HANDBOOK FOR PROJECTS: DEVELOPMENT MANAGEMENT AND FUNDRAISING pptx

Project Development & Management Project Cycle Baseline Data and Assessing Needs Implementation and Monitoring... And, consequently, integrates gender in all phases of the project cy

HANDBOOK FOR PROJECTS:

DEVELOPMENT MANAGEMENT AND FUNDRAISING

Prepared by Dr Anne Touwen Convener IFUW Special Committee on Project Development

2001

Page

PLANNING PROJECTS 1

PROJECT PLANNING CYCLE 4

PROJECT IMPLEMENTATION 18

EVALUATION 23

FUNDRAISING IS FRIENDRAISING 26

VARIOUS SOURCES OF FUNDING .31

PROJECT PROPOSAL WRITING .38

International Federation of University Women

8, rue de l’Ancien-Port, 1201 Geneva, Switzerland Tel: (41 22) 731 23 80; Fax: (41 22) 738 04 40 E-mail: ifuw@ifuw.org; internet: http://www.ifuw.org

FROM THE IFUW PRESIDENT

Project development is an integral part of IFUW’s programme in carrying out its mission to improve the status of women and girls, promote lifelong education and enable graduate women

to use their expertise to effect change Over the years IFUW has promoted and supported project development and training in numerous ways

It was, in 1919, a small group of IFUW members that established the Virginia Gildesleeve International Fund for Women designed to support projects world-wide focusing on women’s educational activities, leadership training and community development This Fund enabled IFUW to hold special training workshops in conjunction with IFUW Triennial Conferences as well

as providing grants for many development projects initiated by IFUW affiliates as well as resources materials such as this handbook

The Counterpart Aid Programme which started in 1978 and which has evolved into the present Bina Roy Partners in Development Programme, has assisted many IFUW affiliates in the development of sustainable community projects as well as enabling affiliates in developing countries and countries in transition to be part of IFUW

In 1980-81 IFUW began its partnership with four other major women’s organizations with the establishment of Project Five-0 dedicated to joint development of projects to provide training in income generation and general welfare of communities

In 1980 IFUW established a Special Committee on Projects to “work with national federations and associations on projects requiring funding from outside agencies” It is interesting to note that this first Committee developed criteria for a “good” project:

• A project should arise from a genuine, identified need

• A project should usually originate from the grass-roots, and/or be innovative in character

• A project should aim to improve the educational, social and economic position of women, girls and children

• A project should be within the capability of the affiliate, either alone or in cooperation with other organizations

• A project should be managed, implemented, evaluated, and reported on by the affiliate’s members, or, in part, by persons designated to do so by the affiliate and

• A project should increase the self-reliance of the recipients and beneficiaries

Since 1980 special workshops on project development have been held in conjunction with a number of IFUW Triennial Conferences and Councils as well as at the regional and national levels The residential training provided by the “Base Camp” programmes held in conjunction with the IFUW Triennial Conferences in Graz,1997, and in Ottawa, 2001, illustrate IFUW’s continuing emphasis on the importance of training in project development

In 1995 a handbook on organizational development was produced "Planning for Change"; it included a section on Project Development

IFUW is grateful to Dr Anne Touwen for developing and producing this Handbook for Project Development and Management and Fundraising It builds on previous experience and work while providing a comprehensive resource with concrete examples on project development and fundraising It is our hope that this resource will assist IFUW members to develop projects that meet community and organizational needs and further the mission of IFUW world-wide

Linda Souter, IFUW President 1998-2001

Introduction

Project development always was and still is an important activity for many IFUW affiliates These projects may vary in content or scope but not in dedication and commitment shown by associations, branches and individual members To strengthen this activity IFUW organized in

1998 (Graz) and 2001 (Ottawa) at its Triennial Conference a major training event under the name Base Camp Participants from all affiliates were staying in the same residence and received training in project development and management, proposal writing and fundraising The training also included a practical work assignment

As Base Camp coordinator and trainer I have been delegated by the IFUW Board of Officers to prepare a handbook in order to consolidate the training and offer a reference book for future project development and management in IFUW’s affiliates IFUW is grateful to the publishers of the Worldwide Fundraiser’s Handbook (The Directory for Social Change, London) and The International Donor Directory (International Partnership for Human Development, London) for the permission to use materials on fundraising and proposal writing, as indicated in the text

IFUW would also like to express its sincere thanks to UNESCO* for their grant enabling it to publish this handbook Together with the grant from the Virginia Gildersleeve Fund Inc., and CIDA* the UNESCO money enabled us to partly cover travel costs of Base Camp participants as well

The Handbook provides a comprehensive overview of the project planning procedure with many concrete examples It also gives an overview of the most important skills for fundraising and describes in detail how proposals should be written And last but not least, various sources of funding are discussed

I hope that you find it useful

Dr Anne Touwen

* UNESCO: United Nations Educational, Scientific and Cultural Organization

CIDA: Canadian International Development Agency

NB As some of the materials in this Handbook are reproduced from other textbooks, by kind

permission of the publishers as indicated in the text, this Handbook is for internal use only

Project Development & Management

Project Cycle



Baseline Data and

Assessing Needs

Implementation

and Monitoring

1 PLANNING PROJECTS

1.1 Introduction

Experience shows that when projects are being planned, the task of establishing a sound basis for goals and objectives, and defining them properly, is not given sufficient attention Yet, these are the most fundamental elements of planning A good plan alone is no guarantee for a good project However, a plan which builds on a weak foundation can lead to a good project idea developing into a poor project

Project proposals and plans differ in style and in degree of detail on specific activities The differences depend on the type of project, but many are also matters of choice Some prefer a loose framework plan with details to be filled in along the way Others prefer a more detailed master plan When one considers applying for donor funding then certainly a well written, detailed project proposal has to be made Regardless of what is chosen, the essential elements described below will make up the basis for the project document

Important aspects which should be considered in all development-related project proposals are gender, the impact on the environment and sustainability They ensure greater viability and impact/effect of our efforts Before describing the various steps in the planning process I first will discuss these issues in some more detail

1.2 Integrating Gender in Community Related Project Planning

The community development approach, designed to create conditions of economic and social progress, emphasises the significance of people's participation, needs orientation, self-reliance, consciousness-raising, bottom-up approach to development, and empowerment of communities, and thus of both women and men

Integration and sustainability are keywords in this approach which is based on the ideal situation that women and men organise themselves in a democratic manner to: (a) define their needs, problems and issues; (b) develop plans and strategies to meet these needs, and (c) implement such plans with maximum community participation to reap the benefits

"Participation" of women and men provides an effective means to mobilise resources, to tap knowledge and energy, and above all provides legitimacy to the project or activity, and promotes commitment and ownership, and thus sustainability

"Empowerment" is a concept that goes beyond participation It is a process which promotes the sharing of power Therefore, empowerment helps people to liberate themselves from mental and physical dependence It is the ability to stand independently, think progressively, plan and implement changes, and accept the outcomes Empowerment of women is a crucial aspect of any community development programme/project

Gendered community development, therefore, takes women's interests and needs as a starting point as much as those of men And, consequently, integrates gender in all phases of the project cycle, from planning to implementation to evaluation

Gender-sensitive Project Planning

Gender-sensitive planning requires that gender is integrated into all the planning steps, from the collection of data for a situational analysis and needs assessment to the evaluation of the project

at the end

In gender-sensitive project planning we, therefore, have to:

• Collect gender-sensitive data and do a gender-sensitive situational analysis,

• Do a gender sensitive needs assessment,

• Develop projects which take into account the different needs and interests of women and men,

• Perform gender-sensitive monitoring and evaluation

To involve women in a local planning process a few basic rules apply:

• Meet the women where they are, for instance, organise meetings at a time which is convenient to them (not when they are busy harvesting),

• Start with issues concerning everyday life (their practical needs),

• Underline the "all win" situation of the participation of women,

• Recognise the importance of face-to-face contact,

• Strengthen the women's confidence in themselves, ensure that their voices are heard and that their input is taken seriously,

• Arrange small self-governing groups and provide the necessary skills training,

• Stimulate associations or encourage them to join existing organisations that promote the interests of women and open up channels for funding,

• Move from dreams to visions to plans to action: make all your planning action-oriented and use strategic alliances to strengthen your position

1.3 Environmental Considerations

By environment is understood the totality of conditions, circumstances and influences surrounding and affecting the development of any organisms In the case of human individuals, and communities, our environment is made up of both natural and humanly created or built environments At the global scale, our environment is the planet, at the local level it is the surrounding natural ecosystem Households in societies in transition to an urban, industrial economy develop adaptive strategies making use of a combination of natural environment resources and income from work to buy the necessities of life It is women who very often manage this economy, making use of whatever resources are available Urbanisation places a burden on these already vulnerable households in that the environment in which people live is extremely unhealthy and the possibilities for food production are extremely limited

The fundamental human right to subsistence, therefore, includes the rights of women to use land

in order to have a means of livelihood either from natural resources or from income generating activities This was recognised by the UN when the Women's Action Agenda 21 was drawn up for the UN Conference on Environment and Development in Rio de Janeiro, 1992

The sustainable use of natural resources is impossible without consideration of gender relations and issues Too often better environmental management does not benefit women, on the contrary, it is sometimes at the expense of women; they provide the labour, without gaining the benefit

Projects should always be screened on possible environmental impacts from a gender-sensitive perspective

Community Project Development Model

Baseline Study

Needs Assessment Goals and Objectives

Feasibility Study (Resources&Constraints)

Planning Project Activities

Activity

Plan

Time Frame Responsibilities

Facilities, Services and Equipment Budget

Implementation

Coordination Monitoring Contingency

Management

Evaluation

2 PROJECT PLANNING CYCLE

The project cycle consists of five distinct phases:

1 Collecting Baseline data: a situation analysis and resource charting

2 Needs Assessment

3 The Design phase: developing an action plan, a feasibility study

4 Implementation, including monitoring progress

5 Evaluation

In this chapter the first three phases are discussed

2.1 A Baseline Study and Situational Analysis

The situation analysis aims at describing problems and needs within an area, and charting the local resources available to do something about them

A good initial situation analysis is necessary for good project implementation Goals, activities, and resource inputs are all meaningless without understanding the context of the target group: the environment, values, and relationships All planning must therefore be based upon knowledge of the real situation, and of the various factors which have formed it

The situation analysis is an activity which can firmly link planning to the realities in the field, and thereby to the implementation of the project The findings should guide and -define the content of the project formulation If this does not happen, a situation easily develops where what was planned is not implemented, and what is implemented was not planned

Often, an NGO (non-governmental organisation) comes to an area because overwhelming problems have come to the attention of the outside world It is essential to find out what is perceived as the real problem locally, how problems interrelate, how they have evolved, and which of the problems are considered most urgent

It is important to identify the resources available locally There is no region or group of people totally devoid of resources Every group has a history, a way of coexisting with nature, a social structure, equipment, knowledge and skills, traditions, capital etc An outsider often experiences difficulties in getting a complete picture of such locally available resources

The attitude that everything needs to be supplied from outside should be avoided Finding ways

to use, supplement and complement locally available resources should be a prime concern Plans and decisions must be based on knowledge However, not all types of data and information are equally useful Too much irrelevant information is a common problem Inaccurate, extraneous, out-dated or distorted information is of limited use

Collecting enough relevant information to shed perfect light on every aspect of a problem is a virtual impossibility There will always be unclear aspects about which more data can be obtained, and issues that can be assessed differently, in light of new information The project partners must therefore seek to find a balance between too much and too little information

Research in the traditional sense is not always relevant to planning Reports often contain too much information or have significantly different objectives and perspectives Research can be too expensive or take too long to carry out On the other hand, there are too many projects based solely on information gathered during a short visit by a donor organisation Sometimes a short conversation is all, and leads to a project plan and a budget

Obtaining just enough balanced and well-founded information always requires careful consideration

When the project idea is formulated by local groups or organisations which themselves are not part of the target group, preconceived "knowledge of local conditions" can be a problem: It can lead to quick and easy conclusions which do not take into account the target group's unique characteristics and possibilities

Where, on the other hand, the target group itself has taken the initiative, it is often necessary to contribute by extending the perspective of the planning process to include regional and national factors

2.1.1 What Kind of Information?

Every analysis is coloured by the conscious and unconscious assumptions and suppositions held by the person who reports, analyses and recommends The principles, traditions, and attitudes of the initiators influence the choice and use of information from the field A well-founded situation analysis can make possible a flow of influence in the other direction -from the field to the agency Factual information from the field can help the organisation correct its perspective, and its attitudes

It is important to clarify what type of external constraints of a more structural character the project must relate to at national, regional and local levels This type of clarification allows for a more realistic view of what can be expected from a project Project activities often run into conflict with such constraints, unless the constraints are acknowledged and taken into consideration during planning

If the target group is a local community, it will most often be appropriate to begin the situation analysis right there, and then extend the perspective gradually If the target group is harder to identify at this early stage in planning, it may be more appropriate to start with a defined administrative or geographical area The project partners' principal fields of interest greatly influence the choice of issues, relationships, and processes to focus upon (such as children, the handicapped, co-operatives, labour unions, ecology etc.)

General information on the local context and the local community as a whole, should always be included

In describing particular problems, links and causal relationships to other problems and issues must be made evident Several problems may have overlapping causes Doing something about some causes at one or more levels may be within reach of the planned project It is therefore important to clarify what causes are within range of the project activities and which ones are not -

at least at the outset

2.1.2 How to Gather Information

One must seek to optimise the knowledge and experience gain from the information gathered (its relevance, accuracy and suitability), in relation to the investments made to gather it (the time and money spent) Before beginning, it is therefore important to clarify the following:

What information is not needed? Deciding that certain information is neither wanted nor necessary, demands courage In some investigations, far too much information is gathered just

in case it might become useful

The level of ambition (quantity and quality)

Certain principles are fundamental:

Spending time on the first phase of planning is a good investment

Listen and learn Allow the local people to express themselves Consider them teachers and yourself a student Assume that they possess important information

Combine several approaches Try to approach each question in many different ways This tends

to correct and enhance the picture Don't believe that a particular approach is the only right one Clarify your assumptions Try to clarify on which assumptions statements are being made, and where possible pitfalls are hidden How, for instance, is the situation analysis coloured by the sex of team members or of informants, by the route taken by the team, by the time of year the project area was visited, etc

2.1.3 Methods of Gathering Information

The following describes various methods of gathering data and information The reasonably priced and straight-forward ones should be preferred In cases where the more complex and expensive methods must be used, one should evaluate critically which one(s) will be most appropriate The approach taken by an external organisation which is just starting up work in a new partner country will naturally differ from that of a local organisation which is already established and in operation

a) Use of available documentary evidence

It is not necessary to re-invent the wheel In many developing countries, large amounts of research material and lots of reports exist, but are hardly made use of Identifying possible sources of such information is an important task Good places to look are universities, colleges, research centres, and larger development assistance organisations and multilateral bodies (such

as UN organisations, WHO, World Bank)

The most relevant statistics can often be found in the appropriate government ministry or planning office, or in an office of national statistics The quality can vary, and needs to be assessed Finding specific data relevant to small local areas is often difficult However, more information is usually available than one expects

b) Observation

Observation includes all forms of direct presence in the project area "Field visits" are most often quick visits to the field by one or more representatives of the project partners (increasingly by consultants as well) with the aim of gaining personal impressions on which to found recommendations

A select few master this form, and can in the course of a brief field visit grasp (and later on express) the essential details in a situation while retaining a clear overall view For most others, field visits may seem to have been efficient, but the knowledge gained is at best superficial, and sometimes completely wrong

Observation is important and necessary, but not sufficient alone

Observation can be more or less efficient Observing in an unstructured manner, like when the observer aimlessly wanders round talking with people, or is perhaps just a spectator, is in general far less effective than structured observation Preparing a checklist of what is important

to look into, and then observing the same conditions in, several villages, is an example of a way

to structure observation to improve its value

c) Interviews and seminars

The use of interviews is a common way of collecting information Like observation, interviews can be more or less structured, depending on the type of information that is required, and the planning process itself Important questions should be properly formulated beforehand This will increase the level of accuracy and help make the use of the data more consistent A general checklist of issues to be discussed should always be prepared in planning for interviews

Finding and getting in touch with local key figures can be of vital importance They know the country, the people and the area, and can help answer many of the questions which are connected to the planning phase Useful resource people are representatives of other organisations, local and central authorities, social workers, teachers, etc

Particularly in the planning of local community projects, access to the experience possessed by the local population is essential They have a unique and superior knowledge of the plants, animals, soil conditions, farming methods, social and cultural traditions, etc Finding and meeting with people who are in the centre of the local network in one way or another, formally or informally, is therefore very important

Interviews should also at tempt to identify conflicts (of interest and otherwise) and differing sets

of values in the area This will usually mean supplementing other information available by consciously seeking out groups and individuals who do not ordinarily have the opportunity to express their wishes, their demands, and their interpretation of the situation

Group interviews are often advantageous They allow for contact with more people

Another advantage is that when trying to obtain sensitive data, the group often has a correcting and controlling influence

Panels of experts, or panels with representatives of different groups can also meaning- fully be used, both to highlight important issues, and for more in-depth discussion on particular areas of concern

d) Field studies and investigations

There are many ways of conducting field studies: Local ad hoc investigations can be undertaken

in direct co-operation with the potential target group, perhaps involving other local co-operating partners, students, teachers or researchers Investigations of this type can have an informal and qualitative nature, or a more formal questionnaire can be utilised The "community diagnosis" (a much used starting point in the planning of primary health services), is an example of how this type of investigation can meaningfully be used

Better methods and more resources, often including special expertise, may be necessary to find relevant, accurate, and up to date information on people's understanding of themselves and their living conditions, or in order to analyse particular problem areas in depth

In the case of larger and more expensive investigations, care must be taken to define a precise objective, decide upon a clear approach to the problem, and limit the scope according to the particular need It is also important to bring the time plan for the investigations into agreement with the time plan for the rest of the planning process To be useful, the results from investigations must be ready in time to aid further planning

2.1.4 Summing Up

A systematic understanding of the current situation in a given community sets the stage and provides the basis for any community project It helps to consider how changes can be made to achieve certain goals and ideas A situational analysis is a database for the project and should

contain gender-disaggregated data On the basis of these data a community profile can be developed

Data collection for a community profile

Data:

* political/administrative structure

* demographic features and population characteristics

* economic activities

* social stratification and power relations

* organisations and their functions and activities

* leadership pattern and its influence

* cultural facets or traditions

* critical issues and problems

Sources of information are:

* documents or files in government offices/NGOs

* reports of surveys

* community members

* informal leaders in the community

* government officials or formal leaders

Important points to remember:

* There is no single technique that is appropriate to get information from all sources

* The best option is to use a variety of techniques

* The most common techniques are questionnaires, interviews and observations

* Group discussions are frequently used

2.2.2 Prioritising Needs

No one can address all identified needs in one project Therefore, priorities have to be set This has to be done with all stakeholders concerned, men and women See sheet for prioritising needs

2.2.3 Levelling of Needs

Stakeholders may have different priorities Then a negotiating process should bring consensus

on which priorities should first be addressed

Needs Assessment

Identification

of Needs

Deciding on what needs to be addressed

Prioritization

of Needs

Levelling

of Needs

2.3 Project Design

2.3.1 The Target Group(s)

The project plan must define clearly the target group(s) for the project This seems self evident, but is nevertheless often given little attention

Finding target groups already organized at the outset, and ready for discussions and negotiations about objectives and the means for self development, happens rarely

In many real-life projects, the target group is somewhat diffuse and sometimes seems nearly arbitrary Example definitions are "those who come", and "those we have contact with" Health projects often fall into this category The demand for services itself creates the target group Choosing not to relate consciously to any particular target group means giving priority to those who for one reason or another are able to get into contact with the project This leaves no time nor resources for those who do not come

Broad, general terms used to define the target group (i.e "the poor of the village" or "the poorest

of the poor'), can be meaningful in policy papers, but have no place in concrete project planning The situation analysis attempts to broadly outline what the problem is, for whom, and why Defining the target group is to ask:

Towards whom can we direct our efforts to do something about the problem?

The target group can be defined according to age, sex, occupation, income group, geographical area, or membership of a particular social class or other group Other possible criteria are for instance peoples level of access to particular services, their nutritional status, etc

Being conscious of the target group helps focus and concentrate the project effort The

choice of target group defines limits, and can in some cases erect new social barriers and improve the situation for some at the expense of others Local society is seldom homogeneous Conflicts, power blocs, and contradictory opinions and needs are part of almost every society Care must therefore be taken in making the choice, and in assessing its consequences

In light of the problems and causal relationships revealed by the situation analysis, and taking into account the type of assistance the organisation can offer, the following issues need to be addressed:

• Who should the target group be for real changes in the desired direction to take place?

• What conflicts may arise?

• What structures are already there, or can be mobilised, to enable broad communication with the target group, and to deal with potential conflicts?

2.3.2 Goals and Objectives

Defining goals is an important part of the planning process The project ideology of the project partners, and the prevalent understanding of causal relationships and how they can be influenced, are usually the most important factors behind the choices made and the limits decided upon

The statement of goals for the project should answer the question:

Where do we want to go with the project?

Development goals, project objectives and intermediate objectives must relate to the problems which have been identified in the situation analysis and to the causal relationships described there

The target group must play an important role all through the planning process for real participation to be possible In fact, the target group should by this stage already have been involved in the situation analysis, and in finding causal relationships between various problems Defining goals and objectives means deciding what problems are to be given priority

The work of formulating goals must therefore be given the attention it deserves Achieving meaningful interaction through the exchange of views between the different parties involved, is particularly important at this stage Areas of agreement need to be clarified, and are as of disagreement must be found and properly related to

A rough draft of goals and objectives can often be obtained by simply re-formulating the description of a chain of problems

Example problem:

Many children die before the age of 5 in the Bhagari Region

Goal:

To reduce child mortality in the Bhagari Region

Including something on how much in what time frame makes the goal more specific For example:

To reduce child mortality by 30% in 3 years

To be able to do something about the problem, one must find the causal relationships behind it

By considering all the problems and needs together (as identified in the situation analysis), it is possible to shed light on how they are linked up and interact, both as causes and consequences

of each other

Certain causes are immediately obvious to planners Further research and analysis can reveal others Some causes and the connections between them can only be understood by members of the local community Therefore, the planners must share their knowledge and the plans they make with the local community, and the local community must be encouraged to share its knowledge with the planners

The goals should as far as possible be realistic, and should take into consideration inherent constraints This is often easier said than done A possible approach is to first make a rough draft of goals and objectives, then go back and review the causal relationships, the assumptions made, and the constraints and limitations found The proposed strategies also need to be re-assessed in light of the findings Finally, the goals and objectives are re-formulated, making them more concrete and more realistic (See also our example)

Example:

In the case of the "Bhagari Region", with its high rate of child mortality, a whole range of problems need to be identified

Some possible factors:

• The long distance to water; polluted surface water

• Many mothers being responsible for their families alone; unemployment forces the men

to leave the area

• Little opportunity to produce food for yourself; arabIe land is being contracted out for cultivation of cash crops

• Very few girls attend school long enough or regularly enough to learn to read and write Widespread under nourishment among children and adults

• Long queues and high prices at the 3 health centres in the region

• Taboos regarding food and disease

In this case, the immediate causes of the high rate of infant mortality can be identified as:

• Diarrhoea, respiratory infections, measles, under nourishment, tetanus during early infancy

• Infectious diseases and under nourishment amplify each other mutually as causes of death

The underlying causes seem to be:

• Lack of available basic services ( water supply, health services, education)

• Barriers (economic, attitudes, options) preventing the use of new knowledge full

utilisation of established services

• Unemployment

• Unstable and vulnerable nutritional situation due to dependency on outside and

• poor use of limited choices with regard to local production

To make a good choice of goals and strategy for this project, one would need to know which of the identified causal factors are given the highest priority by the target and which ones it would

be realistic to try to change

A rough draft of goals and objectives might look like this:

1 Group work on health, disease and local understanding in 3 pilot villages

2 Vaccination of children ages 0-3 years with 75% coverage within 3 years

3 Contact with 75% of pregnant women at least twice during each pregnancy Etc

B To increase the production and availability of nourishing food

Activities under B:

1 Establishing opportunities to borrow money for small-scale production initiatives

2 Establishment of 2 production cooperatives

3 Nutrition education as part of all activities Etc

C To make better water available within 10 minutes walk to 75 % of the population

Activities under C

1 The construction of 10 new small-scale water supply systems

2 Improving 15 existing wells

3 Educational program on water hygiene for a total of 25 women's groups Etc

on

Comment:

Intermediate goal B is still not sufficiently well formulated It is not specific enough to make the measurement of progress possible This reflects too poor knowledge about the causal relationships in the field of food production in the area, and about opportunities to change them The suggested activities are therefore only outlines, and the whole issue would need to be looked closer at during the starting up phase of the project

Summing up:

Determining goals and objectives based on prioritised needs is essential for the successful completion of a project They set the direction of the project and are the terms of reference for monitoring progress and the final evaluation

A goal defines, very broadly, what is expected of a project and is made up of several objectives all leading to the achievement of the goal

Objectives have to be:

• Related to needs

2.3.3 A Feasibility Study: Assumptions and Constraints

The situation analysis is meant to give all involved parties an overview of actual needs, practical constraints, and likely possibilities

The problems as they relate to the chosen target group were the main consideration in formulating goals However, it is important to reconsider them in the light of identified assumptions and constraints to make sure they are feasible in the given situation

As part of this reconsideration it is necessary to look at the causal relations which have been demonstrated One must find out what external conditions and developments beyond the control

of the project have been assumed at the various levels, and how they might come to influence the success of the project Identifying and assessing the assumptions made and the inherent constraints, makes it possible to adapt goals and to choose the strategies with the best chance

All the assumptions create uncertainty as to whether the final goal will be reached, i.e

getting sufficient qualified personnel for the church hospital to ensure high quality nursing care The nurses training college project has little control over these factors Identifying them at the outset, makes it possible to examine them closely The risks can be properly assessed, and possible measures to reduce the risks can be considered

There are likely to be other constraints in the situation as well National approval of the nurses training college may be required This might for instance limit the range of choices with regard to the qualifications required of applicants Or there may be a national quota system for posting trained nurses This might mean that the mission hospital's needs might not in the end be satisfied

Ideally, all assumptions should be identified which may influence whether or not the principal objectives of the project will be attained If this can be done, it is possible to assert with a high degree of certainty that if the required resources are invested, and the assumptions hold, then the project objectives will be attained

This kind of analysis makes it possible to accurately analyse the feasibility of the project goals, and to find out which are the most critical risks, already during the planning phase It also constitutes a good basis for choosing what factors to monitor closely during the implementation

of the project

The process is as follows:

After determining goals and objectives on the basis of prioritised needs, it is essential to take stock of the needed and available resources (human, material, financial, institutional), as well as the constraints that may be encountered in attempting to achieve the objectives

This involves a feasibility study to decide whether the necessary human, institutional and financial resources are available and what constraints could negatively influence the project Cultural concepts about gender relations could, for instance, be a constraint for the successful implementation of the project If so, this constraint should be dealt with first

2.3.4 Main Strategies

Whereas the goals and objectives spell out where we want to go, strategies and activities

together show how we plan to get there

There are usually several different choices of strategy available, all of which will lead to the desired objective A description of goals does not necessarily suggest a way of reaching them Most strategies are based on accumulated experience from real project situations The popularity of strategies changes with time and place:

Examples from different sectors:

In agriculture, there was a time when centres with demonstration plots were common More

recent projects have often chosen to emphasise decentralised farm advisory services

In health, the main strategy used to be to improve medical facilities More recently, preventive medicine has been emphasised At present, combining preventive and curative medicine is the trend

Possible choices in health include: Institutional and mainly curative medicine; integrated services

mainly focused on primary health; concentrated efforts directed towards mother and childcare, etc

Social services were once considered important to improve the living conditions and the quality

of life of the poorest population groups More recently, stimulating entrepreneurship to increase economic activity has often been favoured

A strategy for community development which has become popular in the 1980's is characterised

by decentralisation of initiative, activities and responsibility This type of strategy carries with it a whole range of inherent assumptions and consequences

The term "vertical project" has been used to describe sector inputs consisting of single components within a given sector Examples are malaria control, family planning, adult literacy training for school leavers, etc

"Integrated projects" include a whole range of components (within a specific sector, or cross sectoral) which actively interact The components are seen as a functional and administrative whole (e.g "integrated rural development")

Most project strategies have both strengths and weaknesses The choice between them

should be made according to the project goals and according to the general context of the project

The description of goals and the analysis of assumptions and constraints both contain valuable background information for making these choices For example, a nutrition program might benefit from an integrated strategy, whereas leprosy might best be dealt with through a vertical project -of course co-ordinated with other health services

The choice of strategy is important, and should be considered carefully It has important implications for the priority given to different means and project components, and should harmonise with what is generally emphasised by the different parties involved (including the future project management) All the project partners, including the target group, should therefore participate in the process of choosing strategy

It is often fruitful to discuss alternative strategies in order to find the one which offers the best chance of success

The choice of a main strategy should be described in the project document, and thereby help ensure continuity Changes of main strategy along the way must be possible, but should only be made consciously, and should be well founded in relation to the initial terms' reference for the project

The project strategies will help bridge the gap between the basic development philosophies and principles of the organisations, and the choice of goals, target groups and inputs for individual projects

In describing the project's main strategy, the project document should specifically clarify:

• strategies in relation to women's participation

• strategies in relation to environment and sustainability

These two concerns, and the consequences of the strategies employed to deal with them,

are considered so important to the sustainability of the development process that they always need to be addressed carefully

All strategies should be analysed with sustainability in mind, attempting to predict both the short term and the long-term effects of project inputs into the local society - ecologically, economically, socially and culturally

2.3.5 Action Plan

Planning project activities involves the following steps:

1) Identifying activities Identifying project activities is the most important step in the project planning phase and should involve all the stakeholders, men and women, in a participatory way The activities should be based on the objectives, taking into consideration the resources and constraints

2) Sequencing activities

3) Determining human, financial and material resources

4) Developing a time frame for activities The time frame should include a monitoring schedule 5) Monitoring and Evaluation

To help you develop an action plan use the following checklist:

• What are the activities to accomplish the objectives?

• Why is the activity taking place?

• For Whom is the activity?

• Who is doing the activity? Which human resources do we use?

• Where is the activity taking place?

• When is the activity taking place?

• Who is responsible for coordination/implementation?

• How is monitoring and evaluation assured?

• What is the budget?

After the design has been made it should be written down as a project plan and, when external funding is needed, a project proposal should be prepared, including a detailed budget

The budget should include an estimate of the services, equipment, facilities, and materials that can be contributed by the beneficiaries (both in-kind and financial contributions), so that: the community knows the value of its own contribution, donor agencies can see how much the beneficiaries are contributing, because they often require matching funds, ownership is reinforced

For guidelines on funding and proposal writing, see chapters 5-7

3 PROJECT IMPLEMENTATION

Project implementation involves a number of activities Among the major activities are securing community participation for launching the project, co-ordination of activities, monitoring, and taking care of contingencies These activities are usually the responsibility of a project manager/ coordinator or a project management committee

Project management includes various management functions as summed up on page 19

Of all these management activities three will be singled out: co-ordination, team-building and monitoring progress

3.1 Co-ordination

Co-ordination is the process whereby two or more people/organisations work together to deal collectively with a shared task The responsibility for co-ordination may be assigned to a single individual or a team/group of individuals, in consultation with all the parties concerned Co-ordination would the major responsibility of a project coordinator, heading a project team

The rationale for co-ordination is:

• To achieve the objectives of the project with a minimum amount of constraints

• To take immediate corrective action for problems encountered in the implementation of the project

• To promote better relationships among organisations, institutions, departments and individuals connected with the project and to harmonise resources and activities for the achievement of project objectives

• To establish cordial relationships between the target population of a project and all the other sections, including the political leadership

The following questions should be asked:

1) Co-ordination among whom?

2) What problems could come up in attempting to co-ordinate activities?

3) What needs to be done or what mechanisms should be set up to prevent such problems and promote co-ordination?

Co-ordinators should have leadership qualities because they need to encourage people to act purposefully toward realisation of the project's goals and objectives

This requires certain leadership qualities:

• to motivate people in such a way that they feel positive about their responsibilities;

• to delegate and assign responsibilities to people

• to manage conflict to make sure that differences are addressed and effective working relationships are developed;

• to communicate information so that people have the information they need to perform their work effectively and efficiently

Project co-ordinators should be flexible and able to adapt to changes within and outside the organisation and manage change to encourage creativity and flexibility in achieving program objectives

Project management 1

a) Planning

Planning is making decisions about which courses of action to follow It includes the following activities:

• Establishing objectives to determine the end result;

• Developing strategies to determine how to reach objectives, by when, and by whom;

• Preparing budgets to determine the cost of using resources;

• Establishing policies to have standing decisions on recurring situations;

• Establishing standards to ensure continued quality of services and products

b) Organising

Organizing is developing relationships and allocating responsibilities within the organisation

It includes the following activities:

• Developing organizational structure to establish accountability within the

• organization through clear reporting and supervising relationships;

• Establishing teams that work together to reach objectives;

• Establishing job descriptions to ensure that roles and responsibilities are clear;

• Determining staff activities to carryout work plans

c) Staffing

Staffing is filling positions within the organizational structure It includes the following activities:

• Recruiting people with appropriate qualifications for positions in the organization;

• Orienting new people to their positions to help them learn about their responsibilities, the relationships within the organization, the organization 's goals and objectives, and the culture of the organization;

• Providing training when necessary to upgrade people's skills

• Submitting reports to account for project activities and finances;

• Monitoring performance to document the way people carry out their responsibilities;

• Providing feedback to people on a regular, informal basis, including positive feedback and constructive criticism;

• If the project employs staff regular performance appraisals should be organized to formally assess the way people work and extent to which they produce results, and to give them feedback about their work;

• Adjusting plans to respond to changes in the internal and external organizational

environment

1 Source: CEDPA, Supervision, 1996: 5/6

3.2 Team-building

A team is an energetic group of people (two or more) who are committed to achieving common goals, who work well together and enjoy doing so, and who produce high quality results In a team, the whole is more than the sum of its parts The team is more than just the sum of individual efforts The team combines the individual talents with a positive team spirit to achieve results

The two most universal characteristics of teams are:

• the production of outstanding results and success in spite of difficulties, and

• members feel responsibility for the team and work to resolve problems and clear difficulties out of their way

These characteristics can be broken down into the successful ingredients of a team

1 Open, honest communication based on trust and caring Team members are sensitive in how they communicate to their team mates, particularly in difficult or conflict situations

2 A complimentary blend of skills and talent that allows the team to work cooperatively together, building interdependence among the members

3 A high degree of tolerance, mutual respect, trust and support which allows individuals to take risks and challenge their abilities

4 An understanding of and commitment to a common purpose and goals Individual goals and objectives align with team goals to ensure balance in meeting team and individual needs

5 The challenge and capacity to achieve results, make decisions and produce results efficiently

6 An efficient and flexible structure and leadership which allows the team to work toward achieving results without confusion of roles and responsibilities The shifting roles between leaders and followers exemplify this characteristic

7 The enjoyment of working together based on team spirit, pride, rituals and symbols

8 The ability to take strength and energy from each other, and to celebrate successes and share failures together

Team leaders have to be skilful at balancing different functions The leader is faced with the need to balance the accomplishments of results, with the needs of individuals (team members) and thirdly, with the need for members of the team to work together as a group She/he can enhance the team spirit by developing a shared purpose and positive work climate in the group Important also is the way of dealing with conflict or non-achievers Conflict is neither good nor bad, but can get out of hand of we do not handle them constructively

Giving and Receiving Feedback

We naturally give feedback to other people when we interact with them on any project or activity, sometimes making a positive comment and sometimes criticizing what they have done Both positive and negative feedback are important to effective communication and group work, but they are only effective if the feedback is given and received in a constructive manner Constructive feedback is information that a person can use to solve problems, improve performance, or work more effectively with others

It is not easy to give and receive constructive feedback The principles presented here will help you manage potential (or existing) conflict, be direct about what you think, and still maintain mutual respect

See annex 2 for tools for team assessment and giving and receiving feedback

3.3 Monitoring

An important part of the work of a project co-ordinator is monitoring progress

Monitoring is the process of routinely gathering information on all aspects of the project Monitoring provides managers with information needed to:

• Analyse the current situation

• Identify problems and find solutions

• Discover trends and patterns

• Keep project activities on schedule

• Measure progress towards objectives and formulate/revise future goals and objectives

• Make decisions about human, financial, and material resources

Monitoring is continuous A monitoring system should be in place before project start-up and should be scheduled on the project work plan

First Level Monitoring

The first level of monitoring is done by project staff The project managers are responsible for monitoring the staff and tasks under them, and the project co-ordinator is responsible for monitoring all aspects of the project

A monitoring report should:

• Contain a list of the activities to be monitored (derived from the plan),

• List the duration and deadlines for completion of different activities,

• State the methods of monitoring the activities,

• State the current progress on steps taken so far,

• State the barriers confronted, if any,

• Suggest solutions to overcome them

Monitoring can be carried out through field visits, review of service delivery and commodities records Whatever form is chosen monitoring reports always record any problem the project team has and plans to correct these problems One also has to point out any changes in the original goals, objectives or activities and explain this change in direction

Second Level Monitoring

The second level of monitoring is done by the donor(s) Through field visits and routine reports from the project manager, the donor monitors progress and measures performance This includes financial reporting

Summing up:

The rationale for monitoring a project is:

• To know whether the various activities are undertaken as specified in the project plan

• To know whether materials and other inputs are reaching the specific places in due time

• To know whether the unexpected issues/problems are occurring

• To know whether the outcomes match predetermined targets, and if not, why and to decide what corrective action has to be taken

• To know what should be done to change course from the original plan, if the unexpected happens

• To know alternative courses of action, given the new circumstances

3.4 Contingency Management

The contingency approach to managing projects is a relatively recent development in the field of management It is a product of the 1970s which were characterized by turbulence and uncertainty due to economic, political and social upheavals Contingency management emerged

as an attempt to find solutions to the highly complex problems of the operating environment The approach enables managers to encounter the uncertainties that affect planning processes by visualizing probable uncertainties and planning how to respond, and mitigate them

The word 'contingency' means different things to different people In essence, it is something that happens by chance without a warning, a possible future event, an unforeseen occurrence, accident, uncertainty, or emergency Contingency management involves preparing a plan to take effect in case an emergency occurs, or preparing in advance a course of action to meet an emergency situation which cannot be totally foreseen

In implementing community projects, it is necessary to identify, assess, and diagnose the important contingency situations that could occur so that the best decisions can be made That

is, the project should be implemented within an if -then framework If certain scenarios occur in

an unexpected manner, then an appropriate managerial action should be taken in order to respond to that situation The contingency approach to project implementation is to ensure that the community group is oriented and prepared to meet the unexpected demands of the situation The contingency design is the total process of determining the degree of environmental uncertainty and adapting the measures to meet the demands of the operating environment

4 EVALUATION

Evaluation generally implies measurement, appraisal, or making judgements on the output and impact of the project in terms of the objectives Evaluation will determine a project's relevance, effectiveness, and benefits to the target community

Evaluation is different from monitoring Monitoring checks whether the project is on track;

evaluation questions whether the project is on the right track Therefore, evaluation looks more

at long-term effects of project objectives

We can discern two types of evaluation: process evaluation and impact evaluation

4.1 Process Evaluation

It may be helpful to think of process evaluations on two levels:

In an internal project review the team conducts a periodic self - evaluation of the project, including a review of goals, strategies and work plans Many organizations do yearly program evaluations, using a variety of methods, usually without the help of an external consultant One

of the main purposes of an internal project review is to document progress and problems as a basis for planning the next phase of work (usually the next year) Some of the most important results of internal review are team building, improved communication, and re-planning of yearly goals

Program review takes a broader look at multiple aspects of a program or an organization It can also be used for reviewing a country program of an international development agency This is usually a larger undertaking than project review, and is done less frequently, perhaps every three or four years Program review covers a variety of elements related to the program or organization' s goals and priorities Possible areas of focus might include relationships between program staff, beneficiaries, and management Sometimes it is important to look at decision making and communication within the organization or project staff Or there may be a need to evaluate the organization's goals and structure Usually this is an internal process, but it may be helpful to have the services of an outside consultant A consultant for this kind of evaluation should be skilled at organization development and team building

Example of questions to be asked in this kind of evaluation:

• What is the basic approach of the project organization to community development? How has the organization changed through this experience? Is there clarity of organizational goals and work methodology?

• What is the quality of the relationships between the technical team and the community? Are the field staff accepted by the community? How do the community leaders and the project team work together?

• How well has the project organization done in reporting and communicating? What problems need attention?

• How are the community organizations working? How democratic are they? How well is the leadership functioning? What parts of the community are represented in the cooperative membership? How sustainable is it?

• What are the criteria and/ or expectations of the funding organization? How well has the project fulfilled these? Are the criteria/expectations appropriate to priorities and goals of this project?

4.2 Impact Evaluation

Impact evaluation is the last step in the project cycle and assesses the outcome of the project sometime after the completion of the project It is often used as the basis for expansion of the project, or in the case of a pilot project, for the scaling up of the project Evaluations are usually more comprehensive than monitoring, and require information from outside the project

In an impact evaluation one measures whether or not a project achieved its goals and attempts

to look at what impact the project had on its participants The emphasis is on measuring if sustainable development has taken place as a result of the project Usually a team, including an independent consultant, will conduct impact evaluations The scope of work should be agreed upon by the several parties who have the most at stake in the outcome These "stakeholders" will normally include the donor agency, the international cooperating agency and their in-country representative, and the local project organization Very importantly, representation and participation of beneficiary community should also be sought

Impact evaluations require collecting and analysing data, aiming to be more objective than in routine reporting Several methods can be used, including case studies, cost-benefit analysis, rapid rural appraisal, or surveys The participatory approach advocated in this manual, though more time consuming, helps the project organization gain more ownership of the results In addition, an important by-product of participatory impact evaluation is that the staff learns the process of evaluation by participating in it Many international development organizations have increasingly emphasized this type of evaluation in order to improve overall results of their programs and to better report to their constituents

4.3 The Evaluation Design

Most evaluations call for the writing of a scope of work This is, essentially, a plan for carrying out the evaluation The scope of work in traditional external evaluations is usually written and agreed upon by a limited number of persons interested in the project, especially from the funding agency In participatory evaluation, those who are involved in the implementation of the project are given a chance to have input in the design of the evaluation In fact, the evaluation is first and foremost for the benefit of those closest to the project, including community participants, if possible

The evaluation design proposed in this handbook is flexible There are six essential parts of this design, steps that are not always as sequential as they appear here The following synopsis should be helpful to conceptualise the evaluation process If all of these parts are adequately thought out, a well-defined scope of work should be the result

Step 1 Define the PURPOSE of the evaluation

Who wants the evaluation? Why do they want it? How are they going to use the results? What assumptions do the various parties have about this evaluation? The answers to these questions will help define the purpose of the evaluation A clear statement of purpose should result, i.e

“The purpose of this evaluation is… ” Once the purpose is decided, it is a good time to decide whether an outside facilitator (consultant) is needed, so that, if possible, this person can be involved in choosing the priority areas If so, discuss and decide on the role of this person

Step 2 Define the PRIORITY AREAS to be evaluated

In this step you will decide on the most important areas to evaluate Based on the purpose of the evaluation, what is the focus? In other words, what exactly will be evaluated? Possible areas include the project's progress toward reaching its goals and objectives, the project's impact on the community and participants, technical aspects of the project, the training program, the