Download MANUAL on PROJECT CYCLE MANAGEMENT

MANUAL
on
PROJECT CYCLE MANAGEMENT
Guidelines on Identification, Design and Implementation of Successful Local
Authority Projects
RPRLGSP, May 2009
0|Page
Contents
Forward .....................................................................................................................................3
The PCM Directory ..................................................................................................................4
Criteria to Measure Project Success ........................................................................................5
1. Introduction to PCM ........................................................................................................6
2. Introduction to PCM stages .......................................................................................... 11
3. Stage 1: Policy setting................................................................................................... 13
4. Stage 2: Project Identification ...................................................................................... 16
5: Stage 3: Appraisal ......................................................................................................... 18
6. Stage 4: Formulation/Planning ..................................................................................... 22
7. Stage 5: Commitment /Contracting.............................................................................. 28
8. Stage 6: Implementation, Monitoring and Mid-Term evaluation .............................. 32
9. Stage 7: Final evaluation .............................................................................................. 43
10. Conclusions ................................................................................................................... 46
Annex 1: PCM Checklist ...................................................................................................... 47
1|Page
List of Tables
Table 1: IDP planning system............................................................................................... 15
Table 2: Pre-feasibility criteria ............................................................................................. 19
Table 3: Log-frame matrix .................................................................................................... 24
Table 4: Designing a monitoring system ............................................................................. 39
Table 5: Sustainability factors .............................................................................................. 45
List of Figures
Figure 1: The PCM approach ..................................................................................................6
Figure 2: PCM-A systems approach .......................................................................................9
Figure 3: Appraisal steps....................................................................................................... 19
Figure 4: Example of a log-frame's intervention logic........................................................ 25
Figure 5: PCM Organogram ................................................................................................. 30
2|Page
Forward
This manual facilitates Local Authorities in Kenya, to apply modern approaches and tools
in Project Cycle Management, PCM. This will enhance their capacity to design and
deliver more systematic, participatory and results oriented projects.
A quality control checklist for each project phase is annexed to this manual. This
checklist should be used alongside the manual and the PCM Tool Box that has been
developed to mainstream the PCM approach in Local Authorities.
The PCM manual is a contribution towards positive changes to the ways LAs operate
service delivery projects. Application of these tools is therefore of particular emphasis
and priority for LAs; the Ministry of Local Government will play a crucial role in fast
tracking the use of this manual to all LAs in Kenya.
Key topics and approaches are adopted from global PCM Best practice, and from the
PCM curriculum used by "Management for Development Foundation" , MDF- a
management training and consultancy firm whose focus is to strengthen the
implementation of development interventions. (www.mdf.nl)
We acknowledge the technical and financial support of the European Commission.
3|Page
The PCM Directory
Introduction to key concepts and terms
Evaluation
Goal
Impact
Impact
assessment
Indicator
Log frame
Monitoring
Multi project
management
Output
Performance
management
Performance
measurement
Programme
Programme
management
Project
Results Based
Management
Stakeholders
Strategic
planning
Sustainability
4|Page
A systematic way to improve and account for project actions at outcome level
The wider development purpose to which a project or programme should
contribute. The goal is expressed as a statement of intended or hoped for
change in relation to the key-issue or problem that is addressed.
Changes that the project may bring about or contributes to among the target
group and others, usually at the level of the overall objective (goal)
The systematic analysis of the lasting or significant changes – positive or
negative, intended or not – in people’s lives, brought about by an action or a
series of actions.
A measure or signal of progress or change
The logical framework (log frame) is a set of related concepts that the most
important aspects of an intervention in the form of a matrix describes in an
operational way
A continuous assessment performance measures at input, output, and outcome
levels
A form of portfolio management to control simultaneously, a number of
projects, which do not necessarily have any relevant connection with respect
to content. The common factor of the projects is that they are executed on
behalf of one supporting organisation (the principal).
End result of activity
Those processes (including performance measurement) that use results of
performance measurement to make improvements in strategic objectives or
the way things are done.
Process used to measure predetermined objectives and outcomes
A group of related projects and/or (ongoing) activities managed in a coordinated way and aiming at achieving a set of predetermined or programme
objectives. Programmes usually include an element of ongoing activity.
A form of portfolio management of a variety of projects and/or programmes
selected, planned and managed in a co-ordinated way, which together achieve
a set of defined objectives
An intervention that consists of a set of planned, interrelated activities
designed to achieve defined objectives within a given budget and a
specific/specified period of time.
An approach to public sector management that focuses on results
Persons/organizations having an interest in the project
Proactive, long term /multi year planning focusing on the big picture or
vision, and predetermined goals and objectives.
According to the DAC, a development programme (or project) is sustainable
when it is able to deliver an appropriate level of benefits for an extended
period of time after major financial, managerial, and technical assistance from
an external donor is terminated
Criteria to Measure Project Success
Criteria
Conformity
Effectiveness
Efficiency
Feasibility
Impact
Participation
Ownership
Profitability/
Costeffectiveness
Relevance
Replicability
Sustainability
5|Page
Description
Does the presentation of the
intervention comply with the formally
approved documents and the respective
procedures?
Have the planned results and purpose
indeed been achieved?
Are the planned resources necessary
and sufficient in quantity and quality to
implement the activities?
Considering the context of the
intervention, will the planned activities
indeed lead to the expected results (in
quantity and quality) and is it possible
to implement these activities?
Have the Purpose and Overall
Objectives been achieved and what
have been the unintended effects of the
intervention? Do the positive effects
outweigh the negative ones?
To what extent have concerned parties
been involved? Do they show
commitment and responsibility for the
intervention?
Factor of economic and financial
sustainability
Key elements in
logical framework
All elements
Key phases in
Project Cycle
All through the
cycle
Results, Purpose and
Assumptions
Implementation
Evaluation
Costs, Means,
Activities
Appraisal
Contracting/
commitment
Formulation and
Appraisal
Results, Activities,
Indicators,
Assumptions and
Pre-Conditions
Purpose and Overall
Objectives
Implementation
Evaluation
All elements
All through the
cycle
Purpose, Results,
Activities,
Indicators,
Assumptions
Overall Objectives,
Purpose, Results,
Assumptions on
level of Purpose and
Results
Appraisal
To what extent will the Purpose
contribute to achieving the Overall
Objectives? (Often political objectives
of donor and recipient country).
Are the Results necessary and
sufficient to attain the Purpose?
Would the same activities of the
Activities, Results
intervention produce the same results
and Purpose (target
in the future in another area for another group)
group of beneficiaries?
Identification
(especially the
problem analysis)
Will the intervention be able to
generate benefits over a more or less
extended period for the beneficiaries
after completion of external
assistance? (see 7 factors of
sustainability)
Formulation and
Appraisal
Results, Activities,
Indicators,
Assumptions
Appraisal
Evaluation
1. Introduction to PCM
Overview of PCM concepts, benefits and applications
1.1
Introduction to Project Cycle Management
This chapter presents an overview of project cycle management, a management approach
that should be used to guide Local Authorities in the design and implementation of
effective and efficient projects. Research has shown that a lack of clear project
methodology reduces the success rates of projects.
1.2
Definition of ‘Project Cycle Management’
The systematic process of initiating, planning, implementing, managing and evaluating
projects or programmes is known as ‘Project Cycle Management’, PCM ; it is also
defined as an approach in project management used to guide management activities and
decision-making procedures during the life-cycle of a project, from the first idea until the
last ex-post (afterwards) evaluation. PCM involves regulating and supervising the various
activities undertaken in each phase of the project cycle to ensure that projects are;
•
•
•
Relevant to beneficiaries
Supportive of policies of the sponsor ; e.g. GoK and other donor partners
Feasible and effective
PMBOK 2008, defines project management as ‘the application of knowledge, skills, tools
and techniques to project activities, to meet specific scope, time, cost and quality goals of
projects’. (PMBOK is short for ‘Project Management Body of Knowledge’, a project
management guide, and internationally recognized standard, that provides fundamentals
of project management.
The application of PCM as an approach to project management has the potential to
address one of the main challenges facing LAs; ‘a lack of a systematic and formalised
approach to project management leading to persistent project failure’.
Figure 1: The PCM approach
(Adopted from MDF-ESA PCM curriculum)
appraisal
tendering
financing
inception
monitoring/backstopping
evaluation
formulation
identification
6|Page
Project implementation
1.3
Definition of projects
PCM is applied to projects and it is important to understand what a project is.
A project can be either, a physical structure or a process, therefore may include a plant,
process, system or software. A project can be either large or small.
A project has many definitions therefore;
‘’Work that is temporary and produces a unique product or service’’ (KLGRP, Service
Delivery Tools)
‘’ An intervention to conduct activities, in order to provide assistance,
That will allow the ‘users’ to improve their own situation’’
Confirm who—use power point
‘’An undertaking for the purpose of achieving established objectives, within a given
budget and time period’’
‘’An investment of resources to produce goods or services’’
‘’Temporary endeavours undertaken to create unique products, services or results’
(PMBOK)
From the above descriptions, a project usually has a defined start and completion dates
and has a short duration relative to the subsequent working life of the investment/facility/
or service provided by the project. When the initial work is finished, the project team
disbands or moves on to new projects. Producing unique products or services is why
projects are often referred to as ‘one-time shots’. A project can also be categorized as
‘’new work’’, ‘’modification of existing work’’, ‘’maintenance and refurbishment’’.
1.4
Measuring project success or failure
Projects are said to have failed because they do not meet 5 criteria or success conditions
which are used to judge their success ; (i) Efficiency (ii) Effectiveness (iii) Feasibility
(iv) Viability (v) Sustainability.
The quality of projects is therefore not measured on arbitrary standards, but through
objective criteria listed above. The most significant is ‘effectiveness’, because this
criteria measures whether the ultimate objective of a project has been met i.e. did the
project deliver expected results? ; did the conditions of beneficiaries improve? LAs
therefore, need to focus on PCM, because this approach introduces tools and approaches
that promote the success of projects. Four (4) of these success criteria are particularly
crucial and are elaborated in table 2, chapter 2.
7|Page
•
•
•
•
Efficiency and effectiveness
Effectiveness
Feasibility
Sustainability
1.5
Benefits of PCM
PCM is an important function of project management and can assist local authorities to
learn from past experiences, improve decision making and streamline communication
between various departments. PCM should not be considered as a purely technical
method with a number of instruments & stages to be applied mechanically. On the
contrary, it should be seen as a management method to achieve more effective and
efficient communication within departments, with stakeholders, beneficiaries, financiers
and sponsors, with information feeding backwards and forwards at every project stage.
PCM has an instrumental role in improving the level and quality of planning, improved
ways of working and ultimately, through improved service delivery, benefits to
communities and citizens will be realized. The application of PCM is dependent upon the
relative size, complexity, urgency, importance, novelty and interdependence of other
projects. This means that small projects with nominal costs, may not be programmed
through a formal project cycle; for example buying of school desks, or issuing a bursary
may not require PCM, but the construction of a school does.
When PCM is applied effectively, the following benefits can be realized;
• Goal/Objective oriented: Implementation of projects will be in accordance with
predetermined objectives and not on the whims of individuals
• Coordinated project management: Project execution will be coordinated and
overseen by appointed project managers, and not by those randomly picked
without proper consideration (refer to chapter 3- Planning and implementing, the
role of project teams)
• Sound & objective appraisal: The project will be designed and appraised based
on sound research and feasibility criteria, and not on voting and consensus which
does not capture the viability issues
• Good management & governance: The Local Authority will pursue good
management practice including risk assessment, good planning and prioritizing,
assessment of progress through monitoring, and use of monitoring feedback to
guide corrective action. Such management promotes good governance and
professionalizes the project management process
• Long term planning: PCM improves long-term planning because the ‘policy
setting’ stage includes strategic review of long term goals and objectives
• Increased accountability. There will be increased accountability for results
because individuals and teams will be assigned specific results that they must
deliver
• Standard methods and procedures. As opposed to a mixed up process of
managing a project, the PCM approach introduces a standard method and
8|Page
•
•
•
•
procedures for running projects stage by stage, which provides officials and
stakeholders with a road map of expected results, at each stage of the process (See
PCM-CP Checklist Annex 1)
Stakeholder ownership. This is enhanced because PCM is a participatory
process
Increased efficiency in planning and use of resources. Through the PCM
method, project resources are planned for before the project is executed, and
adjustments are made during project implementation.
Formal documentation. PCM requires documentation of procedures, processes
and results. This ensures that there is an accurate record of information for every
project step
Enhanced monitoring and evaluation. PCM sets in place a process of
monitoring based on agreed milestones. Without PCM, it is hard to create an
effective monitoring framework and results are hard to establish.
Figure 2: PCM-A systems approach
1.
A (learning) approach
involving the stakeholders right from the design, including the implementation
of the project,
- creating a framework for learning
- Providing an overview and adherence to the different phases in order to
facilitate having a coherent portfolio of projects.
2. An instrument
- The instrument used in all phases of PCM is the logical framework. It is a tool
for consistent and complete project design and management.
3. The administrative organisation
- To gain efficiency and improve communication and co-ordination, within the
project organisation and with other organisations, the organisational set up
needs to be clearly defined (“embedded”) in:
flow of documents produced in the various phases of the project cycle,
decisions that are taken in each phase using uniform criteria,
procedures and regulations in each phase of the cycle.
-
1.6
How to apply PCM in the Local Authority
Local Authorities implement projects as one of the main strategy to deliver services.
They are classified as, ‘Multi Project Organisations’ MPOs; they execute multiple capital
& social projects consecutively and/or simultaneously, using the same institutional
resources. Research1 indicates that 90 percent of all projects are executed by MPOs. To
succeed as MPOs, PCM is a vital process for Local Authorities and has an impact on how
well they deliver quality projects.
It is therefore of fundamental importance that LAs understand and apply project cycle
management through the detailed stages involved in the life of a project, from
1
Payne, J.H. (1995): Management of multiple simultaneous projects: a state of the art review; in International
Journal of project management, vol. 13, no.3 June 1995, pp163-168
9|Page
identification, preparation/planning, implementation, monitoring and evaluation. Each
project proceeds through a cycle of activities, or project stages, starting with the initial
needs assessment or problem identification stage, ending with a more intensive process of
designing a project until it is ready for take-up or use by particular users. This step by
step, sequencing of project activities is called the project cycle.
Besides understanding and applying the project cycle, described above, four (4) key steps
are considered significant in the adoption of the PCM approach;
•
Involving stake-holders right from identification, design, implementation and
final handover of the project. This means that community/citizen participation is a
crucial aspect of PCM.
•
Creating a framework for learning so that positive and negative lessons can guide
future decision making. Monitoring and evaluation will create this framework and
M&E is therefore an important strategy in PCM. Adopting project stages/phases
facilitates coherent project execution; the PCM checklist and toolbox should be
used to guide the project stages in the LA. (Annex 2, PCM Tool Box)
•
Appointing specific people and teams, to coordinate the project cycle stages and
provide the necessary backstopping, feedback, corrective action, decisions and
ultimate responsibility for project execution. This is discussed at length in section
3, PCM organogram.
10 | P a g e
2. Introduction to PCM stages
Overview of PCM stages and tools applied in each stage
2.1
Introduction to the Project Life Cycle Stages/Phases
As stated in Chapter 1, PCM is programmed through a project cycle and this cycle is a
logical flow that stimulates people to share the same perceptions, speak the same
language and use the same tools and formats. Typically, the project cycle comprises 6 or
more standard project stages, phases or activities, arranged in a logical sequence to
accomplish a project’s goals or objectives.
Stage 1
Stage 2
Stage 3
Stage 4
Stage 5
Stage 6
Stage 7
Policy setting
Project Identification
Appraisal
Formulation/planning
Contracting/ commitment
Implementation, monitoring & midterm evaluation
Final evaluation
These phases make up the project life cycle process. For each phase, the required
technical outputs, activities and persons or organisations involved have to be described.
Organisations, LAs included, have developed their own cycles with their own specific
phases, but in general they more or less follow the same pattern.
Politics & Policies
Policy Setting
Final Evaluation
Identification
Implementation
Formulation
Appraisal
Monitoring
Mid-Term Evaluation
Contracting/
Commitment
11 | P a g e
2.2
•
•
•
•
•
•
Characteristics of the project life cycle
The project is divided into several distinct phases or stages
Each stage is marked by a number of deliverables or phase outputs
Usually one phase consists of several sub-phases or activities
The stages are progressive – each stage should have ‘phase exits’ or completion
points that allow the next stage to be tackled with success
Common terminology is used to describe a project cycle. For example:
programming, identification, formulation, financing and evaluation; (words used
to describe various stages may differ slightly but the way of thinking remains the
same)
A technical review should be carried out at the end of each phase, to review if all
the phase outputs have been achieved. This way, a project manager can monitor
the application of PCM in a sequential manner
12 | P a g e
3. Stage 1: Policy setting
3.1
Introduction
Tool 1 of the PCM tool box contains detailed guidelines, a checklist and format to guide
strategic planning.
Stage 1 of the project cycle is policy setting and this is the establishment of the
development vision guiding the Local Authority. Policy setting includes the strategic
planning process whereby the long term direction of the Local Authority is established
and the LA establishment ensures that all systems and budgets support that strategic
direction. The strategic plan therefore is considered a long-term plan and is often inspired
the council’s own mandate for service delivery, and also by the national policy
framework such as Kenya Vision 2030, and national poverty reduction goals. Once the
strategic plan is adopted, it becomes the policy guideline or strategic framework of a
Local Authority and the strategic goals and objectives are then implemented in a
systematic, incremental manner.
3.2
Integrated Planning Approach to Service Delivery
Integration here refers to consistency and close relationship between the various plans
that constitute local authority planning; i.e. integration between strategic structure plans,
corporate strategic plans, spatial plans, LADP, LASDAP, and annual budgets.
In the past, local authorities were required to prepare a five year development plan
(LADP), and annual budgets; however, this has been replaced by the 5 year strategic
plan; the most advanced being the integrated development plans that take into account
land use and spatial planning. This approach to planning is not new, and it has been
practiced successfully in other countries like South Africa, through the ‘Integrated
Development Planning Process’ that was institutionalised through the ‘2000 Municipal
Systems Act’. This type of planning provides a strategic framework for democratic LA
governance, setting out the needs, vision, priorities goals and strategies for 5 years. This
plan is revised annually, and provides guidelines for community participation. Table 2
presents the SA IDP process and budget cycle, which should be a good model for Kenyan
LAs to emulate.
Integrated planning therefore, is a process of coordinating, harmonizing all the LA plans
including spatial plans, LASDAP plans into a unified strategic master plan with clear
goals, objectives, strategies, activities and procedures to meet them. This strategic
approach to planning does not contradict the LASDAP guidelines, which advocate that
LA planning can be done at two levels;
• Strategic Planning: Five year rolling plan
• Operation Planning: This is the short-term plan e.g. LASDAP, annual budget or
project plan
13 | P a g e
3.3
Salient Considerations in Integrated Planning for Service Delivery
3.3.1 Capacity building
Internal issues of capacity building and financial management are equally important for
to support the implementation of integrated development plans, because, strategic
planning requires strong institutional capacity. LAs must find ways to support their teams
to learn the skills of strategic planning and how to implement strategic plans. They must
also address operational and human resource weaknesses and threats so that the strategic
plans can become a reality. Investing in organizational development programs is
therefore necessary to sustain IDP.
3.3.2 Public/Community/Stakeholder Participation
In planning and implementing service delivery, LAs should involve the peoplecommunities, stakeholders, beneficiaries, benefactors; while looking out for the interests
or concerns of special groups such as the poor, women headed households, the
marginalized and vulnerable requiring affirmative action, as envisaged in Vision 2030 or
other development goals like Millennium Development Goals, MDGs. Throughout the
planning cycle of the LA, community participation is a crucial ingredient. Community
participation harnesses the ideas and resources from the community. It also engenders
ownership of the plans and projects, thus guaranteeing sustainability of the planned
projects and programmes. Throughout these plans public participation is assured through
stakeholder workshops and consultations.
Community participation should be institutionalized through the Local Government Act
and LASDAP regulations, and promoted though citizen advisory groups or community
consultative groups, public fora like barazas, workshops and seminars, neighbour-hood
groups such as residents associations etc.
Joint ventures or private/public partnerships should be encouraged in service delivery.
The participatory nature of strategic structure planning encourages stakeholder
participation so that it is as inclusive as possible of all the groups, individuals, rate payers
and citizen entities within the LAs area of jurisdiction. This ensures that good practices
are observed at stage 1 of PCM, ‘Policy Setting’. Projects emanating from such a process
are more likely to be sustained because all stakeholders have a common interest in their
success.
14 | P a g e
•
•
•
•
•
•
•
•
Best practice Note
Strategic planning may only succeed if it has obvious support of the chief
executive, (Clerk) legislative body (Full Council) and all department heads. The
lack of top level support creates a strategic plan with a very short life span.
Studies worldwide have shown that projects supported by a strategic planning
framework have a considerably higher success rate.
Strategic planning is a best practice
Today’s vision becomes tomorrow’s reality
Provides a realistic workable framework for results
Responds best to citizen interests
Promotes accountability
Strategic planning requires strong advocates
Enhances efficiency, effectiveness & good decision making
Table 1: South African model of IDP planning system
ELECTION
YEAR
0
PREPARATION
1
2
3
Integrated Development Plan
BUDGET
BUDGET
BUDGET
4
ELECTION
5
BUDGET
Phase 1
Phase 2
Phase 3
Phase 4
Phase 5
BUDGET
Information is collected on the level of development in the municipality
The Municipality works on finding solutions to problems identified in phase 1
The municipality works on designs and contents of projects identified in phase 2
Projects are linked to internal and external funding, and integrated through the spatial
development framework, disaster management plan, and financial plan other existing
programs. Key performance indicators are set
The IDP is presented to the Council for consideration and adoption. Draft is presented to
the public for comment before full adoption and implementation commences.
Adopted from ‘Voices from Below’ reflecting 10 years of public participation: the case of local
government in the Western Cape Province. Ismail Davis, May, 2005
15 | P a g e
4.
Stage 2 : Project Identification
4.1
Introduction
The CP too box contains detailed guidelines and checklists on how to identify projects
through a participatory needs assessment.
Stage 2 of the project cycle is Project identification or initiation, where LAs identify
projects from an assessment of existing demand for goods or services based on 3 main
sources,
•
•
•
The Council’s Strategic Plan/IDP
The annual LASDAP consultations where citizens articulate their needs
Baseline surveys and diagnostic studies to meet special needs
The main practice in LAs however, is to follow their primary mandates in the choice of
projects, with additional ‘demand’ projects from LASDAP priorities. This planning is
often called ‘demand led planning’ and is often disjointed from the more proactive policy
and strategic planning process that has been described in stage 1. The problem with this
demand approach is that project feasibility and sustainability is affected because the
demands led planning comes with vested interests not matched with an objective
appraisal of projects. As a result, LAs invest in a fragmented portfolio of projects that are
neither linked to the national plans nor to their own strategic plans.
It is important therefore, that at the project identification/initiation stage, LAs choose
projects from many alternative ideas or schemes that balance between local demands,
strategic priorities, ongoing diagnostics, and research or baseline studies. To determine
‘demand’ projects from communities or stakeholders, 2 key elements are involved; needs
analysis and (ii) situation analysis.
4.2
Needs Analysis
Analysing the present actual situation can be ‘problem based’ or ‘opportunity based’. It
concerns identifying the priority problems/ opportunities and their main causes, and
identifying the causes that can be addressed by the project intervention. It is essential to
understand the resources within the community or from others, that are relevant to
tackling the problems. It is important therefore that all many citizens and stakeholder
groups get the chance to express the problems they experience and recommend solutions.
Discussions, opinions and clarifications by the problem ‘owners’ should be respected.
The Manual on Community Participation has elaborate guidelines on how to conduct
participatory needs assessment & situation analysis. This ensures that ‘ownership’ which
is part of the project pre-feasibility is established from people’s needs and requirements.
16 | P a g e
4.3
Situation Analysis
Situation analysis concerns identifying the priority problems/ opportunities and their
main causes. This is an important factor because people’s desires and assessment of their
needs, may be based on ‘symptoms’ of an underlying or situational factor; addressing the
symptoms will not solve the problems because the cause and effect have not been
properly analysed. A properly planned intervention should therefore combine both needs
analysis and situational analysis, based upon a correct and complete analysis of the
existing situation. This involves analysing the present actual situation through various
methods as described in the CP tool box (transect walk, social mapping, gender analysis
etc). The method chosen, can be ‘problem based’ e.g. what are the prevalent problem
situations or ‘opportunity based’, e.g. is there an opportunity to serve people with
disability?
After discussion and clarification by the ‘problem owner’ or people affected by the
problem, all opinions should be respected. The aim is to create a picture of reality. The
existing situation should be interpreted according to the views, needs, interests and
activities of parties concerned. It is essential that all those involved accept the plans and
are committed to implement them. A greater involvement of the beneficiaries and
stakeholders in defining local problems, identifying solutions and implementing them
ensures that the resulting programmes are more effective and sustainable. Participatory
methods aim to create ownership and commitment among the involved parties.
Once the projects are identified from needs & situational assessments, the LA should
consider the priority projects to be undertaken, and to do this, they must subject those
needs/priorities to further review. This introduces the 3rd stage of the project cycle,
project appraisal stage.
17 | P a g e
5: Stage 3: Appraisal
5.1
Introduction
The PCM tool 3 and tool 4 contain project appraisal criteria and a ranking template to
guide the pre-feasibility required for project appraisal and ranking.
Stage 3 of the project cycle is the appraisal stage. The aim of an appraisal is to identify
and design projects that have a clear foundation for success. If the initial idea is perceived
to offer sufficient potential benefit, it may to be subjected to an appraisal, also considered
as a pre-feasibility which, if affirmative, is followed by a comprehensive feasibility
study. Other words for appraisal are ‘’evaluation, consideration, judgement or review.’’
In reality projects should be appraised a number of times in the project cycle:
•
After initial identification, when the decision has to be made whether to continue
with an identified project to the formulation/planning phase
•
After formulation, when the decision has to be made whether or not the project
will be proposed for funding
•
After an approved project has been tendered, when the project proposals as
written by the parties participating in the tender are appraised. Strictly speaking,
this appraisal does not concern the project proper but the bid proposals
The normal practice in LAs is to table projects from LASDAP consultations whereby
each wards presents their ‘priority projects’, combined with LAs internal priorities. A list
of projects is then tabled before the technical committee for deliberations. At this stage,
the technical committee should not just pick projects as prioritized, but they should
subject each project idea to a pre-feasibility review, or appraisal. Objective appraisal
criteria should be used to ensure that the appraisal process is guided by objective criteria,
rather than personal desires/opinions. The list of projects from wards is then ranked to
determine the most feasible options.
Projects that score high marks mean that the pre-feasibility is positive, and the technical
committee will then proceed with the prioritized proposals to the consensus meeting.
Objective appraisals help LAs to justify their project investments in the expectation of
delivering ‘tested’ benefits when the project is completed.
18 | P a g e
Figure 3: Appraisal steps
Does the project fit within the policy
framework? Is the project relevant in
reference to the policy framework?
Identification
yes
Is the project logic sound
enough? Is the set-up of the
project relevant , effective and
efficient?
Formulation
yes
Is the project feasible?
yes
Is the project
sustainable?
yes
Does the
project have
comparative
advantage
above others?
Commitment/
Contracting
5.2
Appraisal steps
An appraisal should be conducted for all projects to determine the ones that meet
Prefeasibility criteria. This appraisal should precede project planning and design and the
Parameters on figure 3 and table 3, should guide this process;
Table 2: Pre-feasibility criteria
(Adopted from DAC criteria for aid effectiveness and MDF PCM criteria)
Project criteria
Relevance
Efficiency
Interpretation
The validity of the overall goal and project purpose to the needs of
communities
Immediate results (outputs) are necessary and sufficient to attain
the Purpose
A project is efficient when the project costs are necessary and
sufficient in quantity and quality to achieve planned objectives
The degree to which Inputs will be converted into Outputs
Absence of waste for a given output
19 | P a g e
Project criteria
Effectiveness
Interpretation
The extent to which the project’s objectives will be achieved, and
meet the identified needs of beneficiaries
Feasibility
Planned activities can be/will be realized and there are/were no
major obstacles/risks to affect expected results. (economic,
physical, environmental, social, technological risk factors)
Sustainability
Replicability
Impact
The project is realistic from a technical, social/cultural and
political perspective
The project will continue to meet the needs of beneficiaries long
after its completion
The same activities of the intervention can produce the same
results in the future in another area for another group of
beneficiaries
The Purpose and Overall Objectives once achieved will have
positive effects on the target group/communities
Positive changes outweigh the negative changes produced, directly
or indirectly, as a result of the Implementation of the project
The durability of the benefits and development effects produced
by the project after its completion
5.3
Appraisal roles
The appraisal of project proposals is an essential task of LA project managers, because
their decisions will lead to the most crucial decision in project cycle management, which
is to move the proposal forward to the planning, commitment and implementation stage.
Proper appraisal is done in two steps (i) Firstly, to decide whether the project is good
enough in terms of effectiveness and impact. (ii) Secondly whether the project proposal
concerned is better than other proposals. In other words whether it is worthwhile to spend
scarce funds on this project or that these funds can better be allocated to other, more costeffective projects.
Luckily these decisions do not need to be taken in isolation, and the following people can
help in the appraisal process;
LASDAP Technical Committee/LASDAP Monitoring Committee: After LASDAP
consultations, conduct a pre-feasibility study as part of ideas identification. (If LAs are
implementing donor financed projects, financing organisations have appraisal policies for
particular types of interventions). Based on these pre-appraisal reports, the technical
committee presents the most feasible ideas to the consensus meeting, to decide whether to
continue with an identified project to the planning phase.
20 | P a g e
Engineer/Works officer/Town Planning Committee: For complex projects, (e.g. those
requiring high levels of technological/environmental assessment e.g building of an
abbatoir), more teams need to participate in the appraisal process, to be collectively
responsible for the more precise worked-out formulations of the project proposal. They
are expected to work out and commission a comprehensive feasibility study and submit a
feasibility study report to be approved by Council.
Clerk/Treasurer: As part of feasibility study, or project appraisal, the clerk and treasurer
should be involved in the financial appraisal to see whether these proposals qualify for
funding. The proposals are checked on cost-effectiveness and financial viability.
After this initial appraisal, a number of projects may qualify and are therefore sanctioned
by the Council. This sanction implies that the LA is prepared to take risks by committing
itself to major expenditure and is assuming the associated risks. This is a key decision in
the appraisal stage of a project.
5.4
Comprehensive Feasibility study
In some cases, a project of high capital costs, or one that has high social, economic or
environmental impacts, may require a more comprehensive feasibility study in order to
make a well researched decision. To conduct such a feasibility study, the LA will require:
•
•
•
•
•
Clear objectives (stated and agreed)
Market intelligence
Realistic estimates predictions
Assessment of risks
Project execution plan
The local authority should prepare terms of reference for carrying out a feasibility study.
The feasibility may be carried out by an in house team, external consultants or with the
help of officers from the central government. The feasibility study should be carried out
on the basis of terms of reference established during the pre-feasibility study stage and as
approved by the relevant departmental head and council committee. This study is
designed to assist the LA to reach informed and rational choices concerning the nature
and scale of investments in the project and to provide the brief for subsequent
implementation.
21 | P a g e
6.
Stage 4 : Formulation/Planning
6.1
Introduction
Tool 6 and Tool 7 of the PCM tool box contains detailed guidelines, checklist and format
of to guide project planning.
Stage 4 of the project cycle is project formulation or project planning. Once projects are
appraised and have been approved for funding, the selected projects should be planned
according to expected objectives, outputs and inputs.
Ideally, planning should be done by the technical committee, so that details emerging
from the project plans can inform the pre-feasibility process. A project plan is an exercise
to determine what ways, what means and in what time-span, one wants to change a
problem situation. Planning is the consequence of appraisal; ideas that have been
identified, tested and approved, concerning a potentially attainable more positive state
(existence of an interest). In other words, planning is, who will do what, where, when and
by what means.
The output or end result of the formulation/planning phase should be a preliminary
project design, project plan and project document detailing out the project components in
logically interlinked manner to achieve the desired goal. Decisions made at planning
stage determine almost entirely the quality and cost of the project, and therefore the
ultimate success of a project. The project design document should among other things
detail out the implementation schedule and an execution plan consisting of timed
activities, normally called the ‘work breakdown structure’. The project plan summary is
then considered as the ‘design brief’. This is a tool to be used by all those concerned with
a project from the outset; is a way of gathering all the information about a project and
taking the first step towards defining what the project should be like when it is built.
A typical example of a project plan or design briefs is outlined in figure 4.
Examples of design brief objectives
a. 200 livestock farmers in Kapeta and Pevu wards, increase their income from
selling their animals to a slaughterhouse constructed on the main Pevu-Mpaka
road, with all required site services, and enough animals to economically support
the cost of the slaughterhouse
b. By extending and improving Akulima Market, 300 vegetable vendors in increase
their weekly earnings from access to better storage and trading facilities.
To prepare design briefs, documents that may require to be used are;
• Project feasibility study ranking template
• Specific project design manuals (i.e. for markets, bus parks, roads etc)
• Part development plans
22 | P a g e
• Town maps and plans
• Existing site plans and surveys
• Aerial photographs
• Plans of existing on site facilities
Figure 4: Example of design brief/project
plan
‘Design
Brief’
OBJECTIVE
Solution to the problem
Output 1
What the project
will deliver
Activities to deliver
outputs
Output 2
What the project
will deliver
Output 3
What the project
will deliver
Activities to deliver
outputs
Activities to deliver
outputs
32
6.2
The project document or concept note
For high capital projects, and sometimes by demand from project sponsors, a more
detailed project document or concept note is required. It is a comprehensive description
of the project in a format acceptable to the internal and external stakeholders. The
purpose of the project document is to,
•
•
•
•
•
•
•
•
Provide all the background information regarding a project (Detailed design
report)
Justify the project by defining the goal
Describing who will benefit from the project and how they will benefit
Outline the work plan and project deliverables
Outline consultants duties and fee scales
Outline reporting requirements and approvals
Outline indicators of performance and key milestones to be monitored
Outline the project human, technical and financial resources
6.3
Using the project Log-frame
This is a more advanced planning process, but with considerable benefits. The Logical
Framework Approach, LFA, is an initially complex approach, but a potentially powerful
participatory tool and helps to:
23 | P a g e
•
•
•
•
•
•
Achieve stakeholders consensus
Organise thinking
Relate activities and investment to expected results
Set performance indicators
Allocate responsibilities
Communicate concisely and unambiguously with all key stakeholders
Table 3: Log-frame matrix
Intervention
logic
Objectively
verifiable
indicators
Sources of
verification
Means
Costs
Assumptions
Overall
objective
Project
purpose
Results
Activities
Preconditions
The main results of the analysis are summarised in a matrix, (table 3) that describes the
most important aspects of a project/programme in a logical way. The intervention logic
describes the project purpose, ‘the so what’ or final result of the project. The results lead
to this purpose and activities are to be done to achieve the results. The project purpose
contributes to the overall objective. The project purpose and overall objectives should be
described in an operational and measurable way: objectively verifiable indicators i.e.
QQT standards: quantity (how much) quality (what specifications/standards) and time
(duration).
24 | P a g e
Information or data sources to support these achievements/results are mentioned in the
sources of verification. Activities are translated in operational terms: resources or means
to implement activities and their costs. In the fourth column the external factors
(assumptions) are described that influence the project purpose, results and the overall
objectives. Preconditions are those conditions that need to be fulfilled before the project
starts.
Figure 4: Example of a log-frame's intervention logic
Increased
self-confidence of
women
Increased number of
literate women
1. Women keep up their
literacy skills
2. Learning centres are
adequately equipped
1.1 To organise
post-literacy
programmes
1.2 To produce manuals
2.1 To purchase new
training material
2.2 To organise refresher
courses for trainers
Means/Costs
6.4
Technical and financial appraisal during the planning stage
In stage 2, the project pre-feasibility was undertaken, as a first step to determine the most
viable projects from among many others. At the planning stage, another appraisal is
required to review the final technical and financial requirements to determine whether or
not the project will be committed for funding. This promotes financial & technical
viability of the project because decisions are made on the extent to which the local
authority can finance outputs that support technical specifications. Financial feasibility of
a project relates to the economics of the project, in the context of the project alone,
including budgets and cash flows etc. Economic feasibility is a more complicated
dimension, as it appraises the contribution of the project in a much wider context, e.g. the
district or the country. For (large) industrial or productive sector projects, the technique
of Cost Benefit Analysis is frequently used.
Technical feasibility usually has to be appraised by technical specialists and the overall
appraisal report will be based on their conclusions.
25 | P a g e
6.5
Appraisal Assessment Recommendations and Conclusions
An appraisal report and the project plan /and or log-frame should be presented to the full
council for commitment. The report should be guided by the following criteria.
Relevance: When it is concluded that the project purpose contributes in a meaningful
way to an overall objective, which reflects one or more political priorities, one can say
that the project is relevant.
Effectiveness: When it is concluded that it is highly likely that (a) by implementing the
mentioned activities the projects results will be achieved and that (b) achieving all project
results will lead to the realisation of the project purpose one can conclude that the project
is effective.
Efficiency: When it is concluded that the relation between activities and resources is fair
and realistic it can be said that the project is efficient.
Feasibility: When it is concluded that the assumptions and risks at activity and result
level are sound, realistic and acceptable one can conclude that the project is feasible.
Hence when a project is thought to be relevant, effective, efficient and feasible there
remains one important issue to be addressed: sustainability. Sustainability depends on a
number of factors. The importance of the various factors might differ from project to
project, but in principle the following questions need to be answered.
Do the competent authorities provide adequate policy support?
• Is the technology appropriate for the local conditions?
• Will the ecological environment be preserved after the project?
• Is the permanent part of the project properly embedded in local organisation
structures?
• Are the feelings of ownership by host organisation or beneficiaries adequate and
genuine?
• Are there sufficient financial and economic benefits induced by the project that
compensate for running cots, depreciation costs and future investments?
Summary of the planning process
The project planning process can be described as a series of choices made regarding possible
results/objectives that address a particular problem. The result of this process, i.e. the project plan,
serves as a guide to outline what we are going to do to achieve the planned objective
An indicator for planning describes in measurable terms what is to be achieved. The planned objectives
and outputs should be stated in measurable terms
The project planning process can be described as a series of choices made regarding possible
results/objectives that address a particular problem. The result of this process, i.e. the project plan,
serves as a guide to outline what we are going to do to achieve the planned objective
The final planning process include a technical and financial appraisal to conclude on the relevance,
efficiency, effectiveness, feasibility and sustainability of the project
26 | P a g e
Planning Steps
1. Identify
problems ‘’whose
problems’’
Problems
Analysis
2. Analyze
Cause/Effect’
Problems become
objectives’’
Project Design
Log-frame?
3. Appraise &
Select project
4. Plan the
Project
5.Implement
& Monitor
Planning Stage
6. Finalize/
Handover/Exit
25
27 | P a g e
7.
Stage 5 : Commitment /Contracting
7.1
Introduction
Stage 5 of the project cycle is the contracting-commitment phase.
This consists of the following activities or sub-phases:
• Review of project plan and financing proposal by a financing committee
• Development of technical specifications and solicitation of bids selection to
undertake the work
• Commitment or taking the decision to finance resulting in a financing
commitment or contract with the successful bidder.
The development of bid specifications makes clear what you want, and it is of primary
importance that bid specifications are done by qualified people to avoid important
omissions. Specifications for contracting should be formulated as results and not a
process e.g. ‘10 km of pipeline serving 200 people’ instead of ‘supply 10 metres of X
pipes’
Contracts can be classified in three major categories.
•
•
•
Civil works. e.g. the construction of buildings, roads or ports;
Supplies (or goods). e.g. the delivery of computers, medicines or fertiliser;
Services.
E.g. training, technical assistance, evaluation assignments or
studies.
Each type of contract has its own particular procurement procedures.
7.2
Principles guiding contracting
According to the PCM organogram, the right structures/staffing for the technical
management process has to be defined and secured. This is the stage where functional
and technical feasibility of a project is determined and procuring the wrong goods and
services will severely affect the project results. So, the right people have to do the right
things.
LAs should be guided by the right contracting principles as follows;
•
•
•
Specifications should be done by staff with the right functional /technical
specialization: the right people have to specify what the consultant should do
(activities like drilling, remote sensing etc.)
Proper functional and technical specifications should be documented and verified
Competitive contracting policies and procedures should be put in place
28 | P a g e
•
•
•
Checklists to ensure conformance to these procedures should be devised and used
in the contracting process. (E.g. procurement checklist, tender evaluation criteria)
All legal and regulatory procedures must be followed. (Procurement Act, NEMA,
planning regulations)
Choice of suppliers with the right experience and capacity to deliver on
specifications. (schedule of pre-qualified suppliers)
Types of specifications
For procurement of services you can distinguish two types of specifications:
(i) Technical specifications and (ii) functional specifications.
A simple example will make the difference between the two approaches clear:
*You would like to have a garden around your house in which plants are flowering all
year round. You invite a gardener and specify what you would like to have.
Functional approach: "I would like to have a garden in which plants are flowering all
year round". A functional approach has the main advantage that the responsibility to
reach the expected result is with the gardener, and if the garden is not flowering all year
round, the gardener has failed, and you could take legal steps or refuse payment.
Technical approach: "I would like to have a garden with 5 rose plants, 8 hibiscus, 50
tulips etc.” If you specify technically, the responsibility to reach the expected results is
with you. If you have indicated which plants should be in your garden and if the garden is
not flowering all year round, you are the one responsible. Another disadvantage of the
technical specification is that you don't use the knowledge and creativity of the gardener.
If gardening is his profession one could expect more knowledge on flowering plants with
him than with you.
You should specify technically if:
You have the technical knowledge to make such a specification.
You know exactly what you want.
You should specify functionally if:
You don't have the technical knowledge to make such a specification.
You only know what you would like to do with the result.
There are many possible solutions and you would like to use the creativity of the
suppliers.
Both types of specifications have merit and LAS should devise systems based on both.
29 | P a g e
7.3
Steps in contracting
LAs should consider these important steps in project contracting;
7.3.1 The right structures/staffing for the technical /functional management
process defined. A PCM organogram is important because it ensures the establishment
of staffing and implementation capacity based on functional and technical requirements
of a project. If the PCM organogram is not in place, contracting stage can be hampered
by specifying and procuring the wrong goods and services with adverse effects on the
project.
Figure 5: PCM Organogram
CLERK
(Overall Oversight &
Accountability)
Technical
Committee
Project Manager
(Full time execution)
(Technical appraisals &
Internal feedback)
Stakeholder (M&E)
Committee
Contractor
(Implementer)
(Independent Monitoring)
7.3.2 Functional Requirements Clarified
Project promoter and the project leader: Every project, large or small needs a real
promoter, a project champion who is committed to its success. Power over the resources
needed to deliver a project must be given to one person who is expected to use it to avoid
wastage as well as to manage problems.
Delegation of authority: There should be sufficient delegation of authority for day to
day management and overall project management. Good delegation requires prior
checking that the recipients of delegated authority are equipped to make the decision
delegated to them and then, monitoring how effectively they are making their decisions.
A clerk/project leader delegates authority for day to day execution to the project manager,
who in turn, works with a project committee to backstop and offer operational oversight.
30 | P a g e
Independent oversight: Independent feedback promotes better and realistic decision
making and creates confidence in the project leaders. This can be achieved by
establishing a project committee at the LA level and at ward levels.
Control: Control is a check to keep the project on track with regard to time, cost
and quality. This is part of monitoring and should involve regular audits for quality, cost
and value for money.
7.3.3 Tendering Commenced
Tendering follows bid specifications, and involves pre-contracting activities before
contractors and sub-contractors are employed at the end of the contracting stage. The
tender award stage involves open tendering or prequalification of prospective bidders
who eventually submit tenders based on approved tender documents. At this stage, it is
assumed that funding source has been secured and that when an award is made, the
contractor should be able to start work without further delays. The relevant stages before
an award are;
•
•
•
•
•
tendering period, normally around 1 month duration
evaluation of tenders, approximately two weeks
reporting on tendering process to the LA
award of tender by the LA
approval of tender award, if necessary by MoLG
The tendering process should be done in accordance with the provisions of the
Procurement and Disposal Act no.3 of 2005 and the Public Procurement and Disposal
Regulations 2006. The LAs are required under the Act, to establish a tender or
procurement committee and a procurement unit which will handle procurement matters
including construction services. The composition of the tender committees is stipulated in
the Act. The tender procedures can be divided into two main categories: open tenders and
restricted tenders. The Procurement and Disposal Act favours open tender procedures
because these allow eligible parties have a chance to participate in the bidding process
and are more transparent. In the case of an open tender, all eligible interested firms and
persons can submit a tender and the contract is awarded to the winning tender, after the
process of evaluating various competing proposals.
7.3.4 Contracting activities finalised
Contracts and supply of services is formalised by agreements and legal contracts.
Once financial arrangements, administrative logistics guiding the contracts are
established, site is handed over to the successful contractor.
31 | P a g e
Best practice note
ü One should try to make a specification as much as possible
result oriented.
ü Outside the factors have great influence on the contracting
results? Try to assume certain outside factors.
ü The supplier doesn't always have sufficient experience to
guarantee the results in the contract, management should
try to let the functional specification prevail over the
technical specification otherwise the responsibility to make
the system work is taken away from the management (see
types of specifications)
8.
evaluation
Stage 6: Implementation, Monitoring and Mid-Term
8.1
Day to day management
Stage 6 of the project cycle is implementation and monitoring of the execution process.
Contracting initiates full project implementation. Approved project document/plan,
budget, technical proposals, signed contracts, all signal that the project is now in
execution phase. Project implementation entails intense activities and a variety of
physical work to implement a project. Implementation of activities and financial
management should be undertaken in accordance with all the established guidelines,
procedures and regulations guiding the project.
The project manager takes over the day to day execution of the project, and supervises
contractor and sub-contractors employed to implement the project before it is handed
over to users. Project supervision should be carried out in-house by the project manager,
(engineer/works officer), and this oversight should be complemented by an independent
team of stakeholders, a project committee which should co-opt community
representatives. This independent oversight increases accountability by all parties, while
ensuring regular site meetings to update on progress and also to address any problems
arising. The rest of the process is carried out as per the contract documents.
As advised in stage 5, a formal project structure and role definition should be adopted at
planning stages, so that when the project is implemented, each individual, team or
department, has a clear understanding of the authority given and responsibility necessary
32 | P a g e
for the successful accomplishment of project activities. The PCM organogram is
therefore important for the following reasons;
•
•
•
•
Creates accountability for the project team members, individually and collectively
Plans project performance through work-breakdown structure, and enhances the
achievement of project goals and objectives.
Invests authority to engage with the project at various levels, creating ownership
and buy-in to the project plan
Varies the roles and responsibilities of project participants, thereby avoiding role
conflicts and conflicts of interest.
8.2
Implementation steps
The following steps define some of the execution/implementation tasks.
8.2.1 Work breakdown structure/scheduling.
A work-plan with clear milestones is developed and utilised to guide execution. The
process of breaking down tasks into achievable milestones is also called scheduling or
phasing. The phasing of a project involves the strategic steps that have to be taken with
regard to time. This time factor plays a role in the decisions which concern both the time
limits within which activities should be realized (speed), the time of start and end (date)
and the question whether or not several activities will be realized at the same time
(simultaneously or not).
The targets /milestones in the schedule help to track progress and aid regular reporting of
progress.
8.2.2 The scheduling framework
After developing the project plan/design brief, the plan may cover periods of more than 1
year. Scheduling is a detailed plan which may include a budget, to aid budget control.
The way in which you schedule activities depends on;
•
•
•
•
Time:
Activity:
Resources:
Location:
Scheduling in months, weeks, days, hours
Type of activity, specification of activity
General descriptive (e.g. 10 labourers)
Where is the activity to be executed?
There are various options for documenting the schedule
Gantt chart. This is a method to visualize the order and duration of activities with
possible references to the resources used. Named after Mr. Henry Gantt (1861-1919).
33 | P a g e
•
•
•
•
Drawing the schedule by hand. This means writing down all major activities
and allocating time, responsibility and resource requirements. If a task has
predecessors you start from the earliest moment after all predecessors are
completed.
Planning-boards. Typically consist of a number of vertical 'columns' in which
cards can be inserted or on which you can write. They can be bought off the shelf.
Bar-charts. For managerial purposes it often will be most practical to summarize
the schedules in the form of a bar-chart. On such a bar-chart, the units of time
(usually weeks) are indicated vertically, the main activities to be performed
horizontally.
Ready- made Personal Computer (PC) programs. An increasing number of
'project-management' programs are available on the market. Scheduling is usually
one of the major applications of these programs. Here, we cannot deal with these
programs in detail because they require specialised project management personnel
and require often time consuming input of data and printing of large schedules.
This means it is difficult to use them for communication purposes in an LA setup.
Microsoft Project is one of the better programs available for the PC currently.
8.2.3 Financial administration
Part of contract management involves the execution of the financial plan to ensure that
planned resources are available on time, contractor is paid on time and any financial
control issues are regulated. Financial administration includes;
• Approved budget and budget ‘tranching’ based on contracts/work breakdown
structures
• Disbursement of funds
• Accounting for activities
• Budget revisions
8.2.4 Reporting
The implementation phase concerns the execution of the project, by drawing on the
resources provided for in the financing commitment, to achieve the desired results and
34 | P a g e
the purpose of the project. In the implementation phase, various reports are produced:
inception report or plan of operations, site visit and progress reports. Monitoring and is
achieved by reviewing these reports and taking corrective action. Mid-term evaluation is
an important step to keep track of the whole project logic, implementation status and and
systematically learn during implementation, before the project is completed. Types of
reports include;
•
•
•
•
•
8.3
Narrative reports
Financial statements of expenditure
Annual reports (for long term projects)
Monitoring reports/site visit records
Evaluation and terminal reports
Monitoring
8.3.1 Introduction to Monitoring
Monitoring is defined in many ways;
a. ‘A management task concerned that the right information is reaching the right
person at the right time in order to enable this person to take decisions on the base
of reliable data’’
b. ‘Regular collection and analysis of information for the surveillance of progress of
the project implementation’
c. Checking progress on activities and achievement of objectives
M&E is a primary tool for performance management and ensures that reliable data and
information is collected, questioned, reported and acted on by the relevant decision
makers. Monitoring is concerned with turning inputs into outputs and assessing whether
the planned project elements are achieved. This requires that LAs design a monitoring
system for projects, with inbuilt accountability mechanisms to ensure independent and
verifiable information. M& E should be structured in such a way that information is both
quantitative (figures and numbers, hard data) and qualitative (quality of outcomes).
8.3.2 Why Monitor and Evaluate?
M&E is a part of performance measurement, and performance indicators progressively
demonstrate achieved levels or quantities of service provided by the project.
LAs must get better at designing and delivering projects, and also get better at monitoring
and evaluating performance. This process of learning helps LAs to become knowledge
managers, learning organizations, documenting and sharing experiences and lessons.
The purpose of monitoring is to:
35 | P a g e
Provide facts and signals
Quantifiable
information
Record what happens
What has been produced
Act as an early warning
system
What needs to be corrected
8.3.3 Benefits of M&E
• Monitoring promotes accountability, transparency, twin goals for accountability
and good governance
• At the community levels, M&E ensures that projects meet achieve desired goals
and benefits
• Sustainability is integrated through support networks such as user committees or
service delivery agencies. Projects are run according to schedule and budget.
Presenting internal /external feedback on funding decisions. Colleting and
presenting information on project plans and benchmarking progress against these
plans. Meeting pressure for accountability demands for internal and external
clients and the public
• Basis for ‘demand information’ pegged to evaluations
8.3.4 Monitoring by Indicators
Monitoring is achieved through ‘indicators’: Indicators ask the question, “To what extent
are the objectives being achieved?" Information generated from indicators is the basis of
the M&E. There are 3 types of Indicators to measure performance.
• Aggregate or input/process indicators: give information about the status of
inputs used for a production process (money, materials, equipment, people, etc.)
• Deliverables or output indicators: give information about the outputs or products
delivered according to the planned project schedule/project plan
• Outcomes/impacts indicators ; relate to information generated to measure the
positive or negative benefits of a project on the target group.
Indicators should be checked on being SMART:
S=
M=
A=
R=
T=
is it Specific? What
s it Measurable? How much
is it Achievable, Agreed upon (participatory approach)?
is it Relevant, Realistic, Reliable?
is it Time-bound (period set)?
8.3.5 Monitoring at operational levels
Process or operational performance monitoring is typically output focused; monitoring at
operational level of the project is based on the planned outputs and activities, and
36 | P a g e
monitors progress towards various milestones. It is a simple way of recording what is
actually happening at project implementation level, based on the project work-plan. A
simple monitoring tool can guide operational monitoring. This simple tool can be used by
various stakeholders to collaborate the project manager’s report.
Milestones
Indicators
1
Location selected
Evidence
Indicators
minutes of meeting
2
Farmers vote
Priority list
3
Farmers committee
Minutes, attendance list
4
Contractor signed contract
Contract agreement
5
Buying centre ready
Centre operational
6
Farmers
Records from tea factory
7
Centre is still functioning
Impact
level
(after 1 year
or more)
%
100
Increase income by
farmers
8.3.6 Monitoring at outcome/ impact levels
Outcome monitoring establishes impact of the project, immediately after the project has
been finalized and reviews whether the project purpose has been achieved. Impact
indicators establish whether the project has attained expected changes.
There is a danger in focusing only on operational level results (efficiency) rather than
how well the project delivers results (LA service delivery impact). Although a balance of
both is required, project success is determined by stakeholder perception of success.
Therefore, impact assessments are very important to determine their perception of value
of projects’ overall success. Impact level performance measurement can be undertaken
through service delivery standards and service charters which indicate the levels and
standards of service delivery to the consumer/beneficiary.
37 | P a g e
Impact performance measures are outcome focused;
• Project results achieved and development conditions changed or changed
community/beneficiary condition.
• Contribution to LA strategic goals, objectives and strategies
• Stakeholder satisfaction with process and results
8.4
Steps in monitoring system design
Table 4 summarises the format for designing a monitoring system. This should be the
overall system that should guide LA monitoring systems design, and should be
complemented by the individual project monitoring plans that have been provided in the
PCM Tool Box, 11A and 11B.
Step 1. Define the management structure
Define for whom the monitoring system is intended, and clarify the position of the
manager vis a vis staff and superiors. Which are the responsibilities of the project
manager and the project management teams? (Refer to PCM organogram)
Step 2. Clarify the objectives
Analyse the project plan/logical framework of the project, and assess inputs,
outputs/results purpose overall objective and assumptions.
Step 3. Analyse the process
Analyse the major steps in the process of the project and identify major potential
bottlenecks and crucial steps/critical moments. (Refer to scheduling/work-breakdown
structure)
Step 4. Formulate the manager’s question
What do the different management levels need to know about each level of information in
the project in order to be able to take the proper decisions? Remember, not all
information is important to all people.
Make a selection of key manager’s questions, using the following checklist:
Monitoring of input (action)
Finance
•
Equipment
•
•
Materials
Human resources
•
Monitoring of output/results: the products/services to be delivered by the project.
Monitoring of use: the use of provided products/services by the target group
Monitoring of change: the effect of the use of the products/services
Monitoring of context: the external factors influencing the project
Monitoring of process: (potential) bottlenecks and crucial steps/crucial moments
38 | P a g e
Step 5. Determine the indicators
Determine direct or indirect indicators for all managers’ questions
For the indirect indicators proceed as follows:
Identify quantifiable elements in the Managers Question?
•
Analyse the variables, starting with the one which is easiest to measure, using the
following checklist:
1.
Is the indicator valid: is there a causal relationship with the Managers Question?
2.
Can the variable be measured with sufficient accuracy?
3.
Is the indicator sufficiently sensitive?
4.
What is meant exactly by each term used?
5.
Under which conditions is the indicator valid?
6.
Which aspects of the Managers Questions are not covered?
•
Select the most suitable and cost-effective indicator(s) based on this analysis.
Step 6. Define the information flow
Make a complete list of all data which have to be collected for the indicator.
•
Define for all data:
1.
Where will the data be collected?
2.
With what method and by whom?
3.
Where will the data be stored?
4.
Who should process and report?
5.
How and when will be reported?
Step 7. Assess means, costs and risks
1.
Which means are necessary for organizing the information flow?
2.
What will be the costs (time, money etc.) involved?
3.
Will the information be reliable?
4.
Do costs of measuring the indicators weigh up against the importance of the
information, taking into account the expected reliability?
Table 4: Designing a monitoring system
Where to
How and when
find + how? do you want to be Who does what?
informed?
What do you want to know for monitoring?
Distributes
Coordinates
Reports
Processes
Stores
Collects
Type of
reporting +
frequency
Source/s of
verification
39 | P a g e
Indicators to
monitor this
required
info
Manager’s
Question for
information
Overall Objective/s
Where to
How and when
find + how? do you want to be Who does what?
informed?
What do you want to know for monitoring?
Results(output/product)
Activities
Inputs (human, mat., fin. etc.
resources)
Assumptions (context)
Organisation
Other items
8.5
Why M&E fails
Some typical factors influencing performance management are outlined, because they
limit effective monitoring and evaluation.
•
•
•
•
•
•
•
•
Lack of clear project cycle management frameworks
Lack of clear and/ or politically driven strategic objectives
Limited resources and inadequate investments in Performance Management
Lack of independent systems to collect data and report performance
Unreliable data/feedback : Conflicts of interest based on ‘self reporting’
M&E structured to meet external audits as opposed to measurement of progress
and achievements
Reporting on performance is inaccurate
Suggestions for change ignored, and not used in decision making
40 | P a g e
Distributes
Coordinates
Reports
Processes
Stores
Collects
Type of
reporting +
frequency
Source/s of
verification
Indicators to
monitor this
required
info
Manager’s
Question for
information
Project Purpose
•
Data and information interpretation varies between various stakeholders
Best practice Note
Formulation of Objectively Verifiable Indicators
Step 1 Identify objective: e.g. increased rice yield of small farmers
Step 2 Quantify:10,000 small farmers (owning 7 rice or less) increase production by 50%
Step 3 Set quality:10,000 farmers increase rice production while maintaining same quality of
harvest
Step 4 Specify time frame: between January 1992 and January 1995
Step 5 Set location: Bakurian Foothills
Step 6 : Combine10,000 farmers in the Bakurian Foothills (owning 7 rice or less) increase their rice
yield by 50% between January 1992 and January 1995, maintaining the same quality as in 1991
harvest
Notes on indicators
There are various indicators and terminologies. These should be used creatively to measure
results at various stages;
ü
DIRECT indicators measure the quantitative objective directly, such as the number of
patients attending a clinic
ü
INDIRECT indicators (also called Proxy indicators) are used if direct indicators are not
Appropriate or possible if, for example:
• Results cannot be measured directly, such as quality of life
• Direct indicators are too expensive to measure
• Direct indicators can only be measured after the project has ended.
For example, to measure an increase in literacy it might be difficult or costly to
Interview children, but the number of books available is a proxy indicator to show level of
literacy
ü
FORMATIVE indicators (also called Milestones or process indicators) are used during an
activity, phase or project to show whether progress is on track.
ü SUMMATIVE indicators are used at the end of the project for evaluation.
8.9
Project Exit
At the end of construction, a joint inspection exercise (preferably between contractors,
project management, and project monitoring committee) is carried out to come up with a
list of defects that must be attended to before the work is handed over to the LA. After
handing over, there is normally a maintenance period of 6 months to 1 year during which
defects appearing due to poor workmanship are rectified by the contractor. Failure to
rectify such defects often leads to the LA using retained money to correct the defects and
may even end up with affected contractors being black listed.
41 | P a g e
A formal project exit should be characterised by;
•
•
•
•
•
A terminal report should be developed followed by project implementation
review. At this time, mid-term evaluation report can be generated, to precede a
more summative evaluation to be undertaken once the project is underway.
The project implementation team should conduct a mid-term review to identify
what worked well
Review all monitoring data and reports for lesson learning
Stakeholders have a chance to give their impressions and feedback
Decommissioning of the project takes place after all issues are resolved
42 | P a g e
9.
Stage 7: Final evaluation
9.1
Evaluation defined
The DAC Expert Group of the Organization of the OECD defines evaluation as:
An assessment, as systematic and objective as possible, of the design, implementation
and results (outputs), of an ongoing or completed project, programme or policy.
In an assessment all the facts related to a specific situation are considered, after which
conclusions are drawn and a judgement is made. Subsequently, recommendations can be
made for the future. These recommendations should be founded on a thorough analysis
that explains the project’s level of performance. The assessment should be transparent,
systematic and objective, or in other words, it should be repeatable. Ideally, if the
evaluator were replaced by others, doing the same evaluation (same ToR, same project,
same time, etc.) the findings should lead to the same conclusions and recommendations.
Evaluations are often primarily focused on an assessment of the way in which the project,
programme or policy has been implemented and of the outcome that has been achieved.
However, there are strong relations between implementation and project design. It is very
well possible that a project has been implemented as planned without having the desired
effects. This means that in a much earlier phase of the project cycle, the identification
phase or the formulation phase, a mismatch was made between the project purpose and
the way in which it should be reached. If in an evaluation the focus is too much on
implementation only, these kinds of observations will be missed with the result that the
evaluation is in fact not complete.
9.2
The aim of evaluation
The aim of evaluation is to assess a project’s, programme’s or policy’s quality, usually in
terms of relevance, effectiveness, efficiency, impact and sustainability. In the project
cycle management approach, this involves an examination of the objectives on different
levels as formulated in the logical framework.
Relevance
The question to be answered assessing relevance is: To what extent are the intervention’s
project purpose and overall objective responding to the needs and priorities of the
different stakeholders?
An assessment of relevance is different from the other four indicators in that it does not
refer to the actual performance of a project. It assesses the project’s intentions and not the
project’s achievements.
43 | P a g e
The project purpose is the ultimate goal to be realised by the project. It should always
aim at sustainable benefits for the beneficiaries. The overall objective is a higher goal,
usually at policy level, to which the project, together with other projects, programmes and
policies, will contribute.
Effectiveness
The question to be answered assessing effectiveness is: To what extent have the project
results and the project purpose been achieved?
In measuring effectiveness it has to be determined whether and to what extent the
beneficiaries are enjoying the services and products delivered by the project, as
formulated in the project results, and the benefits of the project, as formulated in the
project purpose. Have the activities indeed led to the results? Has the delivery of results
led to the foreseen effects at the beneficiaries’ level? All internal and external factors that
influenced the achievement of the results and the project purpose are examined. Facts
about the level of achievement, and also the underlying possible explanation for success
or failure are the basis for analysis, conclusions and recommendations.
Efficiency
The question to be answered assessing efficiency is: Have the available means been
optimally exploited?
Here it is assessed whether the human, physical and financial resources have been
properly used to realise the activities and results or outputs. The actual utilisation of
resources is compared to the plan and budget. Efficiency focuses on how the results are
realised, not on their effects.
Impact
The question to be answered assessing impact is: What wider effects have been caused by
the intervention?
The logical framework does not only describe the objectives of the intervention itself, but
also the higher goal(s), the overall objective(s) to which the intervention is supposed to
contribute. The overall objective is a foreseen positive effect of the intervention. Most
probably, the overall objective is not the intervention’s only effect. During
implementation other foreseen or unforeseen, positive or negative effects will occur.
It is often is not easy to determine to what extent the intervention is the cause of a certain
effect. A good knowledge of the region and sector is an important element in assessing
impact. Other ways to determine a project’s impact can be by comparing projects, or
simply by asking the opinion of the beneficiaries themselves.
Sustainability
The question to be answered assessing sustainability is: Is it likely that the intervention’s
positive effects continue after the project period?
44 | P a g e
Depending on the nature of the intervention the following factors on table determining
sustainability can be considered:
Table 5: Sustainability factors
1.
Policy support
Do the country’s policies allow for
continuation?
2.
Appropriate technology
Are the beneficiaries and intermediate
organisations technically and
financially capable of using the
chosen technology after outside
support has ceased?
3.
Environmental protection
Is the continuation of environmental
protection guaranteed?
4.
Socio-cultural aspects
Socio-cultural aspects determine who
(including gender aspects)
will actively participate and take on
responsibility. Have measures been
taken to ensure ongoing participation
of all members of the target group?
5.
Institutional and management
Have measures been taken to ensure
capacity
the future functioning of organisations
set up or strengthened in the
intervention?
6.
Economic and financial aspects
Will in the long run the benefits
continue to be higher than the costs,
which will now have to be entirely
borne by the target group itself?
45 | P a g e
10.
Conclusions
PCM should be adopted in all Local Authorities because it has the potential to promote
the achievement of poverty reduction goals by enhancing a results based service delivery.
LAs should consider some of the following factors that contribute to the success or
failure of projects and be able to apply the good practices in PCM to address these issues.
Why projects fail
Unclear goals
Conflict between personal benefits and user benefits
Poor technical specification
Inadequate availability of resources when needed
Ambiguous, poor communication
Lack of clarity of project status
Insufficient knowledge of the project cycle/project management
Resentment/poor working relationships between team members
Insufficient technical capacity
Inconsistency in project requirements viz procurements
Failure to address risks
Lack of flexibility and openness to learning
Complexity of the project
Poor estimation of costs/duration
Why Projects Succeed
Clear definition of project objectives:
Risks assessment to address project uncertainties
Taking early decisions to manage risks
Proper project planning
Effective and efficient use of time and money:
A committed project team
Stakeholder representation in decisions:
Clearly designated communication plan and feedback channels
46 | P a g e
Annex 1: PCM Checklist
47 | P a g e
Project Cycle Management &
Community Participation
Compliance & Quality Control Checklist
48 | P a g e
How to use the tool
1.
This tool is an output of the PCM-CP capacity strengthening initiatives supported under the rural
poverty reduction, local government support program, rprlgsp. This is an ec supported initiative under
the kenya local government reform program, klgrp. This checklist contains 6 stages that are important
to follow in a project cycle. The stages include strategic planning and community participation which
are important stages that precede the stage by stage project cycle management process.
2.
The checklist should be used by clerks, project managers, contractors, community monitoring committees, molg officials, performance
contracting appraisal teams and other parties that would like to verify good practices in participatory project cycle management.
3.
The checklist is a quality control tool to be used to monitor periodically, the level and quality of community participation process and project
implementation in local authorities. Issues noted should be used to generate a status reports, and ensure corrective actions to guide the
observation of good practices in pcm-cp.
4.
THE CHECKLIST CAN BE USED DURING THE LASDAP PROCESS TO ENSURE THAT THE PROJECTS EMANATING FROM THIS
PROCESS ARE WELL APPRAISED AND IMPLEMENTED SYSTEMATICALLY
5.
PHASE EXITS INDICATE THAT A PARTICULAR STAGE IS COMPLETED AND ONE SHOULD DOCUMENT KEY FEEDBACK TO GUIDE
FURTHER ACTION.
6.
THE CHECKLIST SHOULD BE USED ALONGSIDE THE PCM AND CP TOOLKITS. THE INDEX OF PCM TOOLS HAS BEEN GIVEN TO
CROSS REFERENCE THE TOOLS PROVIDED IN THE PCM TOOL BOX. THESE TOOLS GIVE GUIDANCE AND TEMPLATES TO
GUIDE THE EXECUTION AT EACH PCM STAGE. THE CP MANUAL ‘COMMUNITY PARTICIPATION PROCESS’ CONTAINS ALL THE
TOOLS REQUIRED TO GUIDE THE CP PROCESS.
7.
PUT A MARK AS SHOWN BELOW, AGAINST EACH QUESTION. EACH ITEM MARKED X SHOULD BE COMPLETED , OR
REASONABLE EXPLANATION MADE , TO ENSURE THAT THE PROJECT CYCLE APPROACH IS FOLLOWED
ü YES
X
NO
NA NOT APPLICABLE (WHEN A PARTICULAR ACTION MAY BE NOT BE RELEVANT)
49 | P a g e
Index of tools
INDEX OF
PCM TOOLS
TITLE
BENEFIT
Tool 1
STRATEGIC PLAN FORMAT
Guide and Harmonize strategic planning
approach
Tool 2
CHECKLIST TO GUIDE
STRATEGIC PLANNING
Ensure Participation and quality control
Tool 3
APPRAISSAL CRITERIA
Assure effectiveness & Impact, objective
ranking between 2 competing ideas
Tool 4
APPRAISSAL/RANKING
TEMPLATE
Road Map of expected results
Tool 5
MEMORANDUM OF
UNDERSTANDING TEMPLATE
Secure stakeholder/end user ownership
Tool 6
PROJECT PLANNING TEMPLATE
Systematic and formal project
programming
Tool 7
PROJECT DESIGN MATRIX,
(LOG-FRAME)
Logical programming of the project with
hierarchy of results
Tool 8
PCOM ORGANOGRAM : WHO
DOES WHAT
Documented project
implementation/oversight structure
Tool 9
PROJECT CYCLE CHART
Logical, step by step & incremental
execution of the project
Tool 10
WORK BREAKDOWN
STRUCTURE
Activity planning tied to specific outputs
TOOL 11 A
ACTIVITY TO OUTPUT
REPORTING TEMPLATE
Verification of planned outputs
TOOL 11 B
OUTPUT TO PURPOSE
REPORTING TEMPLATE
Verification of planned outcomes and
impacts
50 | P a g e
TOOL 12
51 | P a g e
PCM CHECKLIST
Checklist to verify that all PCM steps are
carried out fully
Stage 1A: Policy Setting
CHECKLIST FOR PCM STAGE 1A
ü Yes
X
Data sources
No
NA
1. Executive support for strategic plan has been secured
from Clerk, chief officers, mayor and committee
chairpersons
PCM tool 1 and 2
Minutes endorsing the strategic planning
approach
2. A strategic plan to guide a long term development
strategy has been developed
3. The plan has been developed through a participatory
process such as a planning workshop held for all
stakeholders
4. All stakeholders identified from the stakeholder
mapping have been involved in the strategic planning
process
5. The final strategy includes vision, mission, goals,
strategy, values, action plans and financial plan
6. The final strategic plan has been endorsed internally
and externally by all stakeholders
7. The strategic plan objectives and activities are aligned
to the LA performance contract targets, annual
LASDAP work plans
8. The strategic plan has been reviewed annually, and
re-planning has been done to make it current and
relevant
9. The strategic plan is used to brief communities on the
LA goals and strategies during annual LASDAP
consultations
10. The strategic plan is used to report on LA progress
during annual consensus meetings and budget days
11. The strategic plan is available to all staff and to
members of the public, on request
12. The strategic plan is posted on the Council website
PCM checklist and Tool Box tool 2: strategic
plan format
Workshop reports
PHASE EXIT NOTES
52 | P a g e
Participants list
Tool 1: strategic plan format
Minutes of meetings
PCM-Tool box 2
LASDAP minutes and Reports
LASDAP minutes and Reports
Customer survey reports
LA websites
Stage 1B: Community Participation /Needs
Analysis
CHECKLIST FOR PCM STAGE 1B
ü Yes
X
1. A well supported LASDAP/Social development
office exists and is operational
2. LASDAP Desk Officer/Social Development
officer is qualified in social work and
community mobilization
3. There is a budget set aside to support
community mobilization activities
4. Projects identified at community levels are
based on needs analysis (see point 5 below)
5. Extensive community level entry meetings and
consultations have been held
6. Community/ward level baselines have been
developed with key socio-economic data e.g.
family size, households, livestock, sources of
livelihoods, Main types of business and
economic activities
7. Stakeholders have been mapped and
meetings held with various stakeholder groups
8. Men, women, and youth adequately
represented at community level meetings
9. Projects identified through LASDAP/other
process are aligned to strategic plan during
annual reviews
10. Community monitoring system established
53 | P a g e
Data sources
No
NA
CP checklist; community entry
meetings, sensitization and
mobilization
LA organogram
Job Descriptions
LA annual budget
Needs analysis reports. Annual
LASDAP consultation reports
Ward mapping reports
Reports on situational analysis
tools : e.g., transect walk,
social maps, gender analysis,
skills analysis, wealth ranking,
resource mapping
Stakeholder mapping report,
minutes of stakeholder
meetings
Gender analysis reports;
minutes of meetings with
various groups
Needs assessment reports
Minutes of community
meetings
11. Ward level committees have been set up to
follow-up on selected projects
12. Community empowerment through training
and follow-up activities is ongoing
PHASE EXIT NOTES
54 | P a g e
Minutes of meetings and list of
committee members
Training reports, community
engagement records
Stage 2 Project Identification
CHECKLIST FOR PCM STAGE 2
ü Yes
X
1. A project ranking criteria and score sheet to rank all
projects has been adopted by the full council
2. Members of technical committee are trained/sensitized
on PCM-CP and ranking criteria
3. Prefeasibility of all projects identified during LASDAP
consultations, strategic planning has been established
4. Prioritized projects meet the basic criteria for project
feasibility
v Relevance : The project has high level of ownership by
stakeholders/beneficiaries and will meet overall
objectives of the Council
v Sustainability : The project will be sustained long after
completion
v Cost effectiveness: material, financial and human
resources required to undertake the project are adequate
v Reliability : A similar project can be implemented
elsewhere with similar results
v
Efficiency : Are the planned resources (financial,
technical, human) necessary and sufficient in quantity
and quality to implement the activities?
v Effectiveness: The project objectives will be met and all
intended users will benefit
PHASE EXIT NOTES
55 | P a g e
Data sources
No
NA
PCM tool 3 and Tool 4
Workshop report
Project appraisal forms,
project ranking reports
Feasibility report (bullet list
below provides the prefeasibility criteria)
Formal agreements with
stakeholders and
users/strategic plan
objectives
PCM tool 5
Exit plan and
operational/maintenance
plan
Budget and project
Stage 3 Project Planning
CHECKLIST FOR PCM STAGE 3
ü Yes
X
1. A problem statement (current negative state) and an
objective statement (future positive state) have been
agreed upon as the basis for the project, by the technical
committee
2. The target beneficiaries/end users of the project are
described: (who they are, where they are, their current
problems, and how many they are)
3. All legal/regulatory issues have been addressed; e.g.
environmental compliance
4. The project plan has been documented : i.e. the main
project objective, outputs and activities are described
5. A monitoring plan for the project outputs and activities has
been documented and agreed upon by stakeholders
6. A project team has been selected and established to
oversee project implementation, according to PCM
organogram
7. Team members know which task(s) they have been
assigned
8. The project plan and organogram have been approved by
the council
PHASE EXIT NOTES
56 | P a g e
Data sources
No
NA
Narrative Project
description
& PCM Tool 6
Narrative Project
description
Environmental Impact
assessments, compliance
certificates from
regulators
Plan format /PCM Tool 6
& Tool 7
PCM Tool 11 a
PCM tool 8
PCM Tool 8
Minutes of council
meetings/ minutes of
project committee
Stage 4 Contracting & commitment
CHECKLIST FOR PCM STAGE 4
ü
Yes
X
No
Data sources
NA
1.
2.
3.
4.
5.
6.
7.
8.
9.
A procurement policy has been established and includes the
legal, operational procedures and how to deal with conflicts
and conflict of interest issues
A procurement unit has been set up and members inducted on
good procurement procedures
The bid comparison process takes into account financial and
analysis of major works (not only lowest bidder)
Clear procedures and dates of the tendering process and the
outcome of the tendering have been well publicized
An administrative procurement/contracting unit has been setup, to manage procurement process ; (Meetings, liaison with
contractors minutes, publicity, correspondences, records and
reports)
Procurement policy
A procurement point of contact has been identified and is
responsible for the administrative unit
All legal requirements in the procurement process have been
met
A procurement administrative checklist has been developed
and adopted to guide the process : procurement team,
qualifications, meeting times; advertising, BQ specifications;
bid review dates, procedures; financial estimates; risk
management; contract award milestones
List of pre-qualified contractors exists
Procurement officer
10. All contract preliminaries have been fulfilled and contracts
signed e.g. (formal agreements, insurance, drawings, site
security
11. A formal contract has been signed between LA and contractor
before site handover
12. A preliminary briefing meeting held has been held with project
team, project manager and contractor, to go over the
57 | P a g e
Minutes of meeting, induction guidelines
and list of members signed and filed
Bid selection criteria and summary score
sheets
Letters and notices
Operational procurement office
Procurement/contractor filing system
established
Compliance reports
Signed procurement Checklist
List of qualified contractors documented
and approved
A project document containing Signed
Bills of Quantities, Drawings, project
descriptions, project plans, and financing
plan
Signed Contract
Minutes of meeting
requirements, and project milestones
13. A site handover meeting has been conducted between project
team, clerk, project management committee, M&E committees
and contractor
14. A site monitoring diary has been agreed upon between project
team, M&E committees and contractor
Minutes of meeting
Site diary
PHASE EXIT NOTES
Stage 5 Implementation, Monitoring and
Evaluation
CHECKLIST FOR PCM STAGE 5
ü Yes
X
Data sources
No
NA
1. Project teams and monitoring committees have endorsed the
project plan
2. The planned outputs/activities of the project are documented in
a work-breakdown structure
3. Progress meetings are planned and diary agreed between clerk,
project team and project manager
Minutes of meeting
Signed project plan
PCM tool 10
Work break-down structure
Signed calendar of meetings
Minutes of meetings
4. Project team and community level M&E committees have
agreed on a monitoring plan with performance indicators
Tool 11A
Monitoring calendar
Project progress reports 7 site
photographs
Site visit template
5. Site visit form and checklist have been agreed upon and
adopted. (See bulleted list below)
6. Changes to the project plan and agreed milestones are agreed
between project team, project manager and monitoring
committees
7. Progress of the project is monitored against established
milestones and the plans are discussed regularly
8. On site monitoring visits and checklist have been established
and agreed upon (see bulleted list below)
9. Contractor payments are subjected to a performance review s
by project teams. (milestones achieved, quality control, value for
money audits)
10. On completion, site handover meeting is held with all
internal/external stakeholders and final report is issued
v Project name
v Date of site visit
v Site location
58 | P a g e
Minutes of meetings
Signed addendums to
timelines, costs, etc
Minutes of f progress meetings
Completed Site visit checklist
Signed performance report and
payment certificates
Site meeting report /Final
project report
v Pre-visit actions (e.g. review of previous site visit, progress
reports
v Purpose of visit (e.g. routine monitoring, solve problem)
v List of participants (include treasurer, clerk)
v Performance information (note progress against milestones)
v Inventory record( record all physical assets, development to
date)
v Summary report (main findings, risks, corrective actions if any)
v Sign off report by staff member/M&E committee member
59 | P a g e
Stage 6 Final Evaluation
CHECKLIST FOR PCM STAGE 6
ü Yes
X
1. Dates for prost project review meetings have been established
by the Clerk and the project management team
2. The project team and monitoring committee conduct an
evaluation mission to establish outcomes of the project
3. A participatory focus group discussion held with beneficiaries to
get their feedback on project impact
4. The project has meet identified needs (refer to problem
statement)
5. The project has created positive benefits as intended (refer to
objective statement)
6. The project will be sustained without further interventions from
the Council
7. A meeting to discuss main lessons on the process is held and
findings documented and shared with full council
PHASE EXIT NOTES
60 | P a g e
Data sources
No
NA
Calendar of meetings
Evaluation report
Lessons learned report
Minutes of full council
Community FGD meetings held
Data on users collected (e.g.
users of a health facility)
Evaluation report
Annex 2: PCM Tool Box
61 | P a g e