Project Management

1. INTRODUCTION TO PROJECT MANAGEMENT

1.1 MEANING OF TERMS

1.1.1 ProjectA project can usually be specified as a series of activities leading to a clearly defined objective (target) which cannot be achieved by normal day to day activities (FINNIDA, 1991). It has specified objectives, time and resource frames, and project organization responsible for the achievement of the objectives.

According to EC (2004), a project is a series of activities aimed at bringing about clearly defined objectives within a defined time period and with a defined budget.

Verzuh (2003) defines a project as work that is temporary and produces a unique product (one time shots).

Harvey (1995) simplifies a project as a non repetitive activity. He further states that a project is goal oriented, has particular set of constraints, the output(s) are measurable and that on its completion something has changed.

Thus combining the cross cutting aspects of all these scholarly/professional definitions one comes up with a definition of a project as an intervention aimed at transforming an existing undesirable situation to the desirable or expected situation. The intervention occurs within a specified time and budget, aimed at some specific objective(s) that bring about some change (impact) in the lives of the recipients/beneficiaries.

1.1.2 ProgrammeWhereas a project is specific, a programme is general. A project is only a part of a larger development programme of a country/organization. Besides a particular project there are usually several other ongoing projects in the same field (FINNIDA, 1991). According to EU (2004), a programme is a package of projects.

EU looks at a programme from two perspectives: a set of projects put together under the overall framework of a common overall objective/goal; or an ongoing set of initiatives/services that support common objectives.

Thus a programme is a collection of projects concerned with a particular aspect of human development e.g. health, agriculture, education, water and sanitation etc.

1.1.3 Characteristics of a Project

1.1.3.1 Project DescriptionEach project should have a project description which clearly stipulates its overall objective, purpose, results and activities. An overall objective (goal) is the desired state of affairs that ought to be attained after the implementation of the entire project. It describes the desired positive situation in which the beneficiaries of the project are expected to be in after the implementation of the project as opposed to the undesirable negative situation that they are in at the start of the project. Purpose refers to the anticipated immediate benefit for the beneficiaries stemming from the implementation of a project. It can also be referred to as immediate objective and some projects may have more than one purpose. A result is a tangible or intangible good or service attained from the undertaking of a given activity of a project. It can also be seen as an outcome of a project. An activity is an undertaking that utilizes various project resources so as to produce some results. All these aspects of a project description should be Specific, Measurable, Attainable, Realistic and Time bound (SMART).

1.1.3.2 Organization StructureA project will always have human capital charged with authority to carry out some responsibilities/tasks of the project. Such human capital will be charged with the project management and more specifically project implementation. Thus, an organization structure is an arrangement of positions occupied by such human capital in an organization showing who is answerable to whom/flow of authority during the implementation of a project.

1.1.3.3 TransformatoryThe trigger for a project is an existing negative situation, whereas the target of a project is the desired positive situation. A project is the intervention used to move beneficiaries from the current negative situation to the future desired positive situation. Hence a project is a tool of transformation in the livelihood of the beneficiaries.

1.1.3.4 Conformity to the Triple Constraint

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Every project operates within some framework in terms of cost/budget, schedule/time and quality. This is also referred to as triple constraint or the cost-schedule-quality equilibrium. Thus a project must operate within an established: budget of resources, time frame i.e. a given start and finish period, and a set of quality attributes or characteristics of the project like relevance, feasibility and effectiveness.

1.1.3.5 Clearly Identified StakeholdersStakeholders are people, groups of people, or institutions that are affected by a project. For effective project management al the stakeholders should be known, that is beneficiaries as well as supporters.

1.1.3.6 Cost Benefit Analysis All projects should be seen as investment ventures where resources are used in the project at some cost as inputs. It is anticipated that the utilization of these inputs yields some results as outputs/benefits whose value must exceed that of the inputs. Thus the justification for a project should be on the proof that the benefits from it exceed the costs into it.

1.1.4 ManagementPlunket (1994) defines management as the setting and attainment of organizational goals/objectives through the five functions that acquire and utilize effectively; human, financial, material, time and informational resources. The five functions of management include: planning, organizing, staffing, directing and controlling.

1.1.5 Project ManagementHarvey (199) says that project management includes planning, organizing, directing and controlling activities in addition to motivating what usually is the most expensive resource on the project – the people.

Locke (2003) observes that the purpose of project management is to foresee or predict as many of the dangers and problems as possible and to plan, organize and control activities so that projects are completed as successfully as possible in spite of all the risks.

Thus project management can be seen as the process of setting and subsequently attaining objectives through planning, organizing, directing and controlling the investment of available resources in conformity with triple constraint principle so as to transform peoples’ livelihood positively. It can also be seen as the process of planning, executing and controlling work that is temporary to produce unique goods / services that positively transform the livelihoods of beneficiaries.

1.2 TYPES OF PROJECTS

According to Locke (2003); there are four main typologies of projects based on where they are carried out from and the kind of output. These are: industrial projects, manufacturing projects, management projects and Research projects.

1.2.1 Industrial Projects They are normally carried out away from a contractor’s head office. Such a place is referred to as a site. They face special risks and problems of organization and require massive capital investment and deserve rigorous management of progress, finance and quality but often don’t get. Due to their complexity in capital management requirements, more than one company joins to execute them. Examples include; civil engineering, construction petrochemical, mining and quarrying projects.

1.2.2 Manufacturing Projects These kinds of projects are carried out in a factory and aim at producing specially designed hardware like ship, farm machinery, aircraft, motor vehicle etc. Such hardware could be for particular person /client or it could be a development by a company for subsequent manufacture and sale in quantity as per the demand.

1.2.3 Management Projects Unlike the first two categories, projects in this category engage in operations that involve the management and coordination of activities with outputs that are often intangible. Most of non profit making organizations (NGO’s national and local government departments, professional associations, charities, disaster relief agencies etc) undertakes projects of this nature.

1.2.4 Research Projects

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These projects are designed to inquire into a given phenomenon for the purpose of expanding the boundaries of current knowledge. They are characterized by difficulties in the definition of their objectives and as such may be subject to project management methods. However, it’s agreeable that some degree of project management should be exercised.

Consider the following categorizations

1. Engineering Projects This should involve all the projects that industrial and manufacturing in nature.

2. Business Projects This category would include projects that are aimed at service /Product output with the core interest of profit making.

3. Academic Projects In this category we would include projects for research aimed at knowledge expansion. Examples would include dissertations and theses.

4. Social Development Projects These would involve aid delivery oriented projects whose main motive is non profit making.

1.4 IMPORTANCE OF PROJECT MANAGEMENT

The basic importance of project management is manifest in the paradigmatic change in organizations towards output (product /service) delivery. Over the years, this was based on routine operations and the concern of management teams was on how to do same thing better so as to productive an enhancement out put.This is to say that they were involved in repetitive operations or activities.Today management in most organizations is more involved in one –time shots (Verzuh, 2003). This approach to output delivery gives an individual /team only one chance to do something, hence the need for project management.

Specific importances of project management are as follows;

1. Help organizations to identify desirable projects for the stakeholders/clients. Through project management projects are established which address the most felt need of the stakeholders especially the beneficiaries. This is well catered for through identification phase of project management cycle. In this phase, the most felt problem and need of the beneficiaries is established. Subsequently, this forms the overall goal of the project.

2. Project management helps to establish an appropriate strategy for project execution. After establishing the most felt need/the goal of the project, various objectives are developed to help attain this goal. Based on the established objectives, a framework (strategy) is put in place that will enable their attainment. In the project management cycle, this is done during the formulation/design phase.

3. Project management helps in the attainment of outputs as per the established goal and through the outlined strategies. The execution of a given strategy demands the carrying out of some activities. Thus project management helps to plan what should be done, by whom when, where, and by use of what resources. This is undertaken during the implementation phase of the project management cycle.

4. Project management helps to keep track of project execution process. During implementation, monitoring and periodic review is undertaken to ensure everything conforms to the principle of triple constraint of the project as well as to the Monitoring and Evaluation (M&E) framework as established under formulation phase.

5. Project management helps to reveal if the project has produced meaningful impact to the beneficiaries as well as any learning experiences as a result of a completed project. Project evaluation is a core phase through which this importance is achieved. Here, an assessment is undertaken to measure if the outputs of a project had the desired impact or change in the livelihood of the beneficiaries. Subsequently, any learning experiences are also catalogued for consideration during future project management.

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1.5 PRINCIPLES & THEORIES OF PROJECT MANAGEMENT

A theory is a set of prepositions that describe, explain or predict a phenomenon. Thus a theory stems from a conceptualization of a phenomenon and subsequently concretizes into principles/prescriptions /concepts. Thus a theory of project management should be prescriptive. That is, it should reveal how action contributes to the goals set for a project (Koskela and Howell, 2002).

The discipline of project management has for long time not had a theory. As late as the year 2000, scholars in the discipline were in agreement that the discipline was based on implicit and narrow theory which needed development, expansion and enrichment (Koskela and Howell, 2002). This poverty in the theory of project management has led to frequent project failures (Kharbanda and Pinto, 1996), lack of commitment towards project management methods (Foster et al, 1996) and slow rate of methodological renewal (Morris , 1994)

Since a theory of project management should focus on how action contributes to the goal of the project (Koskela and Howell, 2002), it is inevitable that such a theory should focus on the process that take place in the life of a project. Projects have two broad categories of processes that go on as a project is undertaken:

1. Project Management ProcessesThese processes are aimed at designing systems that are used /employed so as to realize the goals/objectives of the project. They include; initiating, planning, execution controlling and closing processes (Koskela and Howell, 2002), these processes closely relate to formulation of systems for handling the operations of the project.

2. Product Oriented Processes These processes are aimed at employment of the designed systems so as to realize some output/value generating for customers/clients/beneficiaries. It involves processes like Critical path Analysis/Network Analysis, resource scheduling and action planning.

Each of the two has a set of principles which can be viewed collectively as comprising a theory. Thus we have the theory of management and the theory of project accruing to processes of category 1 and 2 respectively.

1.5.1Theory of Management Management has been defined as the setting and attainment of organizational goals/objectives through the five basic functions that acquire and utilize effectively: human; financial, material, time and informational resources. It has also been aforementioned that project management process includes initiating, planning, execution, controlling and closing a project.

Koskela (2002) deduces that management can be mirrored into three core principles of planning, execution and controlling. The three forms a closed loop, that is planning provide a plan which is realized through executing. Variances from baseline or request for change lead to corrections in execution or changes in further plans, hence controlling (see figure below).

The cycle resultant of the principles of the theory of management

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Planning

Plans

Executing

Corrections

Controlling

Changes

1.5.1.1 Planning Principle

Planning PrinciplesPlanning is the systematic process of establishing organizational goals/objectives as well as the means/strategies of attaining them. It’s a preparation for tomorrow – an orderly process that allows managers to determine the organizational goals and how to achieve them (Plunket, 1994). In planning, managers use 4W-2H questions to develop goals and means or strategies of achieving them. The 4W-2H questions are:1. What – objective/target goal.2. When – target date and intermediate goals if any (long term Vs short term goals).3. Where – geographical location of performance.4. Who – the people to perform the specific tasks essential to the plan.5. How – methodology used to achieve the objectives (how actions will be undertaken to attain objectives.6. How much – resources needed which the management is willing to spend.

1.5.1.2 Execution PrincipleExecution can be seen as the formal procedure for sanctioning project work to ensure that work is done at the right time and in the proper sequence. Thus jobs/tasks are assigned to work in crews usually by a central authority. The execution process has two elements: decision (for selecting a task for a person/work crew from the predetermined tasks that are ready for execution) and communicating the assignment/authorization of the person/crew to undertake the task. Many a times and especially in project management, deciding what task (element one of execution process) is undertaken during planning. Hence execution is entirely communication (element two of execution).

1.5.1.3 Controlling PrincipleControlling is the setting of standards for performance against which to monitor performance of people and processes in an organization. This aimed at detecting, preventing and correcting unacceptable variances between expected/planned and actual results. Controlling as such establishes qualitative and quantitative standards, detects any deviations from standards (monitors) and redeems the organization from any further deviations (corrective feedback). The core processes of controlling can be divided into two sub processes: performance reporting and overall change control. Based on the latter; changes are prescribed for the planning processes (Koskela and Howell, 2002).

1.5.2.1Theory of ProjectThe conceptualization of the theory of project starts from the understanding that project management is about managing work. Turner (1993) put forward the following assumptions/principles about project management:

i. Project management is about managing work.ii. In managing work the total work must be decomposed. That is it should be subdivided into smaller

chunks which he refers to as tasks/activities.iii. Decomposition of work is aimed at achieving three purposes:

a. Ensuring adequate/sufficient amount of work is doneb. Ensuring that unnecessary work is not donec. Ensuring that any work done is aimed at achieving/delivering the stated business/project

purpose or objective.iv. Decomposition and execution of the total project work proceeds with tasks/activities that are related if

at all by sequential dependence. This relates to undertaking critical path analysis/network analysis.

The four comprises the scope of project management and is outlined in the Work Breakdown Structure (WBS) and it is the raison d’etre of project management.

1.6 ROLE OF THE COMMUNITY IN PROJECT MANAGEMENT

The entire task of project management has taken a paradigmatic shift from top-bottom to bottom-up. This scenario has increasingly advocated for the involvement of the community and other stakeholders in all the phases of project cycle. Thus there is increased community participation in the project leading to participatory project management. Taking project management from the point of view of participatory management, the community has the following roles:

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1.6.1The Role of Stakeholders/Partners By and large, the community is required to appreciate that the project is theirs. They ought to get involved in the project as owners and not as recipients.

1.6.2 The role of informantsParticipatory project management espouses the notion that the community has the information about the environment and they understand what they need. Thus project management team can rely on them for the purpose of getting valuable information regarding project management.

1.6.3 The role of resource mobilizersBy being partners in the project, the community should be able to support the project and not to wait for everything to be done for them. Thus they should be seen as people endowed with resources locally available which they can contribute for the success of the project.

1.6.4 The role of decision makersIn participatory management, the community should be viewed with trust and belief that they have the capacity to decide rightly for the project. They should be involved in all structures of decision making for example when doing prioritization/needs assessment, when developing community action plans etc.

1.7 THE ROLE OF A PROJECT MANAGER

The role of the project manager can be adopted from the role of a manger as per Henry Minsterberge. Minsterberge (1978) groups ten basic roles of a manager into three: interpersonal, informational, and decisional.

1.7.1 Interpersonal RoleA project manager is a symbol/figurehead of the project. In this role his/her duties consists of signing certain documents required by the law/project policies and officially receiving visitors. Locke (2003) contends that the project manager is often a significant part of the corporate image which the company (project) presents to the outside world. S/he can reliably make statements on behalf of the project.

1.7.2 Informational RoleA project manager acts as a monitor. S/he gathers data both from without the project and within the project so as to collate for decision making. S/he will also pertake of the duty of preparing reports based on the data gathered so that s/he disseminates within and outside the project. Since s/he is directly associated with data collection and dissemination, a project manager can reliably make statements on behalf of the project organization.

1.7.3 Decisional RoleProject managers are seen as entrepreneurs. They initiate new projects, design strategies and implement so as to solve existing problems. They will more often get involved in deciding which way the project should go incase of disturbances like incase the project has not met its targets, the human capital is not motivated, the human capital conflict resolution etc.

2. PROJECT MANAGEMENT CYCLE

A cycle is a regularly repeated series of events (Mifflin, 1983). According to FINNIDA (1991), a project cycle is a system whereby a project advances from one stage to another in a certain order. Thus a project cycle can be seen as a series of regularly repeated stages/phases through which a project advances (develops from inception to completion).

EU (2004) stipulates that a project takes five stages/phases: programming, identification, formulation, implementation, and, evaluation & audit. FINNIDA (1991) outlines four stages/phases of a project cycle: project identification, project preparation and design, project implementation and project face out & evaluation.

A comparison of these professional sources one comes up with a project cycle as constituting the following phases/stages: programming, identification, formulation/design, implementation and evaluation. These phases are progressive i.e. each should be completed for the next phase to be tackled with success. Thus the project management cycle can be presented as the figure below:

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Project management cycle

2.1 Programming PhaseDuring this phase, the objective/aim is to ascertain the relevance of the project to Partner Government’s (PG’s) and donor’s development priorities. The purpose of the activities of this phase is to deepen understanding of the PG and donor development policies.

2.2 Identification PhaseThe goal here is to ascertain the relevance of the project to the community (that is, if the project meets demonstrated and high priority needs of the community/beneficiary groups), while keeping eye/consistency with the donor’s policy priorities. The purpose of the activities/tasks in this phase is to define the problem(s) and establish the objective(s) of that the project will address. Critical to understand is what the problem is, what causes it and how it can be addressed.

2.3 Formulation phaseThe goal of this phase is to ensure that feasibility of the project (the project is well designed and it will deliver sustainable benefits to target/beneficiary groups). The purpose if the activities in this phase are to come up with a designed methodology on how the established objective(s) shall be attained. Critical to understand is the project description as well as the monitoring and evaluation considerations.

2.4 Implementation phaseDuring this phase the goal is to ensure efficiency, effectiveness and proper management of the project (is the project delivering the anticipated benefits, and is it well managed). The objective is to make the project produce planned results by use of available resources. Key tasks include: monitoring and regular review, planning (and re-planning) and preparation of reports. Thus there is need to ensure that execution of the project remains relevant and feasible, and that the project is well managed. If this is not the case, identify why, so as to make necessary changes through re-planning.

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ProgrammingIdentification

Implementatio

Evaluation

Programming

Evaluation

IdentificationProgramming

EvaluationFormulation

Implementation

IdentificationProgramming

Evaluation

2.5 Evaluation phaseThe objective of evaluation is to ascertain how effective the project was, the impact and sustainability. This is best done by an individual/group outside the implementing team. It is designed to rely on the output/documents of the preceding phases, thus the log frame matrix, monitoring reports, operational work plans etc. the output is an evaluation report on the relevance, efficiency, effectiveness, impact and sustainability of the project. In a nutshell it looks at the success of the project and will be carried out upon completion of the project (ex-post evaluation).

3. PROJECT CYCLE MANAGEMENT

3.1 MEANING OF TERMSProject cycle management (PCM) is a methodology for preparation or formulation, implementation and evaluation of projects and programmes. It is a term used to describe the management activities and decision making procedures used during the life cycle of a project (EU, 2004).

Thus PCM can be seen as an aid on how to handle the project cycle. It focuses on what to be done, various methods and outputs expected after accomplishing the various phases/stages of the project cycle. In modern project management; successful PCM relies on Logical Framework Approach (LFA). LFA is an analytical process and a set of tools that help in project planning and management (EU, 2004).

This section proceeds by looking at various project cycle phases vis-à-vis what should be done; methods of doing it, and expected outputs for each of them based on LFA.

3.2 PROGRAMMING PHASETo understand the relevance of a project idea to PG’s and donor government’s development priorities, one has to undertake a thorough literature review of the PG’s and donor government’s policies. Thus this phase mainly involves desk review of the PG’s development plans, sectoral policy documents, etc in comparison with the donor’s development requirements. In Kenya key documents for review would include: five year development plans, Poverty Reduction Strategy Paper (PRSP), Vision 2030, MDGs etc.

3.3 IDENTIFICATION PHASEThis phase focuses on knowing/defining the problem at hand, the stakeholders in the problem and the relevance of the problem to the stakeholders. Thus central to this stage is the goal of ensuring that the project to be meets demonstrated and highly prioritized needs of the donor, PGs and most significantly the beneficiaries.

The tasks involved in project identification include:i. Stakeholder analysis – this involves identifying and characterizing potential major stakeholders

and assessing their capacity.ii. Problem analysis – this is identifying key problems, constraints and opportunities, determining

cause and effect relationships.iii. Objective analysis – developing solutions from the identified problems; identifying means-end

relationships.iv. Strategy analysis – identifying different strategies to achieve solutions and selecting most

appropriate strategy.

3.3.1 Stakeholder AnalysisA stakeholder is an individual, group of individuals, institutions or firms that may have a significant interest in the success or failure of a project (either as beneficiaries, implementer, facilitators, or adversaries). They can also be seen as individuals/institutions that may directly/indirectly, positively/negatively affect or be affected by a project or programme.

Stakeholder analysis helps the Project management team to understand and recognize the different concerns, capacities and interests of the various stakeholders. Further it helps to maximize the social, economic and institutional benefits of the project to target groups and ultimate beneficiaries as well as minimize the project’s potential negative impacts e.g. stakeholder conflicts.

The main steps in stakeholder analysis are:1. Identification of the general development problem/opportunity being addressed/considered.2. Identification of all groups with a significant interest in the project to be (potential project).

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3. Investigation of their respective roles, different interests, relative power and capacity to participate (strengths/weaknesses).

4. Identification of the degree of cooperation/conflict in the relationships between stakeholders.5. Interpretation of the findings of the analysis and incorporation of relevant information into the project

design so as to ensure that target resources are equitably distributed, stakeholder ownership and participation is promoted and conflicts of stakeholders is promoted and conflicts of stakeholders’ interests are recognized and explicitly addressed in project design.

3.3.1.1Tools for stakeholder analysisThere are several tools/techniques for undertaking stakeholder analysis; but key among them are: stakeholder analysis matrix, SWOT analysis, Venn diagrams, and Spider diagrams.

i. Stakeholder analysis matrixThis matrix is used to reveal some relevant information about the people/institutions that may directly/indirectly, positively/negatively affect/be affected by the project to be. This information is in terms of type of stakeholder and basic characteristics, their interests and how affected by the problem(s), capacity and motivation to bring about change and possible actions to address stakeholder interests. It is used to indicate the extent to which various stakeholders are affected by the problem. This can be summarized in a grid as in the figure below:

Outline of a Stakeholder Analysis MatrixStakeholder &

basic characteristicInterest and how affected by

the problem(s)Capacity and motivation

to bring about changePossible actions to address stakeholder

interestsXYZ

ii. SWOT analysisSWOT analysis is an acronym that denotes Strengths, Weaknesses, Opportunities and Threats. This tool is used to identify the internal strengths and weaknesses as well as the external opportunities and threats of an institution, community or individual. It can be summarized in a matrix as in the figure below.

An Example of a SWOT Analysis MatrixStrengths

a) Xb) Xc) x

Weaknessesa) xb) xc) x

Opportunitiesa) xb) xc) x

Threatsa) xb) xc) x

iii. Venn diagramsSome scholars and project management practitioners refer to this tool as chapati diagrams/the Anjera. It is used to reveal the various institutions present in an area of project operation, their activities, their relationship with one another and how the community perceives them to be important.

Manilla paper could be cut in different sizes of chapati like figures. Members are then asked to give/award them to identified institutions on the basis of their perceived importance (the greater the importance, the bigger the chapati). The community is then asked to arrange them close to each other and within a frame. This helps to depict their relationship to each other as well as how remotely placed the institution is within the community. Thus institutions with close relationship are placed next to/overlapped with one another; institutions that are remote are placed far away from the centre of the frame (community). This exercise yields a Venn diagram as below.

Example of a Venn Diagram

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A

C

B

D

EF

G

H

iv. Spider diagramThis technique can be used to reveal the institutional capacity to manage change. Core operational areas of the institution are identified through e.g. desk review, interviews, observation etc; and their operation levels (effectiveness and efficiency established). A four ringed diagram is drawn to measure the performance level:

0 = undesirable level, thus dramatic improvement 1 = Poor; thus significant room for improvement2 = Satisfactory; thus some scope for improvement3 = Highly effective; maintain standards.

Institutional capacity analysis through spider diagram can output a matrix /web as follows:

An Example of Spider Diagram

N/B The above web is for a four operational areas; which forms four quadrants. However we can have more operational areas for analysis e.g. six, etc for analysis hence hexagonal etc

3.3.2 Problem AnalysisA problem is a negative aspect of an existing situation. Problem analysis is a critical assessment of such negative situations so as to establish cause-effect relationship between the identified problem(s) or negative situations.

Problem analysis proceeds in the following order:1. Knowing and bringing together stakeholders for the purpose of participation in problem analysis.2. Formulation or definition of the problem(s). This involves listing of the existing negative situations and

subsequently framing problem statements. It is important to note that a problem is not the absence of a solution, but an existing negative state. For example in the case where tsetse flies have infested a cattle raring region; it would be wrong to formulate “lack of pesticides” as a problem, rather it should be “cattle infested by tsetse flies”. Or in the case where a maize growing area is infested by maize stock borers: it is wrong to state the problem as “lack of pesticides”; rather it should be “maize infested by the maize stock bores”.

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Personnel management Client focus

Financial managementPolicy and

planning system

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An illustration of a problem tree

3. Select a starting point. After the listing of the problems and subsequent amalgamation of those that appear to be contributing to the larger one, the team will be left with core ones. At this stage it is vital that the stakeholders prioritize their problems, through techniques like pair-wise ranking, preference ranking, and direct matrix among others.

4. Develop a problem tree for individual problems. A problem tree aims at revealing two things: causes and effects of a problem. Thus for each core problem, identify substantial and direct causes as well as substantial and direct effects. When the causes and effects of each problem have been identified, a problem tree is then constructed. The guiding rules are that:

a. All the causes are put below/under the core problemb. Causes or effects of a problem usually have different levels, thus forming a hierarchy of effects as

well as causes. It is important to put this into consideration while developing the problem tree. That is if there is two or more cause combining to produce an effect, place them at the same level in the problem tree. Thus a problem tree will be as illustrated below.

Simulation of a problem tree for cattle infested with tsetse flies area

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} 2nd Level hierarchyof effects

} 1st Level hierarchyof effects

} 1st Level hierarchyof causes

} 2nd Level hierarchyof causes

Below

the problem

Ab

ove the problem

Low income

Low milk and meat production

Cattle infested by ticks

Cattle deaths due to illnesses like ECF

Lack of money to buy pesticides

In availability / poor supply of pesticides

3.3.3 Analysis of ObjectivesSimply stated, an objective is the desired achievement in future as a result of what you are doing at present. In project cycle management; analysis of objectives can be seen as a technique used to describe the situation in future once identified problem(s) have been salvaged. It is used to track the path to be followed if a problem has to be eradicated. Thus through its product (objectives tree), one is able to understand the means-ends relationships of a problem, hence a clear view of the desired future situation.

An analysis of problems proceeds in the following order:1. Reformulation of negative statements of the problem analysis into positive situation statements. These

should be realistic and desirable.2. Check the means-end relationships to ensure validity and completeness of the hierarchy (cause-effect

relationships are turned into means-end linkages).3. If necessary revise statements; add new objectives if you consider them necessary to achieve the objective

at the next higher level, delete objectives which do not seem suitable or necessary.

In reference to the problem tree under problem analysis, the objective tree would appear as below:Simulation of an objective tree for cattle infested with tsetse flies area

3.3.4 Analysis of StrategiesSuccessful completion of analysis of objectives leaves one with a clear vision of where s/he wants to be and the path to follow so as to get there (means-end). A strategy can be seen as a method to be employed so as to get where one wants to be. Analysis of strategies will effectively help to identify the best method to be used so as to achieve a given objective. For each objective there may be several proposals by the stakeholders on how to achieve it, this posses a difficulty of which one to be picked/used. In the practice of project cycle management,

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Increased income

Increased productivity of milk and meat

production

Ticks free cattle

Reduced / no cattle deaths from ECF

Provision of money for pesticides

Effective pesticides provision

it is required that the interests of all stakeholders are taken care of so that the selected strategy is acceptable. Thus to achieve this; the choice of a strategy should be unbiased and objective i.e. free of any subjectivity. Such objectivity calls for establishment of criteria upon which each of the strategies proposed to achieve a goal can be measured against and come up with most favourable strategy.

EU (2004) stipulates the following as a set of criteria to objectively select a strategy: Expected contribution to key policy objectives e.g. poverty reduction/economic integration. Benefits to target groups i.e. women, children, men, youth, aged, disabled etc. Complementarity with other on going or planned programmes/projects Financial and economic cost benefit. Contribution to institutional capacity building. Technical feasibility Environmental impact.

Lelo et al (2000) proposes the following set of criteria: Sustainability Productivity Equitability Cost Technical feasibility Socio-cultural acceptability Time taken to benefit Stability

The set of criteria selected, can be used to asses various strategies by use of a strategy/opportunity assessment matrix.

3.4 FORMULATION PHASEAt this stage the project management team already understands who the stakeholders in the project to be are and the logical project description. The team then advances by trying to develop a logical flow of the project to be.

Thus project formulation consists of three major tasks: i. Development of a project layout – defining project structure, testing its internal logic and risks,

formulating measurable indicators of success and where to get such indicators.ii. Activity scheduling –determining the sequence and dependency of activities; estimating their duration

and assigning responsibility.iii. Resource scheduling – from activity schedule, develop input schedules and a budget.

3.4.1Development of the Project LayoutThe project layout can be seen ass the plan of the project to be. The project layout/plan is presented through the logical framework matrix, also referred to as the logframe matrix. The logframe matrix provides a summary of

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the project design and it is normally between 1 and 4 pages (determined by the complexity of the project, and how many objective levels are in the matrix). It is recommended that the logframe matrix only consists of the overall objective, purpose and results on one hand and how it can be known that they are achieved, source of verification that the three have been achieved and the assumptions to be kept so as to achieve them.

An illustration of the logframe matrixProject Description Indicators Source of Verification Assumptions

Overall objectiveThe broad development impact to which the project contributes - at a national or sectoral level (provides the link to the policy and/sector programme context).

Measures the extent to which a contribution to the overall objective has been made. Used during evaluation. However, it is often not appropriate for the project itself to try and collect this information.

Sources of information and methods used to collect and report it (including who and when/how frequently).

PurposeThe development outcome at the end of the project – more specifically the expected benefit t the target group(s).

Helps answer the question ‘how will we know if the purpose has been achieved’? Should include appropriate details of quantity, quality, and time.


Assumptions (factors outside project management’s control) that may impact on the activity-result linkage.

ResultsThe direct/tangible results (goods and services) that the project delivers, and which are largely under project management’s control.

Helps answer the question ‘how will we know if the results have been delivered’? Should include appropriate details of quantity, quality and time.



ActivitiesThe tasks (work programme) that need to be carried out to deliver the planned results. N/B this is optional within the matrix itself

(At times you may provide a summary of sources/means).

(Sometimes a summary of costs/budget is provided in this box).


Essentially then, activities as a component of the project description is left out in the logframe matrix and can be shown in an activity schedule, just like the details of inputs and budget are presented in the resource schedule.

3.4.1.1 Steps in Developing a Logframe MatrixThe general sequence in the development of the matrix is as follows:1. Develop the project description (from top to bottom).2. Develop the assumptions column from bottom upwards. That is the assumptions at each level of the project

description but leaving out the overall objective. This is because once assumptions at the purpose level are fulfilled, then overall objective is attained and there is nothing to be attained above the overall objective.

3. Develop indicators then sources of verification for one level top to down (objective, purpose, and then results). This can be illustrated as in figure below:

Illustration of the steps to be followed in development of a logframe matrixProject Description Indicators Source of Verification Assumptions

Overall objective

Purpose

1

1

2 7100

8

11

9

Results

Activities

Interrelationships within the Logframe matrixThere are three relationships within a logframe matrix culminating into what is referred to as the logics of the logframe.

3.4.2.1 Intervention LogicThis is the relationship between the components of the project description. The first column of the logframe matrix produces the project’s intervention logic (summary of means-end logic). Using the objective hierarchy, the intervention logic can be read from bottom up as:

i. If adequate inputs are provided, then activities can be undertaken;ii. If activities are undertaken, then results can be produced;iii. If results are produced, then the purpose will be achieved; andiv. If the purpose is achieved, then this should contribute towards the overall objective.

Read from top bottom, the intervention logic will read;i. If we wish to contribute to the overall goal, then we must achieve the purpose;ii. If we wish to achieve the purpose, then we must deliver results;iii. If we wish to deliver results, then the specified activities must be implemented; andiv. If we wish to implement specified activities, then we must apply identified inputs/resources.

3.4.2.2 Horizontal LogicThis represents the relationship between indicators (OVIs) and their sources of verification (SoV). The SoV are also referred to as the Means of Verification (MoV). The horizontal logic is the relationship between OVIs and SoV for overall objective, purpose, and results; or rows 1, 2, and 3 in relation to overall object, purpose, and results.

The horizontal logic consists of the indicators and means of verification. An indicator can be simplified as a measure that what was planned to happen/be achieved has happened/been achieved. It can also be seen as how do you know whether/not what has been planned is actually happening or happened?

Means of verification are sources from which one can be able to find information about the indicators of achievement. In the logframe matrix, one reads across the matrix (column 2 and 3) when analyzing indicators and means of verification, hence it is referred to as the horizontal logic.

Indicators should be Objectively Verifiable Indicators (OVIs). This means that the information collected should be the same if collected by different people. That is using the OVI will yield same information the kind of person collecting not withstanding. Indicators can be qualitative (based on numbers of the variable measured) or they can be qualitative (numbers but based on things like opinion/attitude).

On the basis of project description/hierarchy of objectives; indicators can also be classified as impact indicators (measures overall objective), outcome indicators (measures purpose) and output indicators (measures results). The sources of verification for each indicator should reveal how to get the information (desk review, surveys, observation etc), who is going to collect the information and when the information is going to be collected (i.e. time and period/interval).

3.4.2.3 Vertical LogicThis stipulates the relationship between components of the project intervention and the assumptions. Thus this logic states that a combination of a lower level component of the project intervention with the assumption(s) at that level, leads to the attainment of the next higher level component of the project intervention.

Assumptions are external factors that can influence/determine the success of a project but lie outside the direct control of the project managers. Thus assumptions ought to be met before resources are committed and activities initiated etc. This can be summed as in the figure below:

1

3

4 5

612

13

++

+

++

+

An illustration of the vertical logic

Assumptions are identified in reference to the various analyses that are undertaken during the identification phase (stakeholder, problem, objective and strategies analyses). Identification phase highlights a number of issues (policy, institutional, technical, socio-economic etc) that can impact/affect the project success.

It is always important to be realistic when developing the assumptions so that they can hold true because this determines the probability of the project’s success. Such a probability of the success of the project is a clear measure of the degree of risk of the project. Thus if it is likely (high probability) that an assumption will hold true, then the project is less risky and vice versa. Assumptions that are likely to hold true usually becomes part of the project’s monitoring and risk management plan during implementation.3.4.2 Activity SchedulingAn activity schedule is a layout that indicates the logical sequence, expected duration and dependencies that exist between activities. The development of an activity schedule should be linked to the delivery of the project results as per the logframe matrix.

From the various results established, as per the logframe, activities are identified which must be undertaken to achieve the results. Such activities are then arranged by use of an activity schedule. Depending on the magnitude of the project, how long it will take to commence the implementation of the project or any other reason; the details of the activity schedule may differ.

Steps in preparation of an activity schedule1. List Main Activities For each result of the project, there are activities that should be undertaken / carried out so that the results can be attained. These are critically identified and listed.2. Break / Decompose Main Activities Into Tasks

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Overall Objective

Purpose

Results

Activities

Assumptions

Assumptions

Assumptions

Inputs

Every activity identified under (1) above that is too big to be handled by one person should be subdivided/broken/decomposed into smaller and manageable sub activities /tasks. These tasks can be assigned to individuals during implementation to form their short term goals. Decomposition of activities should stop as soon as the planner has sufficient detail to estimate the time and other resources required.3. Establish Sequence and DependenciesA sequence is the order in which related tasks will be undertaken. Dependence means the relationship of tasks in terms of which should be undertaken to completion before the other can be started. Dependence can also be as a result of the activities being undertaken by the same person; hence s/he may not be able to undertake/complete both tasks at simultaneously. Establishment of sequence and dependence is done by use of techniques like Critical Path Analysis /Network Analysis. 4. Estimate Start-up and Completion timing (duration) of ActivitiesFor each task, try to realistically determine how long it can take to finish it. This is done for all tasks/sub activities of an activity. To succeed in being realistic in estimating duration, one may seek opinion from experts.5. Summary can be done to determine the duration to take so as to complete main activities.6. Define MilestonesMilestones are key events that provide a measure of progress and a target for the project team to aim at. They are vital during implementation (monitoring and review). An example of a milestone is like a date when a task is to be complete, quantity of output as per that date etc.7. Define ExpertiseHaving known the tasks that need to be undertaken it’s possible to determine the kind of person to carry them out in terms of technical know-how or expertise. Thus for each task, endeavour to identify the kind of person needed to accomplish it. 8. Allocate tasksThis is the assignment of tasks to individuals so that they can carry it out. This is in view of the capability, skills and experience of the individual being assigned the task.

As mentioned before the complexity of activity scheduling differs from project to project. However, at the formation phase, it will be desirable to establish overall projections and leave finer details to the implementation phase. Thus it suffices to prepare an activity schedule which goes only as far as predicting what activities to be undertaken on quarterly basis for all the years of the project (project lifespan) and at the main activities’ level. Thus it may not be necessary to establish/ undertake step 8 of activity scheduling until we get to implementation phase.

A competed activity schedule can be presented in a summary through an indicative activity schedule or matrix based on the Gantt chart principle as shown below:

Year 1 Year 2Ref. No.

Results and Indicative Activities

Responsibility Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

1.0 Result 11.1 Indicative activity 11.2 Indicative activity 21.3 Indicative activity 32.0 Result 22.1 Indicative activity 12.2 Indicative activity 2

Notes:Columns 1 (Ref. No.) and 2 (Results and indicative Activities) – Each result identified that needs to be produced so as to attain the purpose of the project is assigned a reference number. Subsequently, each activity identified that needs to be undertaken so as to attain a given result is assigned a reference number as a sub set of the result. For example, if there are two results we shall have the first assigned reference number 1.0 and the second as 2.0. Subsequently, if the first result has three identified activities, then they will be assigned reference numbers 1.1, 1.2, and 1.3 respectively.

Column 3 (Responsibility) – who will ensure that the indicative activity is carried out and where possible to whom shall s/he be answerable to or liaise with. Columns 4 and 5 (Year 1 and Year 2) – on a quarterly basis, how long will the activities take to be attained.

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Resource SchedulingA resource schedule can be perceived as a plan indicating the resources needed to undertake a given activity successfully and by extension the cost of such resources. Essentially resource scheduling is very instrumental in developing the budget of the project.

Steps in Resource Scheduling1. Enter activities into the resource schedule proforma.These activities are the same as established under the logframe/activity schedule. Thus you will establish a resource schedule proforma for each activity as under the activity schedule or as under the logframe matrix.2. Specify inputs/resources For each activity a list of necessary inputs/resources is identified and listed. This is done in reference to the various sub activities established as under activity scheduling.3. Classify inputs/resources into categoriesThis is an act of trying to put related resources into cost categories.4. Specify units After identifying the various resources/inputs needed, it’s important to determine/estimate the medium of their measurement. Such mediums could be numbers, man-hours, kilograms etc.5. Specify quantitiesEstimate how much of each input you will require over the planning period. At this stage it would be appropriate to limit it to quarters of the year. Hence establish quantities needed for each quarter of the year and for al years (life span) of the project.6. Estimate unit costUsing the current market costs of various inputs, and with a realistic estimation of what the costs may be in the near future, determine the costs per unit of the input.7. Identify funding sourceIt is important that you factor in who is going to provide various identified resources and their respective proportions or contributions.8. Allocate cost codesThis helps in accounting, so that each expenditure is entered in the right place for purposes of keeping track of vote heads.

9. Schedule costsHere costs per planning period are established. The cost per unit as established under (6) above is multiplied by the quantity required to complete the task. This is done on the basis of quarters of the year. Thus costs per quarter are established.10. calculate the total activities’ costsThis is arrived at by summing up all quarterly costs to arrive to an annual cost value/amount. A sum of annual costs will give total project cost in respect to activities only.11. Estimate Recurrent costsRecurrent cost is a monetary value of resources that will be required to manage the project on a periodic basis e.g. salaries for project management team.

The output of resource scheduling can be summarized in a resource schedule/proforma as shown below.

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3.5 PROJECT IMPLEMENTATION PHASEImplementation is the process of putting into action a predetermined plan / carrying out planned activities. Thus implementation phase relies on the preceding phases of project cycle and more specifically on the formulation stage. It calls for use of resources as per the resource schedule so as to undertake the stipulated activities as per the activity schedule; which in turn leads to the attainment of results and subsequently realization of the project purpose; thus contributing to the project overall goal.

Implementation therefore consists of the following tasks: detailed planning (action/operational planning) so as to provide a comprehensive guide in implementation; collect, analyze and communicate results for purposes of replanning; risk management; and reporting

3.5.1 Action PlanningDuring the formulation phase, activities are established to attain certain results (attainment of the project description hierarchy). In some cases, such activities are prepared or planned in broader terms, mostly up to quarterly basis for each year. This action planning / operations planning must be undertaken so as to define what activities to be undertaken to a finer/shorter period of say a week or a month. The result of action planning is an operation plan or a work plan.

3.5.2 Monitoring and ReviewMonitoring is the collection, analysis, communication and use of information about the project’s progress. Its main objective is to provide relevant information to right people at the right time for informed decision making. This means that monitoring will highlight the weaknesses and strengths of project management, propose how to deal with them, thus improve performance. It is undertaken to check progress, facilitate taking of remedial action and help in updating of plans.

Monitoring focuses on: Physical progress of the project (input provision, activities undertaken and results thereof) and quality of

process. Financial progress (budget and expenditure) Preliminary responses by target groups to project activities (use of services/facilities and changes in

knowledge, attitudes, or practices). Reasons for any unexpected / adverse response by target groups and remedial action.

3.5.2.1 Steps in Monitoring & Review1. Discuss the Reasons for MonitoringIt should not be taken for granted that each person underscores the necessity of monitoring unless we are dealing with a project management team that has been together for long. Thus always endeavour to bring each person to appreciate what monitoring is and it importance.

2. Review Objectives and ActivitiesDuring the identification and formulation stages of the project cycle, as well as in implementation in cases of action planning, these two (objectives and activities) are established. It is important for the project management team t go over them.

3. Develop Monitoring QuestionsWith a clear mind of what the objectives of the project are and the activities thereof, establish what need to be known and what you need to help know if activities are going on well.

4. Establish Indicators for the Activities

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These indicators will assist in answering the monitoring questions as established in 3 above. The indicators can be drawn from the action/operation planning.

5. Identify/Decide Tools for Data CollectionThat is establish what tools to use so as to get information about what is happening as regards the requirements in 3 and 4 above.

6. Assign ResponsibilityIndicate / spell out who will be responsible for collecting what information about what indicator of activity.

7. Analyze and Present ResultsCollected information should be analyzed at specific times so as to bring out its implication. This reveals if activities are being undertaken are o course as planned/not and causes as to any deviation. This feedback is important for re-planning.

3.5.2.2 Monitoring and Review Toolsa) Logical Framework MatrixDuring formulation phase, indicators of performance in respect of activities and results are developed. Thus, the management team will refer to the logframe to keep track of progress of the project. Further, it also contains a list of assumptions that must be keenly attended to ensure the success of the project.b) Work plans / Activity Schedules

Both at formulation as well as implementation, a clear indication of what ought to be done, when and by whom is clearly stipulated. These are critical reference documents during implementation for purposes of tracking progress of the project.

c) Resource SchedulesIn formulation stage/phase as well as at the start of implementation, costs/resources for various activities are outlined. These are vital reference documents when carrying out activities so as to establish if the project is on track.

d) Risk Management MatrixAt the on set of implementation phase, the project management team prepares a risk management system. This should always be used during implementation so as to help handle any up coming risks.

3.5.3 Risk Management A risk is an occurrence that is likely to adversely/negatively affect the happing of an activity. It the context of project management, it can be seen as an occurrence that is likely to negatively affect the achievement of the project. Simply put it is the likelihood/probability that an assumption shall not hold true (an assumption come false).

Thus during implementation, it is important that project management prepares itself on how to deal with the eventuality that an assumption has not held true. The main tool in the management of project risks is the risk management matrix.

3.5.3.1 Process of Development of Risk Management Matrix1. Identify the Risk

The best approach of identifying a risk is to be pessimistic about all assumptions developed during the formulation stage as stipulated in the logframe. Thus assume that all assumptions will not hold true, hence negatively affect the success of the project.

2. Indicate the potential adverse effect(s) of each RiskThat is indicate how each risk is going to negatively affect the success of the project.

3. Rate the Intensity of the RiskTry to weigh the gravity of the negative effect that the risk is going t cause to the project’s success. This gravity could be on a predetermined scale of say low, medium, or high.

4. Establish how to contain the riskIt is important to map out / think or put in place an approach on how you are going to handle the risk. That is your management strategy in case the stated risk occurs.5. Identify who is going to monitor / be in charge of handling that riskWhen the above steps have been accomplished, the risk management matrix can be presented as follows:

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LFREF RISK

POTENTIALADVERSE/EFFECTS

RISK LEVEL RISK MGT STRATEGY RESPONSIBILITY

3.5.4 Report WritingMonitoring is mainly undertaken by project implementers/internal management. These are just a part of a whole set of stakeholders. Thus it is necessary to inform other stakeholders on the progress of the project, constraints encountered and significant remedial action needed.

Reporting is also important because it provides documents that will facilitate future reviews as well as evaluations and promotes transparency and accountability.

3.6 PROJECT EVALUATION PHASEAn evaluation is an independent periodic assessment of the relevancy, efficiency, effectiveness, impact and sustainability of a project in the context of the stated objectives. It’s aimed at drawing lessons that may guide future decision making.

Whereas evaluations may be undertaken during the life of the project, it’s mainly desirable at the end of the project (ex-post). Further, it should be impartial (evaluators should be independent of implementers); credible (people involved must be experts); participatory (get views of different and all stakeholders) and useful (information of an evaluation should be made available on time).

It is thus clear that an evaluation is an activity external to the project management team. This implies that the tasks of an evaluation in respect to the project management team are basically supportive. These involves identifying the need for an evaluation and topics of evaluation; designing the evaluation terms of reference, tendering the evaluation so as to select the best evaluator, briefing the selected evaluator and supporting him/her; and, ensuring production of a quality evaluation report.

3.6.1 TYPES OF EVALUATIONSMulwa F.W & Nguluu S.N (2003) stipulates four types of evaluations depending on the time it is undertaken during the lifecycle of a project.

3.6.1.1 Ex – ante EvaluationThis is undertaken before the start of a project. It can also be referred to as baseline survey, or project appraisal. This helps reveal vital information that can be used during planning (feasibility, viability, problem scope/needs assessment) etc.

3.6.1.2 Formative EvaluationUndertaken during implementation and can be referred to as midterm or ongoing evaluation. It is aimed at facilitating/deciding on whether to modify, or improve the project.

3.6.1.3 Summative EvaluationThis is undertaken at the end of the project. It can also be referred to as post-project or terminal evaluation. It helps to indicate if the project’s results had any effects to beneficiaries.

3.6.1.4 Ex - post EvaluationThis is done after project completion, usually starting a year to 10 years later. It is aimed at establishing issues of sustainability, impacts and lessons learnt for future project planning.

3.6.2 STEPS IN EVALUATION1. Review Objectives and activitiesAttempt to bring each stakeholder at par with one another in respect to the objectives and activities of the project. This is done in view that, some stakeholders may be new or in case objective and activities establishment was not participatory. Further, such a review helps to remind people involved in the evaluation what their objectives and activities were.

2. Review reasons for evaluation

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A comprehensive evaluation that covers the five aspects (relevance, efficiency, effectiveness, impact and sustainability) of a project is undertaken at the end of the project (ex – post).

However, other intermittent evaluations in terms of snapshots, midterm etc, can be undertaken. As such they are likely not to cover all the five aspects of the project. Thus it is important at the onset of the evaluation to try and establish the reason (objective/aim) of the evaluation.

3. Develop evaluation questionsIn this session endeavour to establish how you are going to measure that the objectives in (2) above have been met. That is put in place questions that are going to help you measure what you wanted to know in (2). Broadly, these questions relate to how you will know that the activities in respect to the objectives in (2) above have been undertaken /met.

4. Decide who will do the evaluationIt would be desirable that every person (stakeholder) be involved. But this may not be possible due to a number of reasons (time, finance, expertise etc). Thus it is good to get a few to represent the rest. However, such a representation should cut across the whole divide e.g. on the basis of geographical location, interest groups, departments of the programme /projects etc.

5. Identify indicators This relates to step two – try to establish how you will know that a given activity has been actually undertaken. Follow the LFA that was established during the formulation phase.

6. Identify information sources for evaluation questionsIn this case, it is vital to clearly state how you are going to get the information. Critical to spell out is where to get the information. The means of verification column of the Logical Framework is very helpful in this case.

7. Determine the skills and labour requirementsLess often than not, it may occur that an evaluation requires use of various methods/tools in data collection. The evaluating team however may not have the requisite skills. Thus it is important to find out if this is the case, and then hire the required skills. On the other hand, it is also important to ensure that you have a sufficient budget to cater for evaluation. In fact in experienced project management practice, this is factored into the project’s budget during formulation.

8. Determine the duration of the evaluationThis is quite crucial because it is in tandem with one of the qualities of a good evaluation (it should be useful). Hence this step requires judicious allocation of time to be taken to collect, analyse and present information. This can be in the form of a time schedule.

9. Spell out who collects dataWhen the specific dates, time required and the skills are known; then tasks can be delegated to individuals or small working groups in relation to (4) above.

10. Analyse and present resultsData collected may not have any meaning to any person. It is thus quite important that you harmonize your information, analyse it, explain it, qualify where necessary etc. this helps you to add value and meaning to it. After this, it will be necessary to make a write up in some form of a report.

3.6.3 TOOLS IN EVALUATION1. Project’s logical frameworkThis contains the project description and as such clearly spells out the planned activities, results, purpose, and goal of the project.

2. Resource scheduleDuring formulation, the project management team already established required resources / budget for implementation. This is a crucial guide when checking the efficiency of the project.

3. Activity Schedule/Work plan

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Either at the formulation or implementation phase respectively, the project management team indicates what activity shall take place when. This is an important reference during evaluation.

4. Monitoring & Review reportsAs implementation takes place, monitoring and review is undertaken and documented in reports. These are useful sources of information during evaluation of a project.

5. Terms of referenceThis is a set of tasks that a contractor in an evaluation is required to attain. They stipulate the reason(s) why a contractor for an evaluation was hired, how long s/he is expected to take to accomplish the tasks, what resources are to be used in the evaluation etc.

PROJECT APPRAISALAn appraisal is an analysis of a proposed project to determine its merit and acceptability to the stakeholders. The reason for appraisal is to revise the plans and justify the decisions on whether or not to undertake the project. This is done against a set of criteria/factors that ought to be met or fulfilled. Project appraisal is desirable during identification and formulation stages of the project cycle. FINNIDA (1991) defines appraisal as an overall assessment of the relevance, feasibility and sustainability of a project prior to its implementation.

Relevance:A project is relevant if it meets demonstrated and high priority needs of the community. Thus while doing a project appraisal, it is important to find out if the project:

Is consistent with and supportive of governmental/donor policies and or developmental priorities. Has identified key stakeholders and related issues like equity, institutional capacity, local ownership etc

have been analyzed. Has appropriately analyzed problems of the community. Has incorporated lessons learnt from experience and collaborated with ongoing/planned projects.

Feasibility:A project is feasible if it is well designed and likely to deliver tangible and sustainable benefits to target group(s). While undertaking appraisal, it is vital to find out if the project:

Has clear and logical objectives which address clearly identified needs. Costs in terms of the resources/inputs are clearly stipulated and that the project benefits outweigh

costs. Has clear management arrangement in terms of project personnel as well as supports institutional

strengthening and local ownership. Has clearly identified and acceptable assumptions/risks. Is likely to be environmentally, technically and socially acceptable and sustainable.

Over and above the foregoing issues of feasibility and relevance, it is important to find out if the project is likely to be well managed. That is will the project be based on good practice of project cycle management. For example has the project preparation respected project management cycle, is it based on key PCM aspects like LFA and its tools, etc.

TOOLS AND TECHNIQUES IN APPRAISAL1. Desk ReviewReading through reports of identification phase (stakeholder analysis, problem analysis, objective analysis and strategy analysis) will help give a clear picture on issues of relevance of the project. On the other hand perusing reports /project literature of the formulation phase (logframe, resource and activity schedules) gives an insight on issues of feasibility and good management of the project.

2. Cost Benefit AnalysisThis is aimed at establishing whether or not the project’s benefits are more than inputs.

3. Participatory Rural AppraisalThis is a technique used to enable community members realize their potentials so as to help themselves.

4. SurveysThis is a research design which can be used to collect data on the issues of appraisal (relevance, feasibility and good management) of the project.

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5.0 PROJECT REPORT WRITINGA report is an account about a phenomenon/an occurrence. In the perspective of a project, a report can be defined as an account about the going-on of the project.

5.1 Why Report Writing1. To enable the management to make sound judgments on the operations of the project.2. To provide a historical reference. That is to find a fall back documentation where upon information about

the past can be traced now and in the future. This facilitates reviews and evaluations of the projects.3. To enable the project management team to evaluate the decisions of various work teams involved in various

aspects of the project.4. To reveal the performance of the project against its planned objectives, activities, budgets etc. this helps to

inform stakeholders of the progress of a project.5. To promote transparency and accountability. Where reports are done, it is most likely that every person

shall have to abide by the laid down policies and cases of fraud are reduced.

5.2 Factors to Consider in Report Writinga) The consumer of the project reportThere are different sets of people who use the project report. Thus it is important to keep in mind their interests in the project report. Taking the case of levels of management; the top level requires a more summarized report than the line management. On the other hand; a donor’s interests are quite different from a beneficiary’s; thus it is quite essential to know who shall consume your report and the likely interest.b) PromptnessA report should be prepared and issued before it is stale. Reports assist in prompt and rational decision making. The principle of promptness comes with problems as the report writer is faced with the possibilities of issuing a report with incomplete information and the wrong data or waiting until the information is verified. In such situations, promptness may be sacrificed for accuracy/ correct information. For prompt and correct reporting, the management may adopt certain methods that may facilitate quick flow of information such as delegation of responsibility and creation of work crews.c) Comparative A project report should give comparisons between it and any previous ones if any. Such comparisons could be effected on such dimensions as time, performance, resource utilization etc. This helps to establish trends and variations calling for attention.

d) ConsistencyThis means that similar reports at different times in a similar manner or format. That is at each level of reporting there should be resemblance in the information presented. e) SimplicityThe report should be clear with facts and figures and where necessary graphs, tables, pie charts, histograms etc may be used. Subsequently terms that are considered to be a jargon of a particular discipline should be defined.

5.3 Types of Project ReportsThere can be varied typed of project reports basing on various factors. A more encompassing typology is to base reports on when they are prepared during the lifecycle of the project. Thus we have the following types:

1. Inception ReportsThis should be produced within the first months of the launch of the project for example three months. This type of a report helps project managers to review the design of the project in consultation with stakeholders, update the first annual work plans. This is vital especially in cases where much of the design of the project (identification and formulation phases) was undertaken by people different from those implementing or when there has been a long time lapse between design and commencement of implementation.

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2. Progress ReportsThese are reports that shall be produced periodically during the implementation phase of the project. The interval of their production normally id agreed upon or stipulated by the stakeholders and may be for on the basis of for example quarterly, biannually or annually.

3. Completion Reports These are prepared at the end of the financing period. It comments and documents on the overall achievements against the original plan, prospects foe sustainability of benefits, lessons learned as well as recommendations for follow up actions required.

5.4 Format of a project reportA format of a project refers to the plan or layout that can be adhered to while publishing or writing a report. It outlines the content(s) of the project report as prepared by the project management team. Various development agents propose different project report formats. Refer to hand out sourced form EU (2004).

COMMUNITY PARTICIPATIONAccording to ordinary English, participation is a process through which people get involved / partake of an activity. Participation presupposes presence of a group of people, an activity and a common goal. So for one to participate s/he brings aboard what s/he knows or has just like the rest of the group do, then they share/exchange for the purpose of attaining their shared common goal.

As a result of participation, members contribute, share, learn, attain and most importantly they are capacitated and become self-reliant.

Thus, participation is a process of consciously involving oneself in an activity whereupon each person contributes to the process of decision making in the carrying out of the activity, learns from the process and as a result each participant in the activity comes out having learnt. Thus s/he is self developed, self-reliant and can undertake that activity in the absence of others.

Mulwa, (2008) defines participation as a process of learning by doing. He further stipulates that a participating mind is hinged on the belief that “every mistake is a learning opportunity” as long as the mistake is out of a genuine effort to experiment new ways of doing something better.

TYPES OF PARTICIPATIONAccording to Mulwa (2008), participation can be classified into two main groups: passive and active participation.

Passive participation has three prototypes: extractionist, handout induced and vertical.

Extractionist ParticipationNormally used by governments where they draw development plans in the exclusion of their offices and far away from the citizens. They then hand the blue prints to extensionists in respective ministries for implementation. Citizens are then required to contribute money or labour as part of participation to meet the cost of the activities in the budget. This is famously referred to as cost sharing.

This form of participation looks at the people / community as objects of development (tools for execution and implementation of project plans drawn by others. It thus denies the community the opportunity to make decisions on what projects should be initiated to solve their most felt problem.

Vertical ParticipationUnlike in extractionist participation where decision making is entirely by the central government / project planners; here there’s involvement of the community representatives in decision making. This happens by either the project planners hand picking Locally Influential Persons (LIPs) or selecting democratically elected leaders of community based organizations. In either case the project planners will then pay or compromise the leaders either by some incentives or by ensuring that the leaders benefit more than the rest of the community. The leaders then will be obliged to accept any decisions by the project planners even if not in favour of the community.

Handout Induced Participation

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Here the motive is to entice the involvement of community members in predetermined projects by use of incentives. Thus once a project has been identified and planned, experts in it come to the community with incentives to give to community members so that they (community members) can partake of the project. An example of this approach is the ‘food for work’ oriented projects.

The experts do not transfer their technical know-how to the community. In exceptional cases, they disseminate their know-how to carefully chosen people (LIPs and leaders of community based organizations) in the context of ‘demonstration projects’.

Active / Authentic ParticipationBasically the community / development beneficiaries are seen as more than objects of development. They become subjects and indeed masters of their own development initiatives.

It involves community members in all aspects of project planning and management. The community is involved in identifying what their problem is, they plan on how to solve it by use of what, they go ahead and undertake a project to solve the problem, they all benefit as a group. They posses / develop knowledge, skills and attitude necessary to undertake on their own any such development initiative. Thus the community is involved in decision making in all aspects of the project management.

DECISION MAKING / PROBLEM SOLVINGA decision is a choice taken after careful thought or consideration. Usually the consideration is from among a number of alternatives. According to Plunket (1994), a conventional model for decision making is as in the figure below:

1. Problem IdentificationFind out what is the problem. What causes it (differentiate symptoms from causes). Try to define the scope of the problem (how intense it is and whom does it affect).

2. Develop / Generate Potential AlternativesEach problem can have several way or means of solving it. Thus make sure these are generated.

3. Identify Limiting Factors What problems /constraints may exist in the way as you try to solve the defined problem as in step (1) above?

4. Analyse the alternatives

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Problem identification

Implement alternative

Select best alternative

Analyze the alternatives

Develop alternatives

Control and evaluate

Identify limiting factors

Score each alternative against the limiting factors as in (2) above. Thus try to establish how fitting an alternative is in relation to the limiting factor(s); and the consequences of each alternative.

5. Select the Best AlternativeAs result of the scoring in (4) above, pick an alternative that fits in the limiting factors and presents least negative effects / consequences.

6. Implement the decisionUndertake action or activities that will enable you solve the problem by executing the selected alternative. Plan to establish the amount of resources needed to help you carry out the various activities.

7. Establish A Control And Evaluation SystemDetermine how you are going to ensure that planned activities are carried out as planned: that is on time; by use of allocated resources and that the implementation is in the direction of solving the problem.

The foregoing problem solving model quite resembles the project cycle management model. Thus it becomes quite imperative that the community should be at the centre in making choices at each phase of the project planning and management.

That is; they should be ones to decide what their problem is (most felt), its scope, how they can solve it, cost each method of solving it, picking the best way/method to solve it, executing that method as well as evaluating if/not the implemented decision was as planned and has helped solve their problem.

Community Participation in Needs AssessmentNeeds assessment is the process of trying to evaluate the developmental requirements / desires of a community. Needs stem from potential problems. A problem is an existing negative situation; whereas a need is a desired positive situation. Thus the community ought to be involved actively / authentically so that they are able to make a decision what their most felt need is and subsequently the desirable need.

In project management, community participation in needs assessment is attained during the identification phase when the community is allowed to undertake problem analysis. Thus they are facilitated to: identify the problems, list their causes, prioritize them, develop problem trees, identify and prioritize ways of solving the prioritized problem etc.

Subsequently; the community participation can be attained in all the other phases of project management if they are allowed / involved in decision making during all the activities/tasks of each of the phases.

PROJECT SUSTAINABILITYSustainability is drawn from the root word “sustain” which means ‘to provide conditions in which something can happen’; (A & C Black Publishers, 2007). In relation to the project, sustainability would mean the probability that a project shall continue long after the outside support is withdrawn.

EU (2004)’ defines sustainability as “the likelihood of a continuation in the stream of benefits produced by the project after the period of external support has ended”. Mulwa F.W (2008) says project sustainability concerns itself with the continuity of a project until it attains its set objectives.

Thus while thinking of project sustainability three things must be born in mind; the community, project results and external assistance. A project is sustainable if the community / beneficiaries are capable on their own without the assistance of outside development partners to continue producing results for their benefit for as long as their problem still exists.

Project sustainability concept as such should be encompassed into the project from the start of the project management cycle. The community / beneficiaries must be allowed authentic participation (they should make

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each decision involving project management) so that they become subjects or masters and not objects /slaves of their development process.

WHY PROJECT SUSTAINABILITYPromote community self esteemWhen a community is capable to maintain the flow of results from a project for their own good, they will always have a feel of ‘we are capable’ and this enhances their self-esteem or ego. They will be more willing to get involved in any other project than ever before.

Develop a pool of case studiesSustained projects will always become points of references for other people or communities that need to undertake similar projects. They become case studies for learning references.

Project sustainability is important because it helps in proper utilization of the immense resources invested in the project. Thus continuity of the project long after external support has ceased leads to economical use of resources and avoids misuse of the same.

Project sustainability enables the community to continue producing the much needed results (goods and services) so that they ensure their most felt need is meet hence solve their problem long after the external assistance has stopped.PROJECT SUSTAINABILITY OPTIONSThis refers to what ought to be done to ensure project continuity long after the departure of external assistance/support. What are the pre-requisites or conditions that should be provided /present to attain project sustainability?

Project productivityThe project should be able to produce results which when utilized meets the most felt need(s) of the community. If the community members do not see or perceive any goods /services from the project, then such a project’s sustainability is compromised.

EquitabilityThe results / benefits of the project should reach each and every member of the project or at least there should be representation of the wider community who are seen to benefit equally from the project. Thus, there should be no form of segregation in respect to who should benefit from the project – whether of colour, sex, age, status etc.

CostA sustainable project is one whose cost is affordable by the community members. As such emphasis should be on ensuring that community members actually contribute or use locally available resources to run the project.

Technical FeasibilityThe technology that is used in the project should be one that is familiar to the community members. Where this is not the case, community members / selected few should be trained as Trainers of Trainers (TOTs) so as to make the technology more familiar in the community. More appropriately, the project managers can promote the use of Indigenous Technical Knowledge which is more familiar with the community they are working with.

Socio-cultural acceptabilityThe project should be respectful and considerate of the community’s beliefs, norms, religion etc. Any project activity that undermines a community’s socio-cultural orientation will be met with a lot of resistance and the chance of its sustainability is quite small. The case of anti Female Genital Mutilation (FGM) projects in communities of Rift Valley are a living testimony. Thus it is imperative to involve an education component to the community before you begin a project that is likely to brush shoulders with a community’s socio-cultural system.

ParticipationTo enhance sustainability, the community members must be seen as people who are capable of steering their own destiny. Thus at all stages of project cycle, they should be let to contribute what they have or know, share or learn what they do not know and enhance their capabilities.

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Capacity Building and EmpowermentThe project management team should endeavour to train and enhance the abilities of the community members – their knowledge, attitude, and skills.

Authentic Project Management MethodologyThere is need for use of predictable approaches of project management. Contemporary approach is by the use of project cycle management which relies on the Logical Framework Approach (LFA).

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Project Management

Documents

desired positive

existing negative

2nd level

1st level

short term

resource schedule

reliably make

logical framework