It is advisable to strive to build on achievements rather than continually adjusting plans.


GLOSSARY OF TERMS

Activities These are the actions and inputs that have to be undertaken

to produce the results. Activities summarise what will be undertaken by the programme or project.

Activity Plan (Schedule) A tabular representation describing tasks and their processes,

allocating responsibilities and resources and expected outcomes and setting out timeframes and indicators for measuring progress.

Assumptions These are external factors to the programme or project which

have the potential to affect the progress or success of programme or project implementation but which the programme or project manager has no direct control over.

Beneficiaries These are the ultimate users of the product or output of the

services provided by a programme or project. They are usually the principal stakeholders of every development programme or project.

Development Development is described as a structured process of an

intervention to change or improve a current undesirable situation to a future situation that is considered satisfactory.

Development Partnership (DP) Describes the situation where different actors in pursuit

of a common development goal come together and pool their expertise, financial and material resources to facilitate a development initiative and to ensure that self-help initiatives are properly coordinated to run successfully.

Evaluation: This is a periodic assessment of the relevance, performance,

efficiency and impact of an intervention against its stated objectives. It is carried out as an independent objective examination with a view to drawing lessons that may be replicated more widely.

Feasibility Study This is a study that is conducted during the life time of a

programme or project to verify if the intended intervention is well founded and is likely to meet the needs of the intended beneficiaries. The results of the study are used to inform programme/project design and justification for funding.

Gantt Chart A graphical presentation of activities, timelines and milestones

for completion of activities and allocation of responsibilities.


Good Governance A set of principles and procedures to guide the management of a development partnership.

Indicators These are the informants that help to determine if what was

planned has been achieved. Indicators provide the basis for designing an appropriate monitoring system.

Integrated Approach This is the consistent examination of the development

partnership as well as the implementation process throughout the programme or project cycle to ensure that the relevance, feasibility and sustainability of activities remain in focus.

Intervention Logic This is a description of the strategy underlying a programme

or project. It is a narrative description of the programme or project at each of the four levels of the hierarchy of objectives used in the logframe.

Logical Framework Approach This is a methodology for thinking through a

programme or project and for planning, implementing strategies and evaluating results. It involves analyzing problems and objectives and designing the implementation of identified strategies.

Monitoring This refers to the systematic and continuous collection,

analysis and use of information for management control and decision making

Objectives Analysis A projection of the desired positive situation derived from

assessment of the identified causes and effects of a problem. Outputs Outputs are the results or what a programme or project would

have achieved by the completion date of certain activities. Outputs are produced by carrying out a series of activities.

Pre-Conditions These are the conditions that must be met before a

programme or project can commence. Problem Analysis A structured assessment of a negative situation in order to

establish their causes and effects Programme/Project A Project is a series of activities with set objectives, designed

to produce a specific outcome within a limited time frame and budget. A programme is a series of projects with a common overall objective.

Programme/Project Cycle Describes the life of a programme or project from

conception of the initial idea through to its completion. It is usually divided into phases and provides a structure to ensure that stakeholders are consulted, defines the key decisions,


information needs and responsibilities at each stage so that informed decisions can be made at the different phases of the cycle. It draws on evaluation to build on lessons learnt from experience into the design of future interventions.

Project Cycle Management A methodology for preparing, implementing and

evaluating programmes and projects based on the integrated approach and the logical framework approach.

Project Design Matrix (PDM) This is a summarized format of a programme or project

design. It presents the objectives, assumptions, indicators and sources of verification for a programme or project. It is also referred to as the logframe.

Replication: This is the process of transferring best practices and lessons

learnt from an intervention for implementation in other situations experiencing similar problems.

Resource Schedule A breakdown of a programme or project budget where means

and costs are linked to activities, detailed duration and funding sources.

Sources of Verification This is an indication of where and in what form information on

the achievement of overall goal, specific objectives and outputs (described by the OVIs) can be found.

Stakeholders These are individuals, groups or institutions with an interest or

relationship with a programme or project. They may directly or indirectly, positively or negatively affect or be affected by the process or outcomes of a programme or project.

Strategy Options Strategies are the results of a critical assessment of the

alternative ways of achieving objectives and selecting one or more ways of implementing set objectives.

Sustainability Sustainability refers to the ability to generate a continuous

stream of benefit for a target group and the wider community after external support has ended. While a programme or project is limited by the constraints of time and budget, the benefits should be able to continue and the activities should be developed long after the programme or project has ended.

Terms of Reference Terms of Reference define the tasks required of a

development partnership and its individual partners. They indicate the development partnership background and objectives, planned activities, expected inputs and outputs, budget, timetables and job descriptions.


RESOURCES

We acknowledge the resourcefulness of the following sources and material, which we used extensively in developing this practical guide.

1. Flemish Interuniversity Council, Project Cycle Management, General VLIR

Manual, July 2002

2. John Twigg, Project Cycle Management - Tools for Mainstreaming Disaster Risk Reduction. Guidance Note 5. ProVention Consortium, Geneva 2007

3. Clare Bishop, Project Cycle Management Technical Guide. SEAGA Programme,

FAO 2001

4. Susie Prince and Catherine Squire, Project Management Course Toolkit. Cyprus, March 2007

5. GTZ, Project Cycle Management and Objectives-Oriented Project Planning,

Guidelines, 1996

6. Freer Spreckley, A Project Cycle Management and Logical Framework Toolkit – A Practical Guide for Equal Development Partnership, UK

7. Project Cycle Management Training Handbook, ITAD UK, May 1999

8. Introduction of PCM and Identification of Problems and Possible Solutions –

UNEP “ESTs for Drinking Water Provision Training.” FASID

9. Ton Farla, An Introduction to Project Cycle Management. ERI – SEE Workshop

10. Andrea Aldea-Partenen, Project Cycle Management and Evaluation in Rural and Regional Development Projects. Doctoral School, Kajaani, October 2006


REFERENCES FOR FURTHER READING

Here is a list of websites where you can find out more about Programme/Project Cycle Management and how different organisations and development agencies use the concept in their programmes or projects. www.bond.org.uk BOND is a network of UK based voluntary organisations working in

the area of international development and development education www.dfid.gov.uk The UK Government Department of for International Development

(DFID) www.europa.eu.in/comm./europaid/evaluationmethods Provides information on using

PCM within programmes and projects funded by the European Union www.gtz.de/english The German Technical Cooperation (Deutsche Gesellschaft fur

Technische Zusammenarbeit – GTZ) is an international cooperation agency for sustainable development worldwide (Search PCM)

www.ifad.org The International Fund for Agricultural Development (IFAD) is a

specialized agency of the United Nations (Search PCM) www.livelihoods.org Livelihood is an organ of DFID providing information resources and

lessons and experiences learnt from the use of sustainable livelihood approaches

www.mande.co.uk Mande is a news service focusing on developments in monitoring

and evaluation methods relevant to development projects and programmes with social development objectives

www.pcm-group.com/pcm The PCM Group is a training and consultancy company based

in Belgium www.undp.org The United Nations Development Programme is an organ of the

United Nations specialized in international development (Search PCM)

www.worldbank.org The World Bank is an international financial institute. The website

provides information about how the PCM is used in the programmes and projects funded by the World Bank.

http://www.bond.org.uk/

http://www.dfid.gov.uk/

http://www.europa.eu.in/comm./europaid/evaluationmethods

http://www.gtz.de/english

http://www.ifad.org/

http://www.livelihoods.org/

http://www.mande.co.uk/

http://www.pcm-group.com/pcm

http://www.undp.org/

http://www.worldbank.org/


About SASDA Southern Africa Social Development Agency (SASDA) is a development aid agency that focuses on value added and sustainable livelihood, the attainment of quality of life and improves standards of living among marginalized populations in disadvantaged communities. The organisation establishes programmes and projects that promote the development of local communities by mobilizing, organising and empowering community members and vulnerable groups to improve their livelihood It also provides mentoring and capacity building to grassroots and emerging community based organisations as a measure for sustained social growth.

SASDA was founded in 2009 and registered in South Africa as a Section 21 Company, Reg. No: 2009/008569/08. It is also registered with the South African Department of Social Development as a Non Profit Organisation, NPO Reg. No: 068 – 915. The Head Office is situated in Pretoria, South Aica.

Practical Guide to Programme/Project Cycle Management

Government & Nonprofit

Transcript of Practical Guide to Programme/Project Cycle Management