Project Cycle Management Technical Guide docx

Project Cycle Management Technical Guide SEAGA Socio-Economic and Gender Analysis Programme Food and Agriculture Organization of the United Nations 2 All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise, without prior permission of the copyright owner. Applications for such permission, with a statement of the Director, Gender and Population Division, Food and Agriculture Organization of the United Nations, Viale delle Terme di Caracalla, 00100 Rome, Italy. © FAO 2001 Prepared by Clare Bishop in collaboration with the Socio-economic and Gender Analysis (SEAGA) Programme T he designations employed and the presentation of material in this publication do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organisation of the United Nations concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. 3 Executive Summary The overall objective of the SEAGA programme is to strengthen socio- economic and gender analysis capabilities at regional, national and local levels. Three manuals that present tools and methodologies for conducting analysis at the macro, intermediate and field levels underpin the programme. In addition, there are several specialist technical guides that demonstrate the application of SEAGA principles to specific aspects of natural resource management; this manual forms part of the technical guide series. The purpose of this manual is to create a new synergy by bringing together project management practices and socio-economic and gender issues within the conceptual framework of SEAGA. This is achieved by drawing on other theoretical perspectives and methods including project cycle management, the logical framework, rapid appraisal techniques, participatory approaches, and gender analysis and stakeholder identification. The manual is principally written for practitioners at the operational level in government, Non Governmental Organisations, Civil Society Organisations and the private sector. It will also be of interest to people working at policy level and academicians. Following an overview of the project cycle presented in Section 2, the structure for the manual is based on key stages in the project cycle: project identification (Section 3), project design (Section 4), project appraisal (Section 5), proposal preparation (Section 6), and monitoring and evaluation (Section 7). In each section, various concepts and techniques are discussed prior to demonstrating their practical application with examples. The latter are based on three case studies developed from field experience in eastern Africa: fishing communities on Lake Victoria, rural road rehabilitation, and adult literacy projects. I would like to extend my thanks to the communities who participated in the fieldwork and to my fieldwork colleagues: Nite Baza Tanzarn and Mrs Forough Olinga, both from the Department of Women and Gender Studies, Makerere University, Kampala; and Stellah Tumwebaze and Simon Kisira, both from LABE (a Non Governmental Organisation specialising in adult literacy and education based in Kampala). 4 Contents 1 Introduction 1.1 Project Management and Socio-economic Issues 8 1.2 Purpose of Manual 8 1.3 SEAGA 9 1.4 Structure of Manual 9 2 Overview of the Project Cycle 2.1 Nature of Projects 11 2.2 The Project Cycle 11 2.3 Integrating SEAGA into the Project Cycle 12 3 Project Identification 3.1 Initial Review 14 3.2 Situational Analysis 17 3.3 Socio-economic and Gender Analysis 17 3.4 Identification of Potential Projects 20 3.5 Checklist 21 Case Study A Example of Project Identification in a Fishing Community 22 4 Project Design 4.1 Logical Framework 38 4.2 Work Plans 45 Case Study B Example of Project Design in a Fishing Community 47 5 Project Appraisal 5.1 Social Appraisal 54 5.2 Gender Appraisal 55 5.3 Social Cost Benefit Analysis 57 Case Study C Example of Social and Gender Appraisals of Rural Road Rehabilitation 61 6 Proposal Preparation 6.1 Understanding Perspectives 77 6.2 Key Points to Address 78 6.3 Proposal Outline 78 6.4 Gathering the Evidence 79 6.5 Writing Style 79 7 Project Monitoring and Evaluation 7.1 Monitoring 80 7.2 Evaluation 81 7.3 Procedure for Monitoring and Evaluation 83 5 Case Study D Example of Evaluating a Project Promoting Health Messages 8 6 Bibliography 101 6 List of Figures 1 Key Themes in Manual 2 2 Stages in the Project Cycle 5 List of Tables 1 Linkages between SEAGA Approach and Stages in Project Cycle 5 2 Relationship between Nature of Problem and Stakeholders 7 3 Logical Framework 29 4 Relationship between Project Structure and External Environment 31 5 Classification of Stakeholders’ by Ability to Influence a Project 45 6 Gender Analysis Matrix 47 List of Boxes 1 The Four Es 10 2 Examples of Projects Meeting Practical or Strategic Gender Needs 11 3 Checklist for Project Identification 12 4 Checklist for Logical Framework 35 5 Checklist for Gender Analysis of Project Design 36 6 Project Appraisal Criteria 44 7 Key Steps in Investment Appraisal 49 8 Goals of FAO 68 9 Examples of Desirable Project Attributes 68 10 Proposal Headings 69 11 Information Sources 70 12 Checklist for Project Monitoring 72 13 Checklist for Mid Term Evaluation 73 Abbreviations CBA Cost Benefit Analysis DFID Department for International Development (UK) EU European Union GAM Gender Analysis Matrix GTZ German Technical Cooperation Agency FAO Food and Agriculture Organization of the United Nations FM Fictitious Money IGA Income Generating Activity IRR Internal Rate of Return MOV Means of Verification NPV Net Present Value NGO Non Governmental Organisation OVI Objectively Verifiable Indicator PGN Practical Gender Needs SEAGA Socio-economic and Gender Analysis 7 SGN Strategic Gender Needs UNDP United Nations Development Programme USAID United States Agency for International Development 8 1 Introduction 1.1 Project Management and Socio-economic Issues Since the 1950s the development agenda has been characterised by projects and programmes aimed at improving the quality of life of beneficiary communities, be it in physical or qualitative terms. Despite significant inputs of human and financial resources, many fell short of expectations. Projects failed to meet the priority needs of communities; stated outputs were not achieved or, if achieved, not sustained; target groups did not benefit in the manner intended; project costs escalated and implementation dates slipped; and adverse outcomes were not anticipated. These failures were attributed in part to poor project management, such as inadequate opportunities for potential beneficiaries to participate in project identification, weak financial management, inadequate monitoring during implementation, poor linkages between project activities and project purpose, and insufficient attention to the external environment during project design. It was also recognised that projects were more likely to succeed when account was taken of the socio-economic context in which they operated. The rationale for addressing socio-economic and gender issues in project cycle management is the wish to achieve sustainable development . Projects should identify and understand the different roles and entitlements between women and men in target communities, and the special challenges faced by disadvantaged groups. For example, if there are imbalances between those who do the work and those who control the benefits, such initiatives will prove unsustainable in the long run. This holds true at household, community and national levels. During recent decades, many tools have been developed to strengthen the management of projects, such as project cycle management, the logical framework and rapid appraisal techniques. Similarly, a body of knowledge and expertise has been established which facilitate the consideration of socio-economic issues in the development context. This guide draws together these two areas of expertise by focusing on the integration of gender and socio-economic issues into project management. 1.2 Purpose of the Guide The purpose of this guide is to create a new synergy by bringing together project management practices and socio-economic and gender issues within the conceptual framework of Socio-economic and Gender Analysis (SEAGA, Figure 1). This is achieved by drawing on other theoretical perspectives and methods including project cycle management, the logical framework, rapid appraisal techniques, participatory approaches, gender analysis and stakeholder identification. 9 Figure 1: Key Themes in Guide SEAGA Project cycle management Socio-economic and gender issues The guide is principally written for practitioners at the operational level in government, Non Governmental Organisations (NGOs), Civil Society Organisations and the private sector. It will also be of interest to people working at policy level and academicians. The guide assumes readers have a basic grounding in the key elements of project management, gender analysis, rapid appraisal techniques and participatory approaches; for a more detailed review of these topics, relevant texts are noted in the bibliography. 1.3 SEAGA The overall objective of the SEAGA programme is to strengthen socio-economic and gender analysis capabilities at regional, national and local levels. The programme, initiated in 1993 at FAO, consists of a set of practical tools and methods for undertaking socio-economic and gender analysis, and training in their use. SEAGA incorporates an approach to sustainable development based on an analysis of socio-economic patterns that affect development projects and programmes in practice. The SEAGA approach is based on three guiding principles:  gender roles and relations are of key importance  disadvantaged people are a priority  participation of all stakeholders is essential for development. SEAGA analysis is conducted at three levels:  at the macro level socio-economic and gender issues are introduced into the policy process, usually at national level;  the intermediate level focuses on institutions, structures and services which operationalise the links between macro and field levels;  the field level focuses on individuals, households and communities. The programme is underpinned by three manuals that present tools and methodologies for conducting analysis at the three levels. In addition, there are several specialist technical guides that demonstrate the application of SEAGA principles to specific aspects of natural resource management, such as irrigation and agricultural engineering. This guide forms part of the technical guide series. 10 1.4 Structure of the Guide An overview of the project cycle is presented in Section 2. The various stages of the project cycle provide the structure for subsequent sections: project identification (Section 3), project design (Section 4), project appraisal (Section 5), proposal preparation (Section 6), and monitoring and evaluation (Section 7). In each section, various concepts and techniques are discussed prior to demonstrating their practical application with examples. The latter are based on three case studies developed from field experience in eastern Africa:  participatory project identification and design in a fishing community on Lake Victoria  social and gender appraisals of rural road rehabilitation  evaluation of a project promoting health messages through improving adult literacy. A bibliography of relevant texts is presented at the end of the document. [...]... with the proposed project 2.3 Integrating SEAGA into the Project Cycle The SEAGA approach can be integrated throughout the project cycle Direct links can be made between the SEAGA approach and the various stages in the project cycle (Table 1) 12 Table 1: Linkages between SEAGA Approach and Stages in Project Cycle Stage in the Project Cycle SEAGA Questions Identification How can a project be identified... administration Projects may stand-alone or be integrated into a programme, with several projects contributing to one overall goal Despite the difference in scale and nature of projects, there are aspects of sound project management that are universal 2.2 The Project Cycle Six stages are typically identified in the project cycle (Figure 2) They are: I Identification: generation of the initial project idea...2 Overview of the Project Cycle This section identifies key stages in the project cycle that provide the structure for the subsequent sections of the guide 2.1 Nature of Projects Projects represent the commitment of human and physical resources to produce specific outputs in a given time and budget framework Projects vary in scale, purpose and duration They may be... Evaluation: periodic review of project with feedback for next project cycle 11 Figure 2: Stages in the Project Cycle identification evaluation preparation implementation appraisal and monitoring proposal, approval and financing The cycle represents a continuous process in which each stage provides the foundation for the next For example, the information generated during project identification (Stage... establish whether a project meets it’s objectives especially the needs of disadvantaged people? Appraisal Proposal preparation Implementation and monitoring Evaluation 13 3 Step 1: Project Identification The first stage in the project cycle is the identification of projects Where do project ideas come from? How do they reflect the needs of a community? This section discusses the process of project identification... of the project addressing technical and operational aspects III Appraisal: analysis of the project from technical, financial, economic, gender, social, institutional and environmental perspectives IV Proposal preparation, approval and financing: writing the project proposal, securing approval for implementation and arranging sources of finance V Implementation and monitoring: implementation of project. .. can a project be designed so that it meets the practical and strategical needs of the stakeholders, especially the poorest of the poor and those who are usually excluded from development projects? How can appraisal address the social and gender dimensions of a project? How does a proposal reflect the gender and socio-economic dimensions of a project? How can a target community participate in project. .. contribute to the project (in terms of knowledge, skills, cash, labour and other resources) and areas in which external assistance is required Stakeholder contributions to support the implementation of a project will strengthen their commitment to the project and their association with the benefits generated (iv) The next step The information generated during the first stage in the project cycle, particularly... generated during project identification (Stage I) provides the basis for detailed project design (Stage II) Stage III reviews the information generated during the preceding two stages from several perspectives to ensure the project is viable Stages I to III provide the foundations for a project If they are sound, the project is more likely to succeed in subsequent stages, in terms of securing funding... priorities and contributions, provide the basis for developing detailed project proposals in Stage II 3.5 Checklist Box 3: Checklist for Project Identification (i) (ii) (iii) (iv) (v) (vi) (vii) Have all stakeholders been involved in the process of identifying project options? Will any stakeholders be disadvantaged by the proposed project? How may this be minimised? Have any potential conflicts between . project cycle presented in Section 2, the structure for the manual is based on key stages in the project cycle: project identification (Section 3), project. Project Cycle 2.1 Nature of Projects 11 2.2 The Project Cycle 11 2.3 Integrating SEAGA into the Project Cycle 12 3 Project Identification 3.1 Initial