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1 Introduction Francis Wellens 077/45 09 81 Belgian Engineer in Rural Constructions (1978) MBA (1997) Presentation of participants: Rules.

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Presentation on theme: "1 Introduction Francis Wellens 077/45 09 81 Belgian Engineer in Rural Constructions (1978) MBA (1997) Presentation of participants: Rules."— Presentation transcript:

1 1 Introduction Francis Wellens 077/ Belgian Engineer in Rural Constructions (1978) MBA (1997) Presentation of participants: Rules of the game - Participation -Questions throughout (feel free) -Practical issues and examples

2 2 Introduction Workshops foreseen: Wednesday 21/7 Workshop on Project Cycle Management AM Thursday 22/7 Friday 23/7 Wednesday4/8 Workshop from EDF decision to Financing Agreement AM Thursday5/8 Friday6/8 Wednesday 18/8 Workshop on Implementation modalities AM Thursday 19/8 Friday 20/8 Wednesday 1/9 Workshop on Programme Estimates AM Thursday2/9 Friday3/9

3 3 Background and documentation EU-Website:

4 4 Workshop 1, Project Cycle Management Main issues Project Cycle Management (PCM) (day 1) Logical Frame-work Approach (LF or LFA) (day 1 – 2) Activity and resources scheduling (day 2) Managing project quality (day 3) Evaluation (day 3)

5 5 Objectives of this Workshop Results F All principles of PCM are understood F You all know How to use the LFA for all phases of the project cycle How to assess the relevance, feasibility, and sustainability of a financing proposal/project How to best involve other actors during PCM Project Cycle Management Handbook: Project Cycle Management Guidelines:

6 6 Objectives of this Workshop Project Purpose After the course the participants have a full understanding of Project Cycle Management (PCM); they are able to integrate the principles and tools related to PCM in their daily practices related to project management.

7 7 Objectives of this Workshop Overall Objectives: In Sierra Leone F EU aid is improved F Management of EU aid is improved F The effectiveness of EU aid is improved

8 8 Project Project is a combination of:  Objectives  Activities leading to outputs  Duration  Input: generally at least budget and resources Some definitions An undertaking for the purpose of achieving established objectives, within a given budget and time period.

9 9 Project in donor context F Financing and contribution additional to ongoing activities F Limited in time and resources F Contribution to a process of change But Processes of change take place in a context And Context = very complex  Context => changing continuously  Context => many actors are involved and have an influence Some definitions

10 10 Some definitions F Structuring and facilitating of processes of change in order to define objectives in the most effective and efficient way F Ensuring that all major stakeholders are consulted, that their knowledge and insights are used to improve the quality of the project/programme Dealing with complexity and incertainties related to the context and to the human interactions Dealing with the subjective perceptions and values of each of the actors involved in projects F Continuous information collection, exchange and analysis in order to take decisions and to make continuously adaptations related to the quality of projects Project Management: a succession of challenges

11 11 Quality Criteria Relevance relates to whether the project addresses the real problems of the intended beneficiaries and contributes significantly to long term development objectives. Feasibility relates to whether the project objectives can be effectively achieved. Sustainability relates to whether project benefits will continue to flow after the period of external assistance has ended. ? Some definitions

12 12 History of PCM approach Late 1960sLogical Framework (USAID) ➢ International Agencies introduce the Logframe Early 1980sZOPP (GTZ) Objectives-Oriented Project Planning ➢ European countries adapt the ZOPP Early 1990sPCM

13 13 Merging PCM and Logframe The decision making and implementation process defined by the organisation Project Cycle Logframe Approach Project management methods and tools Management How to enhance management

14 14 How to enhance management F Project Cycle Management Defines different phases in the project life with a well-defined process of involvement of different stakeholders, management activities and decision making procedures F Logframe Approach A methodology for analysing, planning, managing and evaluating programmes and projects, using tools to enhance participation and transparency and to improve orientation towards objectives

15 15 The Project Cycle

16 16 The Programme Cycle, main events

17 17 The Project Cycle, Programming (Country) Strategy paper Product þGeneral analysis of the current situation and future prospects þ Analysis of national priorities þReview of previous collaboration þ Complementary action with other actors þ Strategic choices in collaboration with other stakeholders Steps High level political decision makers from the partner country and the co-operating institution/agency Stakeholder involvement Agreed framework on long term objectives and sector priorities for co-operation in the country/region Purpose

18 18 The Project Cycle, Identification Pre-feasibility (if necessary) Project Identification Fiche (PIF): Relevance and feasibility Decision for appraising or for rejection  TOR for appraisal Product þ Draft ToR for Pre-feasibility (if necessary) þCollect and evaluate information on areas of intervention þ Review/include lessons learned from previous experiences Steps Senior officials of the co-operating institution (NAO) and from line ministries of the partner country, consultants Stakeholder involvement Identification and selection of relevant areas of intervention and project ideas for further studies Purpose

19 19 The Project Cycle, Appraisal A detailed feasibility study (meeting the quality criteria) that is the basis for a financing proposal Outline for activity and resource schedule Product þ Conduct a feasibility study þ Involve the different stakeholders þDefine implementation arrangements þ Elaborate solutions and achieve agreement on the project approach with all stakeholders þ Design logical framework, Activity and Resources schedules Steps Project formulation mission involving all stakeholders Stakeholder involvement A well defined and formulated project according to the criteria of relevance, feasibility and sustainability Purpose

20 20 The Project Cycle, Financing Signed financing agreement Product þPreparation of the Action Fiche (financing proposal) þ Examination of the proposal þFinancing decision Steps Donor and beneficiary (country) Stakeholder involvement Financing agreement and commitment for project resources Purpose

21 21 The Project Cycle, Implementation E.g. project monitoring reports, annual reports Documents þTendering and contract award þ Detailed work plan þ Executing activities þAdapting project activities þ Ongoing monitoring and mid-term evaluation Steps Project implementation team, counterpart institution, beneficiaries and eventually external monitoring Stakeholder involvement Implementing the project towards its objectives Purpose

22 22 The Project Cycle, Evaluation Evaluation report Product þTerms of reference for the evaluation (questions to be asked) þ Organise evaluation exercise with appropriate methods þ Analyse relevance, efficiency, effectiveness, impact, and sustainability þDraw lessons from experiences þ Provide recommendations Steps External neutral party and all relevant stakeholders Stakeholder involvement Accountability and formulation of lessons learned Conclusions for programming and future action Purpose

23 23 Logframe defining the project/ programme structure, testing its internal logic, formulating objectives in measurable terms, defining means and cost (overall) Activity scheduling deter-mining the sequence and depen-dency of activities; estimating their duration, setting milestones and assigning responsibility Resource scheduling from the activity schedule, developing input schedules and a budget Logframe Approach Identify/ problems PLANNING PHASEANALYSIS PHASE Stakeholder Analysis identifying & characterising major stakeholders, target groups & beneficiaries, defining whose problems will be addressed by a future intervention, and which potentials can be used Problem analysis identifying key problems, constraints and opportunities; determining cause and effect relationships Analysis of objectives developing objectives from the identified problems; identifying means to end relationships Strategy analysis identifying the different strategies to achieve objectives; selecting the most appropriate strategy(ies); determining the major objectives (overall objectives and project purpose) Select the option Deduct Define the project logic Specifying and operationalising Identify stakeholders

24 24 Stakeholders F Any individuals, groups of people, institutions or firms that may have a relationship with the project/ programme F They may – directly or indirectly, positively or negatively – affect or be affected by the process and outcomes of projects or programmes Logframe Approach

25 25 Types of Stakeholders F Final beneficiaries, target group(s):Those ultimately positively affected by the project and the quality of the services produced by it – F Project partners: The intermediairies in the aid delivery – direct and intermediate beneficiaries, F Groups, organisations and institutions that can provide additional insights and services (universities, NGOs, consultancy firms, etc.) F Those who may be or feel negatively affected by the project  Key stakeholders are those who participate directly in the various phases of PCM  At different phases of PCM, different stakeholders can and will have to participate Logframe Approach

26 26 Why Stakeholder Participation? F Allows that interventions are adjusted to the social, economic and political realities F Improves ownership F Increases relevance, feasibility and sustainability of the intervention F Enhances local capacities F Strengthens civil society and democratic processes Logframe Approach

27 27 Stakeholder Analyse? Logframe Approach

28 28 Problem Analysis (problem tree) Causes Effects Destruction of coral & mangrove habitats Illegal fishing methods applied Decreasing fish stocks Low price received by artisanal fisherfolk in the village Processed fish is of bad quality Limited access to markets Decreasing in- comes of artisanal fisherfolk Establishing cause-effect relations between problems Logframe Approach

29 29 Analysis of Objectives (tree of objectives) Means Ends Coral & man- grove habitats conserved Incidence of illegal fishing reduced Quality of fish processing improved Access to markets improved R ate of decline in fish stocks arrested Price received by artisanal fisher- folk increased Incomes of artisa- nal fisherfolk increased Turning the negative aspects into future desired, but realistic situations Logframe Approach

30 30 Analysis of Objectives Verify if it is possible to change the identified problems into feasible project aims Developing a set of criteria which will guide the selection of the strategy Logframe Approach

31 31 Analysis of Strategies F The purpose is: to identify possible alternative options or ways to contribute to the overall objectives to agree on priority strategies based on an assessment of the relevance, the feasibility and the sustainability of each of them to concentrate the means of the project on what is really important, effective and feasible Logframe Approach

32 32 Analysis of Strategies F For each of the defined strategies to study: The relevance of the strategy in relation to the overall objectives The feasibility of the strategy taking into account the means of each of the actors involved The chances that the strategy will continue to produce effects after major funding is finished Logframe Approach

33 33 Analysis of Strategies F Important to take into account: the points of view of the different stakeholders especially the beneficiaries and target groups the contribution, potential and capacities of other stakeholders and donors objectives pursued by other projects or interventions The factors influencing the sustainability of the project (policies, economic and financial, socio- cultural, organisational and institutional capacities, environmental and technical factors, etc.) Logframe Approach

34 34 Analysis of Strategies (IV) RESULTS OVERALL OBJECTIVE PROJECT PURPOSE Coral & man- grove habitats conserved Incidence of illegal fishing reduced Quality of fish processing improved Access to markets improved Rate of decline in fish stocks arrested Price received by artisanal fisher- folk increased Incomes of artisa- nal fisherfolk increased OUT IN Decision based on: budget, priorities, human resources available, social acceptability, urgency,... Logframe Approach

35 35 Logframe Matrics Objectively Verifiable Indicators Intervention Logic Sources of Verification Assumptions Project Purpose Results Activities Pre- conditions MeansCost Overall Objectives Intervention Logic Longer-term benefits to final beneficiaries and the wider benefits to other groups. Sustainable benefits for the target group(s) as part of the beneficiaries. “Products” of the Activities undertaken. “Actions” necessary to produce the Results. “physical and non- physical inputs” to carry out the planned Activities. Crucial factors outside project control. OVI Describe the projects achievements in measurable terms. Sources directly related to the OVI.

36 36 Logframe Basics ‘... IF results are delivered, AND assumptions hold true, THEN the project purpose will be achieved...’ Objectively Verifiable Indicators Intervention Logic Sources of Verification Assumptions Overall Objectives Project Purpose Results Activities Pre- conditions MeansCost

37 37 Interlocking Logframes Activities Results Overall Objectives Project Purpose Activities Results Overall Objectives Project Purpose Activities Results Overall Objectives Project Purpose Programme Project Project component

38 38 Example: from sector programme to component Interlocking Logframes

39 39 Logframe: An Example INTERVENTION LOGICOBJECTIVELY VERIFIABLE INDICATORSSOURCES OF VERIFICATIONASSUMPTIONS OVERALL OBJECTIVE Incomes of artisan fishermen increased The net income of 75% of the 3600 fishermen member of the fish co-operatives in region X has increased by 25 % at the end of the project. The number of radios and motorcycles increased in the area. Enquiry among members of the co-operatives PROJECT PURPOSE Prices received by artisan fishermen increased By the end of the project the prices for one ton of processed fish paid to the small fishermen organised in co-operatives in region X has increased: for Mackerel with 20%, for sardines with 35%, for salmon with 25% Statistics and accountability of the different co-operatives The production costs will not increase faster than the inflation RESULTS 1. Quality of fish processing improved The quantity of processed fish not accepted by the market decreased with 10% after 1 year and with 50% at the end of the project Records of the co-operativesThe government remains in favour of the development of the artisan fishery sector 2. Access to markets improvedFish processed by the artisan fishermen of region X can be found on all markets and they can sell 25% of their products on the international market in the capital Survey on the markets Records of the co-operatives ACTIVITIES 1.1 invest in processing units 1.2 train the artisans in making good use of the processing units 1.3 install a cold chain for fish storage and transport 2.1 strengthen the bargaining power of the co-operatives 2.2 organise a representation of the co- operatives in the national fishery board 2.3 organise advertisements for the products of the co-operatives MEANS 5 processing units 4 training sessions (10 days) for 5 people 3 cold chains 10 leadership training Advertissements COSTS total

40 40 Logframe: Final Check the vertical logic is complete and accurate; Indicators and Sources of Verification are accessible and reliable; the Pre-conditions are realistic; the Assumptions are realistic and complete; the risks are acceptable; the likelihood of success is reasonably strong; quality issues have been taken into account and, where appropriate, trans-lated into Activities, Results or Assumptions; the benefits justify the cost; if additional studies are needed they are included.

41 41 Activity & Resource Scheduling Budget Budget Salaries Allowances Vehicle Op. Office Tel/Fax Seeds Fertiliser Budget Workplan Results-based ressource schedule Logframe Results-based Workplans

42 42 Activity Scheduling An activity schedule: FMaintains objective-oriented approach of logframe FBreaks activities down into operational detail FClarifies sequence, duration and precedence of activities FIdentifies key milestones FAssigns management responsibility and implementing responsibilities and should include management tasks Workplan

43 43 Steps in the Preparation of an Activity Schedule

44 44 Resource Scheduling A resource schedule: FMaintains objective-oriented approach of logframe FFacilitates results-based budgeting and monitoring of cost-effectiveness FProvides basis for planned mobilisation of resources (external & local) FIdentifies cost implications þ Counterpart funding requirement þ Post-project financial sustainability Budget Budget Salaries Allowances Vehicle Op. Office Tel/Fax Seeds Fertiliser Budget

45 45 Steps in the Preparation of a Resource Schedule

46 46 Monitoring of Implementation Monitoring: u Is a systematic management activity u Actual progress is compared to plan in order to identify necessary remedial actions u Takes place at all levels of management u Uses both formal reporting & informal communications u Focuses on resources, activities & results in the logframe

47 47 Evaluation: Major Issues What for? u Accountability u Learning

48 48 Types of Evaluation Desired situation PROJECT Mid-term review End-of project or final evaluation Ex-post or impact evaluation Present situation Time Sustained benefits and impact

49 49 Project Proposal Identify Information Needs Financing Proposal Formulate questions concerning project relevance, feasibility & sustainability Ensure that information collection & analysis is effectively planned Ensure that draft Financing Proposal meets PCM requirements The ProcessManagement Tasks Relevance Feasibility Sustainability   Study objectives Issues to be Studied Workplan Format for Feasibility Study TOR Assessing the Quality of a Financing Proposal Management Tools  Formulate Feasibility Study TOR Assess document quality Draft Financing Proposal Managing Project Quality

50 50 FPolicy support FAppropriate technology FEnvironmental protection End of Project Sustainable Unsustainable Flow of Benefits (impact) Result Project Purpose Time FGender & socio-cultural issues FInstitutional & management capacity FEconomic & financial viability Managing Project Quality Factors Affecting Sustainability

51 51 Characteristics of the project / programme Factors of the project / programme implementation system The context partner target group region and sector degree of innovation duration scale and complexity project plan (preparation, objective system, relationship between local and external elements) project execution (management and organisation, participation and institutional set-up, financial factors) the phase after the end of the project Socio-political and cultural context ecological situation unexpected incidents Macro-economic situation relevant policies level of institutional development Analysing sustainability Managing Project Quality

52 52 Standardised documentation Linked objectives Basic Format 1. Summary 2. Background 3. Sectoral and problem analysis 4. Project/programme description 5. Assumptions, risks and flexibility 6. Implementation arrangements 7. Quality factors Annex: Logframe Feasibility studies Financing proposals Annual reports Evaluation reports Budget Budget Salaries Allowances Vehicle Op. Office Tel/Fax Seeds Fertiliser BudgetWorkplan Results-based work plans and budgets Logframe National / sectoral objectives NIP Integrated Approach Managing Project Quality

53 53 1. Summary 2. Background 3. Sectoral and problem analysis 4. Project/programme description 5. Assumptions, risks and flexibility 6. Implementation arrangements 7. Quality factors Annex: Logframe Standard format & terminology during all phases of the project cycle Objectives: Faide mémoire of key issues Fcommon understanding Ftransparency Finstitutional memory Standardised Documents Managing Project Quality

54 54 Managing Project Quality Basic Format for all documents Summary 1. Background: Overall EC and Government policy objectives, and links with the Commission’s country programme or strategy, commitment of Government to over-arching policy objectives of the EC such as respect of human rights 2. Sectoral and problem analysis, Including stakeholder analysis and their potentials 3. Project / programme description, objectives, and the strategy to attain Including lessons from past experience, and linkage with other donors’ activities Description of the intervention (objectives, and strategy to reach them, including Project Purpose, Results and Activities and main Indicators) 4. Assumptions, Risks 5. Implementation arrangements Physical and non-physical means Organisation and implementation procedures Timetable (work plan) Estimated cost and financing plan Special conditions and accompanying measures by Government / partners Monitoring and Evaluation 6. Quality factors Participation and ownership by beneficiaries Policy support Appropriate technology Socio-cultural aspects Gender equality Environmental protection Institutional and management capacities Financial and economic viability Annex: Logframe (completed or outline, depending on the phase)

55 55  Project cycle phases - structured & informed decision-making  Partner / stakeholder orientation - involve- ment of stakeholders in decision-making  Logframe planning - comprehensive & consistent analysis  Sustainability - mechanisms to ensure continued flow of benefits  Integrated approach - vertical integration & standardised documentation Basic format PCM Principles

56 56 Why Project Cycle Management Results-oriented – not activity driven Consistency Logically sets objectives and actions Participatory stakeholder involvement Transparency Comprehensive approach Shows whether objectives have been achieved: Indicators (for M&E) Framework for assessing relevance, feasibility and sustainability Describes external factors that influence the project’s success: assumptions and risks

57 57 Criteria for Evaluating Development Assistance F Relevance F Efficiency F Effectiveness F Impact F Sustainability

58 58 Evaluation of Relevance u Analysis appropriateness of project objectives to the problems that it was supposed to address u Controls somehow the logic and completeness of the project planning process, and the internal logic and coherence of the project design Overall Objectives Project Purpose + Assumptions Results + Assumptions Activities + Assumptions + Preconditions allocation action utilisation change Relevance Means

59 59 Relevance = The extent to which the aid intervention is suited to the priorities and policies of the target group, partner country and donor Possible questions: © To what extent are the objectives of the programme valid for the beneficiaries? © Are the activities and results of the programme consistent with the overall objectives? © …

60 60 Evaluation of Efficiency u Analysis on how successful the project has been in transforming the means u Provides the stakeholders with information on inputs / costs per unit produced Overall Objectives Project Purpose + Assumptions Results + Assumptions Activities + Assumptions + Preconditions allocation action utilisation change Efficiency Means

61 61 Efficiency = Efficiency measures the outputs – qualitative and quantitative – in relation to the inputs. It is a term which signifies that the aid uses the least costly resources in order to achieve the desired results. This generally requires comparing alternative approaches to achieving the same outputs, to see whether the most efficient process has been adopted Possible questions: © Were the activities cost-efficient? © Are the unit costs comparable to … © …

62 62 Evaluation of Effectiveness u Analysis on how well the production of project results contributes to the achievement of the project purpose Overall Objectives Project Purpose + Assumptions Results + Assumptions Activities + Assumptions allocation action utilisation change Effectiveness + Preconditions Means

63 63 Effectiveness = A measure of the extent to which an aid intervention attains its objectives Possible questions: © To what extent was the project purpose achieved/is likely to be achieved? © What were the major factors influencing the achievement or non-achievement of the project purpose? © …

64 64 Evaluation of Impact u Analysis of the overall effects of the project u Analysis of the contribution of the project purpose to the overall objectives u Also analysis of unintended impacts (negative and positive) Overall Objectives Project Purpose + Assumptions Results + Assumptions Activities + Assumptions allocation action utilisation change Impact + Preconditions Means

65 65 Impact = The positive and negative changes produced by an intervention, directly or indirectly, intended or unintended. Possible questions: © What real difference has the activity made to the beneficiaries? © How many people have been affected? © …

66 66 Evaluation of Sustainability Analyses likelihood of benefits produced by the project to continue to flow after external funding has ended with particular reference to factors of ownership by beneficiaries Overall Objectives Project Purpose + Assumptions Results + Assumptions Activities + Assumptions allocation action utilisation change Sustainability + Preconditions Means

67 67 Sustainability = Sustainability is concerned with measuring whether the benefits of an activity are likely to continue after donor funding has been withdrawn. Possible questions: © To what extent did the benefits of a programme or project continue after donor funding ceased? © What were the major factors which influenced the achievement or non-achievement of sustainability of the programme or project? © …

68 68 Problem Analysis (problem tree) Establishing cause-effect relations between problems

69 69 Analysis of Objectives (tree of objectives) Turning the negative aspects into future desired, but realistic situations

70 70 Analysis of Strategies (IV)


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