COURSE GUIDE

NATIONAL OPEN UNIVERSITY OF NIGERIA

PROJECT MANAGEMENT, MONITORING AND
EVALUATION
DES 314
FACULTY OF SOCIAL SCIENCES
COURSE GUIDE

Course Writers: DR. CHIOMA VIVIENNE NWOKORO

Eastern Palm University, Imo state

YINKA AKIBU
United Nations System in Nigeria

Course Editor: PROF MOHAMMAD KABIR ISA

NATIONAL OPEN UNIVERSITY OF NIGERIA

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© 2022 by NOUN Press
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form or by any means, without permission in writing from the publisher.

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INTRODUCTION

Welcome to DES- 314: Project Management, Monitoring and Evaluation

This is a two-unit credit course and compulsory for students in Development Studies.
This course has been structured into fifteen distinct but related units of activities. The
course guide gives you overview of the course and provides you with the relevant
information and requirements for the course. Also, in this Course Guide, you will be
intimated on what you need to know about the aims and objectives of the course,
components of the course material, arrangement of the study units, assignments, and
examinations.

Course Competencies
The aim of this course is to give you in-depth understanding of the issues of project
management, monitoring and evaluation in development context. The success of any
project is highly dependent on how it is managed, monitored and evaluated. Hence, this
course will enable you to critically explore the various issues in project management,
monitoring and evaluation. The course material will familiarize you with analytic
debates in the field of project management, and help you understand the concepts,
components and practical skills in project management, monitoring and evaluation,
which can lead to a career as project programmer or manager in development
organizations.
To ensure that the overall and specific aims of this course is achieved some important
background information will be provided and discussed. These information to an extent
wraps up the entire framework of development project management, monitoring and
evaluation. They are as follow:
 Concept of project and project management
 Issues in project management
 Importance of project management
 roles and responsibilities of a project manager
 Developing project management structures
 Managing scope and budget of projects
 managing schedules and quality assurance in project management
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  Development Monitoring and Evaluation
 Components and Tools of Monitoring and Evaluation
 Data collection in monitoring and evaluation
 Applying Social Impact Assessment of Project

Course Objectives

To achieve the aims of this course, there are overall objectives which the course is out
to achieve though, there are set out objectives for each unit. The unit objectives are
included at the beginning of a unit; you should read them before you start working
through the unit. You may want to refer to them during your study of the unit to check
on your progress. You should always look at the unit objectives after completing a unit.
This is to assist the students in accomplishing the tasks entailed in this course. In this
way, you can be sure you have done what was required of you by the unit. The
objectives serve as study guides, such that student could know if he is able to grab the
knowledge of each unit through the sets of objectives in each one.
At the end of the course period, the students are expected to:
 Get acquainted with key analytic debates in the field of project management and
evaluation
 Develop the ability to comprehend and manipulate complex analytical arguments
in project management, monitoring and evaluation
 Have an understanding on how to relate these debates and analytical arguments
to theories, policy and practice in project management
 Develop the ability to evaluate the impact of project management in
development interventions
 Get familiarised and be able to apply practical skills and techniques in project
management, monitoring and evaluation

Working Through this Course

To successfully complete this course, you are required to read the study units,
referenced books and other materials on the course. Each unit contains self-assessment
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exercises called Student Assessment Exercises (SAE). At some points in the course,
you will be required to submit assignments for assessment purposes. At the end of the
course there is a final examination. This course should take about 15 weeks to complete
and some components of the course are outlined under the course material subsection.

Study Units
There are four (4) modules and twenty-one (21) units in whole for this course. They
should be studied carefully and diligently. The modules and units are listed as follows:

MODULE 1 - UNDERSTANDING THE MEANING OF PROJECT AND

PROJECT
MANAGEMENT

Unit 1 Concept and Importance of Project Management in Development Context

Unit 2 The Profession and Practice of Project Management

Unit 3 Project Management Cycle and Processes

Unit 4 Understanding Project Management Tools and Techniques (selected

tools)

MODULE 2 - ESSENTIALS OF DEVELOPMENT PROJECT MANAGEMENT

Unit 1 The Project Management Processes

Unit 2 Project organizational Structure

Unit 3 The Roles, Skills and Responsibilities in Project management

MODULE 3 - DEVELOPMENT PROJECT MONITORING

UNIT 1 Concepts and Relevance of Development Project Monitoring.

UNIT 2 Differences and Complimentary functions of Monitoring & Evaluation.

UNIT 3 Components/ Tools for Monitoring (Indicators, Baseline and Targets).

UNIT 4 Developing a Monitoring Plan.

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MODULE 4 - DEVELOPMENT PROJECT EVALUATION

UNIT 1 Concepts and Relevance of Development Project Evaluation.

UNIT 2 Data Collection Methods/tools, Stakeholder‘s & Institutional Analysis.

UNIT 3 Understanding and applying Social Impact Assessment Tools &

Techniques.

UNIT 4 Reporting Social Impact Assessment outcomes to Donors/ Stakeholders.

Each study unit will take at least two hours, and it include the introduction, objective,
main content, self-assessment exercise, conclusion, summary and reference. Other areas
border on the Tutor-Marked Assessment (TMA) questions. Some of the self-assessment
exercise will necessitate discussion, brainstorming and argument with some of your
colleges. You are advised to do so in order to understand and get acquainted with
historical economic event as well as notable periods.
There are also textbooks under the reference and other (on-line and off-line) resources
for further reading. They are meant to give you additional information if only you can
lay your hands on any of them. You are required to study the materials; practice the
self-assessment exercise and tutor-marked assignment (TMA) questions for greater and
in-depth understanding of the course. By doing so, the stated learning objectives of the
course would have been achieved.

References and Further Readings

In this course material there are some recommended textbooks and references that you
can get for yourself or search out online for further reading.

Presentation Schedule

The presentation schedule included in your course materials gives you the important
dates in the year for the completion of tutor-marking assignments and attending
tutorials. Remember, you are required to submit all your assignments by due date. You
should be guided against falling behind in your work.

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Assessment

There are two types of the assessment of the course. First are the tutor-marked
assignments; second, there is a written examination. In attempting the assignments, you
are expected to apply information, knowledge and techniques gathered during the
course. The assignments must be submitted to your tutor for formal Assessment in
accordance with the deadlines stated in the Presentation Schedule and the Assignments
File. The work you submit to your tutor for assessment will count for 30 % of your total
course mark.
At the end of the course, you will need to sit for a final written examination of three
hours' duration. This examination will also count for 70% of your total course mark.

How to get the Most from the Course

In distance learning the study units replace the university lecturer. This is one of the
great advantages of distance learning; you can read and work through specially
designed study materials at your own pace and at a time and place that suit you best.
Think of it as reading the lecture instead of listening to a lecturer. In the same way that
a lecturer might set you some reading to do, the study units tell you when to read your
books or other material, and when to embark on discussion with your colleagues. Just
as a lecturer might give you an in-class exercise, your study units provide exercises for
you to do at appropriate points.
Each of the study units follows a common format. The first item is an introduction to
the subject matter of the unit and how a particular unit is integrated with the other units
and the course as a whole. Next is a set of learning objectives. These objectives let you
know what you should be able to do by the time you have completed the unit. You
should use these objectives to guide your study. When you have finished the unit, you
must go back and check whether you have achieved the objectives. If you make a habit
of doing this you will significantly improve your chances of passing the course and
getting the best grade.
The main body of the unit guides you through the required reading from other sources.
This will usually be either from your set books or from a readings section. Some units
require you to undertake practical overview of historical events. You will be directed
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 when you need to embark on discussion and guided through the tasks you must do. The
purpose of the practical overview of some certain historical economic issues are in
twofold. First, it will enhance your understanding of the material in the unit. Second, it
will give you practical experience and skills to evaluate economic arguments, and
understand the roles of history in guiding current economic policies and debates outside
your studies. In any event, most of the critical thinking skills you will develop during
studying are applicable in normal working practice, so it is important that you
encounter them during your studies.
Self-assessments are interspersed throughout the units, and answers are given at the
ends of the units. Working through these tests will help you to achieve the objectives of
the unit and prepare you for the assignments and the examination. You should do each
self-assessment exercises as you come to it in the study unit. Also, ensure to master
some major historical dates and events during the course of studying the material. The
following is a practical strategy for working through the course. If you run into any
trouble, consult your tutor. Remember that your tutor's job is to help you. When you
need help, don't hesitate to call and ask your tutor to provide it.
1. Read this Course Guide thoroughly.
2. Organize a study schedule. Refer to the `Course overview' for more details. Note the
time you are expected to spend on each unit and how the assignments relate to the units.
Important information, e.g. details of your tutorials, and the date of the first day of the
semester is available from study centre. You need to gather together all this information
in one place, such as your dairy or a wall calendar. Whatever method you choose to use,
you should decide on and write in your own dates for working breach unit.
3. Once you have created your own study schedule, do everything you can to stick to it.
The major reason that students fail is that they get behind with their course work. If you
get into difficulties with your schedule, please let your tutor know before it is too late
for help.
4. Turn to Unit 1 and read the introduction and the objectives for the unit.
5. Assemble the study materials. Information about what you need for a unit is given in
the `Overview' at the beginning of each unit. You will also need both the study unit you
are working on and one of your set books on your desk at the same time.

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6. Work through the unit. The content of the unit itself has been arranged to provide a
sequence for you to follow. As you work through the unit you will be instructed to read
sections from your set books or other articles. Use the unit to guide your reading.
7. Up-to-date course information will be continuously delivered to you at the study centre.
8. Work before the relevant due date (about 4 weeks before due dates), get the Assignment
File for the next required assignment. Keep in mind that you will learn a lot by doing
the assignments carefully. They have been designed to help you meet the objectives of
the course and, therefore, will help you pass the exam. Submit all assignments no later
than the due date.
9. Review the objectives for each study unit to confirm that you have achieved them. If
you feel unsure about any of the objectives, review the study material or consult your
tutor.
10. When you are confident that you have achieved a unit's objectives, you can then start on
the next unit. Proceed unit by unit through the course and try to pace your study so that
you keep yourself on schedule.
11. When you have submitted an assignment to your tutor for marking do not wait for it
return `before starting on the next units. Keep to your schedule. When the assignment is
returned, pay particular attention to your tutor's comments, both on the tutor-marked
assignment form and also written on the assignment. Consult your tutor as soon as
possible if you have any questions or problems.
12. After completing the last unit, review the course and prepare yourself for the final
examination. Check that you have achieved the unit objectives (listed at the beginning
of each unit) and the course objectives (listed in this Course Guide).

Online Facilitation

There are some hours of tutorials (2-hours sessions) provided in support of this course.
You will be notified of the dates, times and location of these tutorials. Together with the
name and phone number of your tutor, as soon as you are allocated a tutorial group.
Your tutor will mark and comment on your assignments, keep a close watch on your
progress and on any difficulties, you might encounter, and provide assistance to you

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during the course. You must mail your tutor-marked assignments to your tutor well
before the due date (at least two working days are required). They will be marked by
your tutor and returned to you as soon as possible.
Do not hesitate to contact your tutor by telephone, e-mail, or discussion board if you
need help. The following might be circumstances in which you would find help
necessary. Contact your tutor if.
• You do not understand any part of the study units or the assigned readings
• You have difficulty with the self-assessment exercises
• You have a question or problem with an assignment, with your tutor's comments on an
assignment or with the grading of an assignment.
You should try your best to attend the tutorials. This is the only chance to have face to
face contact with your tutor and to ask questions which are answered instantly. You can
raise any problem encountered in the course of your study. To gain the maximum
benefit from course tutorials, prepare a question list before attending them. You will
learn a lot from participating in discussions actively.

Course Information
Course Code: DES 314
Course Title: PROJECT MANAGEMENT, MONITORING AND
EVALUATION
Credit Unit: 2 UNITS
Course Status:
Course Blub:
Semester: FIRST
Course Duration: 2 HOURS
Required Hours for Study: 2 HOURS

Course Team
Course Developer: NOUN
Course Writer: DR. CHIOMA VIVIENNE NWOKORO
MR YINKA AKIBU
Content Editor: PROF MOHAMMAD KABIR ISA
Instructional Designer:
Learning Technologists:
Copy Editor

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 Module 1: UNDERSTANDING THE MEANING
OF PROJECT AND PROJECT MANAGEMENT

Module 1 - Unit 1: The Concept and Importance of Project

Management in Development Context

Unit Structure
1.1 Introduction
1.2 Learning Outcomes
1.3 The Concept of Project
1.3.1 Components of a project
1.4 The challenges facing projects
1.5 The Concept of Management
1.5 The Concept of Project management
1.7 Development issues in Project Management
1.8 Importance of Project Management
1.9 Summary
1.10 References/Further Readings/Web Resources
1.11 Possible Answers to Self-Assessment Exercise(s) within the content

1.1 Introduction

Project management is an important aspect of development work. Many scholars have

come to appreciate the relevance of project management in the implementation or
execution of development projects. To achieve the success of projects, organizations,
communities, and nations try to find measures, methods and structures to undertake
projects and programmes that will bring development in the society. Project
management paves a way for development organizations in terms of planning and
organizing of resources to ensure beneficial outcome of the project in the community at
large. The way a project is managed is dependent on a whole range of processes, which
are strategically put together to ensure that the project is effectively executed and the
expected outcomes are achieved. Thus, in this unit, which is the beginning part of the
first module in this course, we will look at the concept of project, project management,

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the practice of project management, why some projects fail and others don‘t, and why
project management is important in development.

1.2 Learning Outcomes

At the end of this course students are expected to:

1. Understand what a project is and is not
2. Critically have a perception of project management and its relevance in
development
3. Understand the practice of project management in development sector
4. Understand factors that cause failure of project and the role of project managers
in development

1.3 The Concept of Project

The concept of project in development has received various definitions, but each of
these definitions point at its essentialities, and contain the same subject matter. For
instance, Akroyd (2003) noted that project is an investment package designed to
remove or alleviate development constraints, or taking advantage of perceived
development opportunities.

Lokyer and Gordon (1996) defined it ―as an instrument through which development
organizations effectively allocate resources and policies, and through which plans and
programmes are implemented.‖ This definition points out the relevant processes in
project execution such as allocation of resources and implementation of programme,
however, there is more to project than what is mentioned.

Gittinger (1982) on his part defined it as ―a discreet package of investment, policies,

institutional and other actions designed to achieve a specific goal‖. In Gettinger‘s
definition we understand that project is an investment in development that require the
actions of individuals and organizations. Definition by Gettinger explains that project is

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not conducted in isolation or without aim. Project is conducted by individuals and
organizations for a specific development goal.

Also, Conyers and Hill (1984) defined it as a temporary group of activities designed to
achieve a goal in development, with a defined beginning and end in time, scope, and
resources to accomplish the goal‖

Baum and Tolbert (1988) defined project as ―a coordinated series of activities

undertaken by individuals or organizations with definite starting and finishing points to
meet specific objectives within a scheduled period, costs and defined parameters‖.

The definitions of project shows that project has some attributes attached. This attribute
is standard in all definitions of project; They include:

1. Project has a beginning and end

2. Projects follow a planned and organized method
3. A project has goal, specific objectives and quality and performance assurance to
attain
4. Every project is unique
5. A project is carried out by managers

However, the definitions by Conyers and Hill (1984), Baun and Tolbert (1988) were
able to highlight that project not only achieve a development goal, a project has some
distinct components attached to it, such as activities, output and outcome, planned
activities, a time frame, scope, resources, specific objectives, start and end period, and
cost implications. Generally, the goal of all development project is to help improve
lives of people and make impact in their lives.

1.3.1 Components of a Project

We have seen from the various definitions that a project is a designed set of activities
with a purpose, plan and possessing some attributes or components that are unique to it.
In this section we will look at some of the components of a project. There are certain
components that are common in every project development. These include:
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 1. Defined Goal
2. Set Objectives, outcomes, output, impact, deliverables
3. Scope
4. Resources – which can be financial, material, social, human resources
5. Identified Risks, constraints and opportunities
6. Cost/budget
7. Monitoring and Evaluation
8. Project management plan

i. Defined goal
In development a project goal is a tangible statement of what a project would achieve.
The project goal ultimately describes the project impact which includes the long-term
effects that would be triggered from the project execution, the link between the project
and its direct objectives, and overarching achievement of the project within and outside
the organization. Without a defined goal, a project cannot be planned and executed.
That is why development project managers ensure that projects mapped out for a certain
development purpose have a definite goal it aims to accomplish. A project goal is
normally one, and may not be attained within project life line.

ii. Objectives
In development, we can refer to a project goal as the high-level statement that provide
overall context for what the project is trying to achieve, both in intermediate and long
term. However, project objectives are statements that describe the specific targets that
the project could reach or achieve in relation with the stated goal. The objectives set out
what the project intends to achieve by the end of the project, and can include the
deliverables, assets and/or more intangible objectives such as increasing productivity
etc.

Moreover, in development, project objectives are specific outcome expected at the end
of the project. While the project goal is a one statement, the objectives could be
multiple depending on the scope of the project. Unlike the goal which is long term and
general statement of the purpose of the project, the objectives are mostly short-term
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statements and helps the project manager to plan and align other aspects of the project
to the goal statement. Moreover, it is possible that a project goal may not be reached,
however, objectives are supposed to be reached to show some level of accomplishment
in the development process.

In writing objectives of a development project, it is advised that these objectives should

be kept SMART, which is an acronym for Specific, Measurable, Achievable, Relevant
and Time bound. The essence of using the SMART formular is to ensure that project
objectives could be well managed and applied during implementation.

S - Specific – this ensures that the objective has specific target

M- Measurable – the objectives should have measurable indicators that could be easily
identified
A-Achievable – Objectives must be achievable – there should be possibilities of
attaining
them in the process
R-Realistic – This attribute shows that project objectives should be rational, not every
process can be developed as a project
T-Time Bound- The objective should be timebound and with a time frame

iii. Scope
The scope of the project is very important to be disclosed when designing a project. The
scope of the project outlines all aspect of the project including the related activities,
resources, methodology, timeline, deliverables as well as the project boundaries in
terms of location, population selected for the project and the cost/budget. Without a
scope a project cannot adequately planned and executed, this is why project managers
and development practitioners ensure that project scopes are well specified before
designing a project plan. In writing the project scope, the following initiatives are taken
into consideration:
i. Figure out the project goals
ii. Consider project limitations
iii. Define resources and budgets
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 iv. Prepare a scope statement

In writing a project scope statement, the following structure is mostly adopted:

i. Introduction
ii. Project overview and objectives
iii. Lists of tasks
iv. project schedules
v. Project deliverables
vi. Resources and cost implication
vii. Time Frame
viii. Adoption plan for the project
ix. Project management plan
x. Expected impact
xi. Conclusion

iv. Resources
Resources in project include necessary assets that are needed for carrying out a project.
Every project needs resources from the starting to the completion. In development,
resources for executing could be human beings (human resources), funds (financial
resources), equipment, materials and tools, and time. For a project to be appropriately
executed resources must be assigned to various stages of the project until the project is
completed. Without resource projects cannot be started this is why it is realistic to
allocate resources before the starting of a project. The level of resources will also
determine the extent of a project, this is why resource is integral and essential part of
project scope, because it determines the scope and limit of a project.

Types of project resources include

- human resources – which include the various people that will be used to run the
project.
- financial resources – all the financial aspects for running the project
- material resources – which include tools, instruments and materials that are
necessary for running the project
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 - Time – which is in terms of time input to the project

iv. Identified Risks, constraints and opportunities

In executing a project, it is mandatory that the risks, constraints and opportunities are
identified. The essence of identifying these three things is because they can influence
the extent to which a project is executed.
Risk: Project risk is defined as uncertain event or condition that is anticipated that if it
occurs, can pose a negative effect on the project objectives. Simply put, risk can be is
the likelihood that a project can fail to reach its objectives hence, it is necessary to
identify them at the beginning of the project. There are many aspects of risks that are
identifiable in project execution, include; cost risks, environmental risks, security risk,
time management risks, performance and schedule risks, etc.
Constraints: Like ‗risk‘, these are disadvantageous factors that can pose impediments
to the successful execution of a project. It is equally identified at the start of a project.
According to PM4Dev (2011) every project has to manage four basic constraints:
a. scope
b. schedule
c. budget
d. quality

The success of a project depends on the capacity of the manager to manage these
constraints by developing plans and processes to keep them checked and balanced.
Because projects are faced with many foreseeable and non-foreseeable uncertainties, it
is required that there should be constant revision and negotiation of the original plan by
all stakeholders.

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 The four project constraints

scope

quality
schedule budget

According to PM4Dev (2011:4)1, here are some of the examples of a project constraint
and how to deal with them:
a. When the schedule of a project needs to decrease, the project might need to
increase the budget because more resources are needed to do the same work in
less time. If the budget cannot be increased (the donor doesn‘t approve the
increase), then the scope might need to reduce because the resources available
will not be sufficient to complete all the planned work in less time.
b. When the budget of the project decreases, the schedule might need to stretch out
because the budget is not available to pay for the staff originally planned. If time
cannot be increased the other alternative is to reduce the project scope because
fewer staff will not be able to do all of the planned work in the available time
c. When the project scope increases, there is a need for more time or more
resources (budget) to complete the additional work. When the project adds more
work than the originally budgeted it is important that before the new work is
started, there is an approval from the donor for additional funds, otherwise the
project will end up with a budget shortfall that could have an impact on the
expectation of the beneficiaries.

1
https://www.pm4dev.com/resources/docman/pm4dev-articles/14-the-project-constraints/file.html
accessed 24/2/2021
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Opportunities
In development projects, the term opportunity refers to a tangible effect identified in the
project deliverables that could be unlocked or can facilitate positive or beneficial end to
the project.
v. Budget/Cost

Budget is a de-facto property of any project, it is what actually determine execution

ability of a project. Budget is the cost approved in any project including all necessary
expenses to the execute the project. In development projects, the managers have to
balance between not running out of the specified budget or under spending (Lake,
1997). This is because most projects come with a contract clause on the necessity to
manage budget appropriately or face accountability issues during auditing. So, it is very
important that cost and budgets are management appropriately according to these
contract clauses, otherwise, the organization may have problems receiving findings in
the future from available donors. For any project, the cost and budget is ultimately a
limiting constraint when it‘s not managed well.
vi. Monitoring and Evaluation
Monitoring is the collection and analysis of information about the project progress
while it is been undertaken. Monitoring is an essential part of project in development,
because through it project management practitioners can effectively harness necessary
feedback about the project, analyse them and use them to facilitate better strategies for
making the project more effective. Evaluation can be referred to as the intermittent
assessment of an organization, project or programme which can be done internally or
by external independent evaluators. There are four types of evaluation, process, impact,
outcome, and summative evaluation. The essence of monitoring and evaluation is to
determine whether the project is on track, as well as to know whether there is need for
change. Therefore, monitoring and evaluation serves as a basis for modifying
interventions and ensuring quality assurance in the process.
vii. Project Plan

Project plan is a sine-qua-non for the success of any development projects, because
without a project plan no project can be started or completed. In development, planning
project entails stating how the project will be started and completed, the stages of the
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project, the designated resources and how they will be used efficiently in the process.
Effective planning will show design of the project, starting from the beginning of the
project to the completion, as well as the sustainability plan.

SELF ASSESSMENT 1

 1. Name 3 components of a project management

 2. Name 3 resources in Project management


1.4 Challenges facing Projects

The constant changes in the socio economic, political and natural environment compel
many projects to undergo changes in the original plans. In most case these changes are
not foreseen and therefore not included in the original project plan. These changes not
included can pose some challenges that if not taken proper care of can lead to closure of
the project. Moreover, development projects are faced with many environmental
constraints and uncertainties that increase risks to the project, meaning that project
managers will have to deal with extremely complex issues and effect strategies to
handle constraints and risks they pose to projects. Notwithstanding, some of the
challenges (factors) projects may face in the process of implementing them include:

a. Project plan that was designed in a rush to obtain grants that almost coming to
deadline
b. Inadequate project management skills of staff involved
c. Unclear designation of jobs, tasks and responsibilities
d. Unclear identification of task responsibility and accountability
e. Lack of proper stakeholder engagement in all processes (planning,
implementation, monitoring and evaluation) in the project
f. lack of adequate measures for project monitoring and evaluation
g. Lack of realistic plan. Project Plan should be SMART
h. Inconsistency in following project plan and methodology
i. No clear measure to evaluate success and failure indications

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1.5 The Concept of management
The concept of management deals with how organizations deal with the coordination
and administration of tasks in order to achieve set goal. Such administration activities
include setting organization strategies for coordinating the efforts of staff and how
resources are mobilized and coordinated to accomplish set objectives. It also involves
how the organizational organigram is structured and people assigned levels, ranks, job
descriptions and status in the organization.

The Components of Management

In development, organizations are the ones that deals with management issues.
However, organization‘s management has components and attributes it makes in term
of running development projects. These are:
a. Setting objectives
b. Organizing
c. Team Motivation
d. Measurement of Impact

a. Setting Objectives

Setting objectives and achieving them are critical and primary ways managers
accomplish any project. Managers are expected to convey to the subordinate staff the
objectives of the project and train them accordingly on how to attain these objectives.
Also, management is at the centre of the success or failure of objectives; hence, they
ensure that every devises and measures are put in place to attain the objectives. Setting
objective as we have seen is at the centre of any project, hence, management duty is to
ensure that this project objectives are achieved.
b. Organizing and management of project works

Management has to manage how work is organized in the organization. They evaluate
the type of work, divide them into achievable tasks and effectively delegate the duties
to staff. Organization consists of series of relationship that cut across individual staff,
departments, and entities, and it is the management that ensure that the relationship
between individuals, entities and departments is harmonious and complementary. This
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organizing is essential in handling interpersonal relations which are essential when
conducting human resources management in development project.
c. Motivation of Team

Management entails motivating the team in all the project tasks, because people are
essential part of project administration. Hence, to achieve the project, it is essential that
organization keep their team of staff motivated through various means – compensation,
upgraded salaries, complements, gifts and awards, added incentives etc.
d. Measurement of Impact

Impact is an essential criterion of accomplishment in any organization. In project

execution, organization ensures that part of management duties is to ensure that project
made impact and measurable by the objectives of the project.
e. Staff Development

Staff development is an essential part of project execution. This entails training of staff
to become efficient in handling tasks and responsibilities. In fact, staff development is
integral element of project management because often times various issues that rises in
process of project execution may warrant training of staff even in the intermediate level
of the project. A project plan must be to delineate how project staff are developed
within the period of the project execution. This include, prior training, intermediate
(which can be as a result of risk or constraints emanated in the mid stage, or due to
foreseen changes during the monitoring and evaluation stage) and end-line training for
project sustainability.

Why is Management Essential in Project Planning?

Without adequate management strategies, development projects cannot be effectively

executed. This is because management is engaged in all aspects of a project from the
start to the completion. Management staff in an organization equally makes all the
essential plans for the project execution and ensure that those plans are followed and
effectively carried out. Project is not executed in isolation of organization, and this
justifies in entirety, why management is essential part of project.

22
 SELF ASSESSMENT 2

 1. Name 3 components of management

 2. Why is management essential in project planning?


1.6 The Concept of Project Management

In recent times, development organizations are facing increasing demands to do more

with less resources and time in their intervention projects. As a catalyst for change in
society, development agencies are expected to deliver projects under a certain time
frame, budget, and expected quality, which is demanded by donors and beneficiary
communities. To handle these responsibilities and obligations, development
organizations need to strategize methods, obtain tools, devise practise they will use in
execution of a project. To satisfy the donor and beneficiaries, it is mandatory that
organisation should plan any project execution and ensure that the management of such
plan meets the expectations of the donors and beneficiaries. Due to these
responsibilities, obligation and expectation of quality and outcome in their execution of
projects, organization are charged in devising best management strategies. This is the
essence of developing project management. Therefore, what is project management?

According to PMI (2000) edition cited in PM4Dev (2011)2, Project management in

development can be defined as ―the application of knowledge, skills, tools and
techniques to a broad range of activities in order to meet the requirements of a
particular project.‖
Other definitions of project management include the one defined by ISO 10006, a
standard for quality project management stating that ―project management is a unique
process consisting of a set of coordinated and controlled activities with start and finish
dates and undertaken to achieve an objective conforming to specific requirement s,
including the constraints of time, cost and resources‖ (cited in PM4Dev, ibid)

2
https://www.pm4dev.com/resources/docman/pm4dev-articles/14-the-project-constraints/file.html
accessed 24/2/2021
23
From the two definitions, we can understand that project management involves
planning, implementing, monitoring and evaluation of project activities to meet
objectives of the project. Meeting these objectives entails controlling and balancing the
constraints of time, cost and scope in the production of quality deliverables that meet
the expectation of all stakeholders (donors, organizations and beneficiaries). Project
management equally involves the planning, organizing and managing of resources to
deliver all the work required to be completed in a project. This points to the fact that
resources management is important aspect of project management. Project is a unique
aspect of organizational work hence it must be handled professionally and strategically.

1.7 Development Issues in Project Management

Development issues in managing development project will include:
- Different stakeholders‘ interests (which include beneficiaries, government,
community, organization and donor agencies) are embedded in the project stake,
and organizations are expected to ensure they are met in the process
- Understanding of environmental constraints that may pose risks
- Development project has a goal to improve people and community life, and to
bring about a theory of change
- Development organizations prepare and implement development projects and
work to strengthen the capabilities of local institutions and promote self-reliance
through sustainable strategies
- Projects are funded by either public or private agencies such as international
multilateral donor agencies, government, institutions, and organizations are
expected to manage the use of these funding to execute project within scheduled
time frame
- Development project is audited for accountability; hence, managers are
compelled to ensure transparency and accountability in the use of resources
especially money
- Development project can include just one intervention that is meant to address
various challenges in society

1.8 The Importance of Project Management

24
There are various benefits in practice of project management. the use of systematic
project management method gives organizations the means to practice established and
time-tested practices of project management which will help them achieve successful
outcomes. The following are the importance of project management
a. Increase in collaboration among project stakeholders
b. It ensures the delivery of consistent results of predictable quality
c. It ascertains the roles and responsibilities of staff
d. Ensures consistent discipline on how project is planned and implemented
e. Helps the project managers to organize, coordinate, track, monitor and evaluate
projects
f. provides clear procedures for project planning
g. development organizations can achieve success in project except they have
methodology which is an aspect of project management
h. ensure better control of project throughout the project cycle

A good project methodology provides the framework, processes, guidelines, and

techniques to structure the work. A good methodology increases the odds of being
successful, and therefore provides value to the organization and the project
stakeholders.

SELF ASSESSMENT 3

 1. Mention one importance of project management

 2. What does a good project methodology provide?

1.9 Summary

We have seen that project management paves a way for development organizations in
terms of planning and organizing of resources to ensure beneficial outcome of the
project. The way a project is managed is dependent on a whole range of processes,

25
which are strategically put together to ensure that the project is effectively executed and
the expected outcomes are achieved. This unit was able demonstrate this by taking us
through the meaning of project management, the components of project, what
development project entails and the benefits of project management in development
organizations.

1.10 References/Further Readings

Ahlemann, F (2009). Project management standards—diffusion and application.

International Journal of Project Management. 27, pp. 292–303.

Akroyd, C. (2003), "The roles of management control in a product development setting",

Qualitative Research in Management, 8 (3), pp. 212-237.

Antvik, S, and Sjöholm, H. (2007). Project management and methods. International

Journal of Project Management,38, pp. 87-96.

Atkinson, R. W. (1999). Project Management: cost, time and quality, two best guesses
and
a phenomenon, it‘s time to accept other success criteria. International Journal of
Project Management, 17 (6), pp. 337-342.

Baum, W. and Tolbert, S. 1985. Investing in Development Projects. New York: Oxford
University Press.

Clements, J, C and Gido, J. (2006). Effective project Management. Canada. Thomson,

South Western.
Conyers, D. and Hills, P. (1984). An Introduction to Development Planning in the Third
World. Chichester, England: John Wiley & Sons
Corti, L. a. (2011). The management of international development projects: moving
toward a standard approach or differentiation? Project Management Journal. 42,
pp. 45–61.
Gittinger, J. (1982). Economic analysis of agricultural projects. USA: John Hopkins
University Press.

Lockyer, K., and Gordon, J. (1996). Project Management and Project Network
Techniques, London. Financial Times-Pitman Publishing.

Meridith, J, R and Mantel, S, J, Jr. (2009). Project Management: A Managerial

Approach. USA. John Wiley and Sons.

26
PM4DEV (2011). Project Constraints. Available at
https://www.pm4dev.com/resources/docman/pm4dev-articles/14-the-project-constraints/file.html
Accessed on 24/2/2021

1.11 Possible Answers to SAEs within the Content

Module 1 Unit 1
Answers to SAE 1
Name 3 components of a project management
 Defined Goal
 Set Objectives, outcomes, output, impact, deliverables
 Scope
Name three resources in Project management
 human resources – which include the various people that will be used to run the
project.
 financial resources – all the financial aspects for running the project
 material resources – which include tools, instruments and materials that are

Answers to SAE 2

1. Name 3 components of management

 Setting objectives
 Organizing
 Team Motivation

2. Why is management essential in project planning?

Without adequate management strategies, development projects cannot be effectively
executed. This is because management is engaged in all aspects of a project from the
start to the completion. Management staff in an organization equally makes all the
essential plans for the project execution and ensure that those plans are followed and
effectively carried out. Project is not executed in isolation of organization, and this
justifies in entirety, why management is essential part of project

Answers to SAEs 3

1. Mention one importance of project management

Helps the project managers to organize, coordinate, track, monitor and evaluate
projects
2. What does a good project methodology provide?
A good project methodology provides the framework, processes, guidelines, and
techniques to structure the work. A good methodology increases the odds of being
successful, and therefore provides value to the organization and the project
stakeholders.

27
Module 1 - Unit 2: THE PROFESSION AND PRACTICE OF
PROJECT MANAGEMENT

Unit Structure
2.1Introduction
2.2 Learning Outcomes
2.3 The Profession of Project management
2.4 The various practices in Project management
2.5 The Role of Project Managers
2.6 Summary
2.7 References/Further Readings/Web Resources
2.8 Possible Answers to Self-Assessment Exercise(s) within the content

2.1 Introduction

Project management is a profession; therefore, it has some practices (principles or

ethics) that should guide it. In this unit we will be looking at the profession of project
management. What it entails being a project manager and skills involved. We will also
look at the various practices in project management as profession.

2.2 Learning Outcomes

At the end of this unit students would have:

1. understood the profession of project management
2. understood the various contexts of practice in project management
3. understood the role of project managers in development

2.3 The Profession of Project Management

The APMG is the entity that award certificates to project managers after due processes
of evaluations. APMG describes project management as a profession for project
managers. The certification of project managers makes project management a

28
profession of its own. APMG recognizes project management as a fundamental skill of
any consultant and their professional services teams. Training courses are delivered by
Accredited Training Organizations (ATOs) – each assessed by APMG against a set of
exacting standards that ensure training‘s being delivered by true experts. When
someone passes the project management examination, they become certified as project
manager and therefore can deliver services in form of consultancy or work in
organizations as a project manager. As a profession, project management is guided by
some practices or ethics, these practices are explained below.

SELF ASSESSMENT 1

1.  What is APMG?
2.  What happens when someone passes the project management?


2.4 The Various Practices in Project Management

From past experiences of project managers over the years it is clear that an effective
project management process should contain seven basic practices. These are:
1. Defined Life Cycle

Organizations should be able to map out defined phases, deliverables, key milestones
and criteria for each phase of a project cycle – i.e., the concept, planning,
implementation and closeout. The organization of these phases helps to communicate to
the stakeholders how project work is done and the progress it makes over time. The
benefits of establishing concise project phases in managing a project helps to define all
aspects of work in the project and ensure consistency with the project methodology and
plan.

29
 Effective management of project phases- source PM4Dev (2011)

2. Stable Requirements and Scope:

A good project management require that project requirement, objectives and scope
be documented and stabilized at every stages of the project life line. The project
requirement must be established at the concept phase and there are questions that
ensures that all stakeholders in the project have common understanding. They are as
follows:
 what is been done?
 what services is been provided?
 what are the goals and benefits?
 when result is achieved what will be the measures of its success over time?
 what are the deliverables?
 what are the standards of performance?
 what is the validity, utility, correctness and completeness of deliverables to
be determined?
 what are the constraints impacting on performance, time and cost?
 what are the limits on cost, time or performance, priorities, resources and
interfaces?
 what are the risks to be aware of?

30
 3. Defined Organization, System and Roles

In any organization projects must have defined roles for the project manager(s) and
team members. These defined roles must some elements of accountability measures
attached to them to ensure transparency in the work. Also, organization of the work
systemin entails that there should be defined communication system and team
involvement is essential in this aspect, especially in terms of interpersonal relationships.
A functional organization is orientated towards functional groups with works grouped
into specialties and people assigned roles that fit their areas of specialty. This
specialization of duties ensures professionalism and management of tasks as well as
assessment of performance. Organizations that involved in project execution have
works organized around the project and assigned roles and specific objectives and goals
are clarified to managers and team members.

4. Quality Assurance

This is a very important practice in project management- i.e., the assurance of quality in
all the stages of the project. This means the identification of quality standards and
criterial set in each phase of the project cycle for both product/service and process.
Quality means agreed measures of standards and commitment in ensuring that the
standards are maintained throughout the project process.
5. Organizational Capacity

This is another best practice in project management that ensure quality. In ascertaining
quality of the project, the organizational capability determinants – (which include staff,
project tools/instruments, resources, materials, strategies/methodologies, technology
and consultancy) must be available and optimal. Where there is lack of needed capacity
in staff or organization in general, management therefore should make room for
improvement of staff through capacity building and development trainings.
6. Effective Planning

another good practice in project management is the ability of organization to develop a

clear planning of the project. Project planning is a huge part of project design and this

31
must be handled with care and efficiency. There are five commitment to effective
planning in any project, they include:
i. Planning the project
ii. Scheduling the project
iii. Resource allocation
iv. staffing
v. Good budgeting
7. Tracking and Variance Analysis
In development, projects ought to be managed using exceptional processes whereby any
deviation from the stipulated plan of the project is reported. An effective management
process requires regular reports, meetings and any other feedback mechanisms that can
help managers track progress of the project. This is especially important with regards to
very delicate areas of the project management such as in scheduling, cost, risks
management and constraints. such things as cost overrun, challenges and risks facing
project and identified constraints should be reported back to the managers and strategies
will be developed to address the shortcomings. There are at least four ways of tracking
variance or variance analysis in project management:
ACWP – Actual Cost of Work Performed as of the given date. This gives account of
work performed with regards to the date line for the activity.
BCWS- Budgeted Cost if Work Scheduled. This is the budgeted amount for the activity
scheduled at a given date
BCWP – Budgeted Cost of Work Performed – Earned Value: This is what was
budgeted for the activity that has been completed as of a given date
EAC – Estimated Cost of Completion or Current Estimate. This shows how much the
project is expected to cost when it is completed. Hence, it is the total budget for the
project
Through these mechanisms, project managers are able to track the cost, resources,
assigned tasks, and performance level in the project process.

8. Work Authorization and Change control

It is also through the project tracking that any changes can be identified through what is
called work authorization and change control. It is required that for a project to be
32
effectively managed a concise change control and change management system should
be put in place. These can be changes caused by scope creep, resistant and risks,
environmental constraints etc. The figure below shows a checklist for project
management practice.
SELF ASSESSMENT 2

1.  Name one project management practice and describe it


2. What are the commitments to effective planning?


2.5 The role of project managers in development practice

In development organizations project managers are at heart of project management
success or failure. Therefore, the role of project managers is a very crucial one in
development. The project manager performs the role of planning, organizing staffing,
evaluation, control, leadership and direction of the project in the organization. In other
words, the project manager is responsible for the execution of the project from the start
to completion. He/she is charged with examining what project is to be done to meet
project scope, cost, quality, objectives and when work will be done to meet all
schedules and objectives.

In project management there are two distinct levels of managers, the functional and
project work manager. The functional manager is often charged with the responsibility
of estimating the cost of the project work, while the project work manager is charged
with determining whether or not the project budget can afford it. The functional
manager is often seen in administrative section of the organization, while the project
work manager is mostly a field lead, and therefore involved in the leadership of field
work and project implementation. In administrative capacity the project manager will
be charged with putting up project plan and schedules, and in the field, he will be
charged with execution of project plan, monitoring and evaluation. This he/she does
with the team assigned.

The project manager plays leadership role in terms of directing the project activities and
leading the team to execute the project. Hence, the leadership qualities of a project
33
manager are an exceptional part for selection of candidates that will fill this role in the
organization. There a number of factors that are considered in selecting a project
manager. They include:
a. Interpersonal relations
b. Technical and professional skills
c. Capacity and credibility to lead a team of other technical experts
d. Expert in the field of project management
e. Have good communication, problem solving and multitasking capacity
Project manager operate with good information in terms of successfully handling the
project. In a large-scale organization where staff communication may be jeopardized, it
the duty of the project manager to ensure that information is well disseminated in every
section of the organization. The project manager also needs good information to work
with. The amount of information to be collected from the various staff is dependent on
the extent of information technology system put in place. For this reason, organizations
should ensure a good project reporting and information system.

SELF ASSESSMENT 3

 1. Factors considered in selecting a project manager


2. What is the function of a project manager?


2.6 Summary

The unit was able to explain the context at which project management can be classified
as a profession. The professionalism of project management makes the project manager
a profession and expert in the application of project management, as consultants or in
development projects management. The unit intimated us on the various practices of
project management, which are can also be seen as ethic guiding project management
processes. The role of the project manager was disclosed in the final part of the unit.

In development organizations project managers are at heart of project management

success or failure. Therefore, the role of project managers is a very crucial one in
34
development. The project manager performs the role of planning, organizing staffing,
evaluation, control, leadership and direction of the project in the organization. This unit
clarified the profession of project management as a unique one whereby the project
manager is responsible for the execution of the project from the start to completion. The
unit clarified the practices in project management and how the role of project manager
is essential for general success of the project in organizations.

2.7 References/Further Readings

Besner, B. and Hobbs, C. (2008). Project management practice, generic or contextual:

a reality check. Project Management Journal. 39, pp. 16–33.

Lake. C (1997). Mastering Project Management. Thorough good Ltd. London

Meridith, J, and Mantel, S, Jr. (2009). Project Management: A Managerial Approach.

USA. John Wiley and Sons.

Mishra, R, C and Soota, T. (2005). Modern Project Management. New Dehli (India).
New
Age International.
Ogunbiyi, M., (2005): Fundamentals of Professional Practice and Procedure. Lagos,
Debness Consult & Partners Publishers

2.8 Possible Answers to SAE within the content

Module 1 Unit 2
Answers to SAE 1
1. What is APMG?
APMG describes project management as a profession for project managers. The
certification of project managers makes project management a profession of its own
2. What happens when someone passes the project management?
When someone passes the project management examination, they become certified as
project manager and therefore can deliver services in form of consultancy or work in
organizations as a project manager.

Answers to SAE 2

1. Name one project management practice and describe it

Quality Assurance
35
This is a very important practice in project management- i.e., the assurance of quality in
all the stages of the project. This means the identification of quality standards and
criterial set in each phase of the project cycle for both product/service and process.
Quality means agreed measures of standards and commitment in ensuring that the
standards are maintained throughout the project process.

2. What are the commitments to effective planning?

 Planning the project

 Scheduling the project
 Resource allocation
 staffing
 Good budgeting

Answers to SAEs 3
1. Factors considered in selecting a project manager
 Interpersonal relations
 Technical and professional skills
 Capacity and credibility to lead a team of other technical experts
 Expert in the field of project management
 Have good communication, problem solving and multitasking capacity

2. What is the function of a project manager?

Project manager operate with good information in terms of successfully handling the
project. In a large-scale organization where staff communication may be jeopardized, it
the duty of the project manager to ensure that information is well disseminated in every
section of the organization.

36
Module 1 - Unit 3: PROJECT MANAGEMENT CYCLE AND
PROCESSES

Unit Structure
3.1 Introduction
3.2 Learning Outcomes
3.3 Explaining Project Management Cycle
3.4 The Project Management Eco-system
3.5 Project management Phases
3.6 Summary
3.7 References/Further Readings/Web Resources
3.8 Possible Answers to Self-Assessment Exercise(s) within the content

3.1 Introduction

Development projects operates in broader environment and that‘s why project managers
and practitioners need to look at projects from various contexts. Due to the complexities
of projects, project managers need to take a holistic view of the project and understand
how projects can be situated within larger environment. The project manager and the
team have one shared goal, which is to carry out a project work with the aim of
achieving the set objectives. Every project has a beginning and an end, and the process
follow phases which combine to make up the project management cycle. This unit will
look at the concept of project management cycle, its meaning, its processes and the
phases in it. We will also look at why the project management cycle is essential in the
overall management of development projects.

3.2 Learning Outcomes

At the end of this unit students would have been able to:

1. Understand the meaning of project management cycle

2. Understand the various phases in project management cycle
3. Understand the project management eco system

37
 4. Understand the benefits of project management cycle in development projects

3.3 Explaining Project Management Cycle

The project manager and project team have one shared goal which is to carry out the
project work for the purpose of meeting the project objectives. Every project has a
beginning, middle and ending period, whether it is successful or not. A typical project
has five standard major phases (each having its own tasks and issues), these are the
initiation, planning, implementation, monitor and closure. Put together, these phases
represent the path a project takes from the beginning to the end, and are generally
referred to as the ―project life cycle‖. The project management phases follow a cyclical
approach thought the life of a project. This cycle represents a continuous process
whereby each of the phase provides the foundation leading to the next.

The
project

management cycle – source PM4Dev (2011)

The project allows for a constant and iterative process whereby the project is constantly
monitored and where there is need for change in the process, this is reflected in the
plan. This process is repeated until the project is concluded and all objectives and
activities are delivered. The cycle provides the opportunities for reviewing the original
project assumptions and plans. As the process continues, there is possibilities of
changes, however, through the repeated processes these changes are rectified, and
original plan is readjusted.

38
We need to understand that a project is not a linear process, it is rather cyclical, with
each phase receiving feedback from the previous. For instance, during the monitoring
phase, a project may encounter changes which leads to a proposed readjustment of the
activities in the implementation plan. In another example, it can be that some activities
are no longer needed or desired by beneficiaries, hence, it can lead to the project been
reinitiated in the planning phase. In essence what we are trying to say here is that, the
various phases of the project will necessarily relate to each other in the process
It is worthy to note that each project is different and will have different cycles, the role
of the manager is to ensure that the cycles are used as opportunities for identifying areas
of adjustments in the project and contribute to learning. Therefore, project management
is a cycle that is continually repeated to adapt to changing contexts. This means that
project cycle helps to manage changes and adaptation that a project must encounter in
its life.
There are attributes of a Project management cycle:
a. The application of project management is iterative and the process requires
additional refinements to the schedule, budget, quality requirements, and risks
plans
b. As the refinements are made and improvement starts to occur, impact to other
areas of the project will become visible
c. Over time the iterations would become smaller in magnitude and more defined
as more details of the project is developed
d. Each project management cycle is a knowledge cycle in itself and shapes the
initial design while giving feedback from each phase

It is also important to note that adjustment is paramount in any project cycle.

Adjustment is affected by changes caused by the project environment which were not
identified in the initial plan. Hence, this makes project management a dynamic effort
and requires a continual process of monitoring and evaluation. Some evaluation
activities such as quality control, management review, and identification of oversight
are continuous activities and affects every phase of the project. This is why project
management is cyclical and not linear or static. This is because linear project will not
allow managers to identify changes or give chance for modification or mid-course

39
corrections or even receive feedback from the process. It doesn‘t give opportunity for
more learning or in-depth knowledge of the project processes; it is rather too rigid. This
is because it will focus rather on risk averting, without giving opportunity for gathering
further information of the processes the project pass through.

SELF ASSESSMENT 1

1.  What is project management cycle?




3.4 Project Management Eco System

Projects don‘t exist in isolation they are often influenced by the external and internal
environment. Generally, a project depends on three basic components – processes,
people and tools. These are all integrated and influenced by the internal environment
(i.e., the organization itself) and external environment which is the society at large.
These two environments affecting project is called the project ecosystem.

External Environment
Internal Environment

Process procedures

Project infrastructure
Management

Compensation

The project management Eco system- source PM4Dev (2011)

This graphic describes the interdependence among the elements of the project
ecosystem.

40
Process:
The process includes development activities defined in the policies (can be
organizational or government), the roles and responsibilities required in managing
development projects. These heavily affects the project and can lead to changes and
need for readjustment in the project. Process in development project analysis
determines the works that need to be done which brings about the need for people‘s
skills.
People:
This includes the skills and capabilities of the people who will manage the project. It
also includes people who will follow the processes and procedures (project
implementation team/staff) to ensure quality in the services provided by the
organizations. Personnel can also affect change in the project depending on the level of
capacity and skills. The people component can also be affected by the extent of
compensation and values of the organizations or by external labour market that set
conditions for qualified staff, which can affect staff productivity level and invariably
affect the project.
Tools
The tools are the techniques and devices that are selected by organizations for the
management of the project and achievement of objectives. Some of these tools include,
tools for controlling budgets, monitoring and evaluation and tracking project progress,
management of information and analysis. The tools provide technical know how for
managing the project from the start to finish.
The success of project management depends on the equilibrium of the three
components, when one of them fails or doesn‘t receive the adequate funding or support,
the whole system fails. It doesn‘t do any good to have the tools and processes if the
people have not been trained in their use; or vice versa, have the people with the right
skills but not provide them with the right tools.

3.5 Phases of Project Management Cycle

In development. projects operate as part of a system and is often affected by a whole lot
of uncertainties. Project managers if they don‘t have the right approach can be

41
overwhelmed by these uncertainties. Hence, the project management cycle gives a
holistic approach for assessing all the external and internal issues that can affect project
life line. The project management cycle helps managers to see projects as series of
interrelated phases.
It is a good practice therefore to divide project processes into phases in order to manage
the process well. The collection of the phases is the project cycle. The phases of the
project cycle will vary from one organization to another; however, they must include an
initiation, planning, implementation, monitoring and close phase. For a project to be
successful it must complete each phase and move to the next. This approach in project
management provides better management control and develops link with the general
environment.
The rationale for developing phases in project management is because it gives
integrated approach for continuous identification, implementation, monitoring and
evaluation as well learning in the project. The phases help to keep the project on track
and determine where the project is affected, and whether it can continue or terminated.
Each phase is dependent on the other in such a way that, the output in one stage can be
used as input for the next phase.

Project management phases source PM4Dev (2011)

a. The Initiation Phase

In development project, the initiation phase is when an idea or proposal is authorized

and considered for funding. Usually, projects are started by an organization in form of a
proposal or donor agencies initiate the project inform of competitive bidding process or

42
cooperative agreement. The initiation phase is when the proposal developed and then
authorized for funding. During the initiation a diagnostic and analysis of the problem to
be solved by the project has been performed and the strategies delineated for achieving
the objectives. It is this phase that organization has identified that the project aligns
with the mission and vision. The major outcome or decisions from this phase is the
acceptance of the concept or approval of the project proposal. The decision or approval
is based on organizations principles, general objectives and takes into consideration
available resources, local needs and government/donor interest. It is also important to
note that in the initiation phase it is possible that the project proposal may not be
accepted or may require further analysis or modifications. It is not uncommon that
funders or donors and organizations may engage in very on negotiations until a
common ground is achieved and proposal is approved.

b. The Planning Phase

Once the proposal is accepted and funding approved, the project is taken to the next
level which is the planning. There are two distinct components of this phase of the
project. The development of core plan which is required as part of the proposal and the
plans to manage implementation of the of the project – which is the facilitating plan.
The core planning includes the detailed planning documents that were initially
produced as part of the project proposal. The core planning is where the project
managers manage the scope, schedule, budget and quality of the project.
On the other hand, the facilitating plan is where the project manager develop plan to
manage other facilitating processes required to manage the project such as team,
stakeholders, information, risk, and contract management plans.
It is worthy to note that detailed planning is essential in this phase. Detailed planning
will help identify over sights or wrong assumptions made during the initiation phase
and the in the project proposal, and adjustment will be made. In most cases, project
proposals are drawn without engagement of major stakeholders or where budget is
derived from older projects or data. In the planning stage, the managers can correct
these errors and rectify the issue. The project manager at this stage goes in detail about
each components of the project and formulate plan for coordinating the project

43
activities. The output at this phase is a formal project management plan and an
authorization to proceed to implementation.
c. Implementation Phase

The implementation phase is when the project plan is put to action. The project plan
contains the project activities which are scheduled for implementation. Implementation
occurs when the final project plan has been authorized and the budget had been
approved and assigned for each activity. In this stage, the project manager starts by
forming a project team and make initial expenses for project start-ups, this could be
purchase of office equipment, vehicles and other products that are needed for starting
the project. In implementation, people and resources are coordinated to perform the
project plan and attain desired outcomes. This phase also includes activities such as
provision of project leadership, developing team, verifying project scope, assuring
quality, producing progress reports, procuring necessary resources and taking corrective
actions where necessary. Out put from this phase include project deliverables, progress
reports and communications to stakeholders
d. Monitoring Phase

Monitoring phase is the constant check on the project to ensure that the project is done
according to plan given the resource restriction. Monitoring keeps the project on track,
on time and within budget line. Monitoring also assesses new opportunities that may
come out of the project and that would help in achieving the project goals. Monitoring
helps verify if the interventions of the project are yielding the desired effects or
benefits. It will help verify if there is change in initial plan and makes adjustment where
necessary to ensure success of the project.
e. Closing Phase

The closing phase comes when the project has achieved the planned objectives and all
deliverables have been produced. There could be instances that a project is closed
before all deliverables have been completed, this can be as a result of drastic changes in
organizations, una availability of funds or constraints like security issues that make the
project unsafe. During the closing phase, the manager will make sure that all
administrative tasks have been completed, staff are reassigned to other projects and

44
project lessons learned in the process are developed. All project documents are
catalogued and the access made available to all stakeholders. The last step in this phase
is the project evaluation which include audit evaluations, donor evaluation, or internal
evaluation conducted by the donors or organization. It is also important to conduct a
post project review to identify the strength and weaknesses in the project deliverables,
the processes used to create them and the project management processes. The
weaknesses and strengths are recorded and used as lessons learnt from the overall
project management.

SELF ASSESSMENT 2

 1. Explain the initiation phase of project management cycle




3.6 Summary

This unit dealt with the project management cycle. The unit intimated students to the
meaning of project management cycle. We understood that a project management by
principle is not a linear process rather a cyclical process that involves five phases –
initiation, planning, implementation, monitoring and closure. The phases are
interdependent and affect each other. We understood that each phase must be completed
before the next phase which allows the project manager to identify any change and
effect adjustment where necessary. Each of the phases has a purpose and is distinct but
relate to the next. We also looked at the project management eco system, where we
understood that both the internal and external environment impact on project and could
bring about changes or complexities that necessitate the use of project management
cycle approaches in development project works. Finally, we looked at each of the
project management life cycle phases, how they are applied and their expected
outcomes.

45
Due to the complexities of projects, project managers need to take a holistic view of the
project and understand how projects can be situated within larger environment. The
project manager and the team have one shared goal, which is to carry out a project work
with the aim of achieving the set objectives. Every project has a beginning and an end,
and the process follow phases which combine to make up the project management
cycle. This unit looked at concept of project management life cycle, its meaning, its
processes and the phases in it. It showed why the project management cycle is essential
in the overall management of development projects.

3.7 References/Further Readings

De Wit, A. (1988). Measurement of project success. International Journal of Project

Management, 6, pp. 164-170.
Diallo, A. and Thuillier, D. (2005). The success of international development projects,
trust and Communication: An African perspective. Int. Journal of project
management. 23, pp. 237–252.
Do, K. and Tun, M. (2008). Success Criteria and Factors for International
Development Projects: A Life-Cycle-Based Framework. Project Management
Journal, 39, pp. 72-84.
Westerveld, E. (2003). "The Project Excellence Model: linking success criteria and
critical success factors." International Journal of Project Management. 21, pp.
411-418.

3.8 Possible Answer to SAEs within the content

Answer to SAE 1
What is the project management cycle?

The project management phases follow a cyclical approach thought the life of a project. This
cycle represents a continuous process whereby each of the phase provides the foundation
leading to the next.

Answer to SAE 2
Explain the Initiation phase of the project management cycle

In development project, the initiation phase is when an idea or proposal is authorized and
considered for funding. Usually, projects are started by an organization in form of a proposal or
donor agencies initiate the project inform of competitive bidding process or cooperative
agreement.

46
Module 1 - Unit 4: UNDERSTANDING PROJECT MANAGEMENT TOOLS
AND TECHNIQUES (SELECTED TOOLS)

UNIT STRUCTURE:
4.1 Introduction
4.2 Learning Outcomes
4.3 Understanding Project management technique
4.4 Project Planning
4.5 Project Management Techniques and Tools
4.6 Summary
4.7 References/Further Readings/Web Resources
4.8 Possible Answers to Self-Assessment Exercise(s) within the content

4.1 Introduction

Project management is an essential part of development project, and development

project cannot be properly managed without planning. In this unit we will be looking at
the tools for managing project planning. The essence of this unit is to intimate students
on how to use project planning tools and to show their benefits in the overall
management of development project.

4.2 Intended Learning Outcomes (ILOs)

At the end of this unit, it is expected that student would have:

1. Developed understanding of what project planning is
2. Learnt the processes in planning a project
3. Understood the tools for project planning
4. Understood the benefits in using the project management tools

47
 Main Contents

4.3 Understanding Project Management Techniques/Tools

Development project have peculiar characteristics that raise up various issues that must
be dealt with to achieve the objectives of a project. These issues are on their own very
complex and would need careful evaluation and techniques to manage them.
Development projects goals and objectives are by nature very delicate and since most of
them deal with human development, social transformation and theory of change,
poverty reduction and others. Development agencies and donors when awarding
development funds for human development projects expect that projects must meet
certain criteria in order to achieve the purpose for which they are carried out – which is
to better the lives of the beneficiaries.
Hence, project managers in aid industry have to deal with a lot of issues ranging from
resistance to change, competing agendas of a large number of stakeholders and diverse
and even contradictory expectations that almost makes project very difficult to manage.
As we have seen, projects are faced with various internal and external environmental
constraints or changes. It is still the duty of project managers to manage these
challenges arising from either internal or external environment. Managing these
challenges require some level of professional input which entails careful use of project
management tools.
Project management tools are very important in overall project because they help in the
planning of schedule, budget, scope plan or scope changes, goal changes, progress
measurement, quality of project, monitoring and reporting. Some of these tools namely
Gantt Chart (GC), Logical Framework (LF) and Program Evaluation Review Technique
(PERT) will be discussed in this unit. But before this let‘s look at the meaning of
project Planning.

4.4 Project Planning

It is the project management reality that using project management tools and techniques
help the project to succeed but not in essence a guarantee that the project will succeed.
This leads us to the importance of planning the project. Using a project management
tool entails that the project manager must have developed a plan for using the tool.
48
Thus, project planning is very important. We have seen that project planning is the
second phase of a project life cycle, however, what is done in this phase with regards to
using the project management tools will be clarified in this unit.
Before any project is rolled out it is important to start by making a plan. ―A plan is a
strategized process of how the project will be carried out under a given time frame.
Project managers usually pay attention at the planning stage because any error in this
stage can affect the whole life cycle of the project. Meredith and Mantel (2009:239)
posited, that ―The primary purpose of planning, of course, is to establish a set of
directions in sufficient detail to tell the project team exactly what must be done, when it
must be done, what resources will be required to produce the deliverables of the project
successfully, and when each resource will be needed‖. At this stage the project
objective is clearly clarified and all project team members have concise understanding
of the objectives. The objectives also must be made clear to all stakeholders and this
guides every other process.
According to Mishra and Soota (2009), planning of development project involves the
following processes:
 defining the project objectives and goals
 Identifying and documenting the scope, tasks, schedules, risks, quality, staffing
needs
 establishing all project scope (scoping) and dependencies
 resource allocation to all tasks
 drawing up responsibility matrix
 drawing up tasks‘ schedules
 establishing implementation plan
 risk identification
 establishing quality measures

It is during the planning that tools and techniques for the management of these aspects
of the projects is also developed.
SELF ASSESSMENT 1

 is project planning?
What

49
 

4.5 Project Management Techniques and Tools

Project management is a challenging task and have complex responsibilities attached to
it in most cases. For this reason, project management experts have gone ahead to
develop tools that can reduce the challenges faced in managing project tasks and
responsibilities, and that can assist with project execution. To achieve their tasks project
managers often chose project management tools that suits their management style, since
no one tool addresses all project management needs. some may require supporting
software while others are done manually. In development projects there are many tools
for managing a project, however, in this unit we will discuss a few of them, and they
include:
1. The Program Evaluation Review Technique (PERT)
2. The Gantt Chart (GC)
3. Work Based Structure (WBS)
4. Logical Framework (LG)

1. The Program Evaluation Review Technique (PERT)

The PERT is a planning tool used for defining and controlling the tasks necessary to
complete a project. The PERT display the total project with all scheduled tasks shown
in sequence. The displayed tasks show which one is in parallel and those tasks that can
be performed at the same time. The following steps are involved in a typical PERT
planning tool:

i. Identify the specific Activities and milestones: The activities which are the tasks
of the projects and the milestone which marks the beginning and the end of one
or more activities - are identified and specified
ii. Determine the proper sequence of activities: This step is carried out in
combination with step 1 above. Other activities are analyzed and put in sequence
iii. Construct a network diagram: Using the activity sequence information a
network diagram is drawn showing the sequence of successive and parallel
50
 activities. arrowed lines represent the activities and circles or bubbles represent
the milestones
iv. Estimate the time required for each activity: Weeks are often used in time
estimation in PERT. A distinguishing aspect of PERT is the capacity to deal with
uncertainty in activity completion times. For each activity, the model usually
comprise of three time estimates namely:

 optimistic tine – This is the shortest time in which the activity can be completed
 Most likely time – The completion time having the highest probability
 Pessimistic time – The longest time that an activity may take

Application of these model of time estimates help to manage the project time frame,
remove procrastinations or bias to time.

v. Determine the Critical Path: The Critical time is determined by adding the
times for the activities in each sequence and determining the longest path in
the project. The critical path determines the total calendar time required for
the project.
vi. Update the PERT chart as the project progresses. As the project unfolds, the
estimated times can be replaced with actual times. In cases where there are
delays, additional resources may be needed to stay on schedule and the PERT
chart may be modified to reflect the new situation3

According to Maserang (2002)4, the Benefits of using the PERT include:

 Improved planning and scheduling of activities.

 Improved forecasting of resource requirements.
 Identification of repetitive planning patterns which can be followed in other
projects, thus simplifying the planning process.
 Ability to see and thus reschedule activities to reflect interproject dependencies
and resource limitations following know priority rules.

3
Maserang (2002) available on http://www.umsl.edu/~sauterv/analysis/488_f02_papers/ProjMgmt.html
4
ibid
51
  It also provides the following: expected project completion time, probability of
completion before a specified date, the critical path activities that impact
completion time, the activities that have slack time and that can lend resources to
critical path activities, and activity start and end dates.

2. The Gantt Chart (GC)

According to Maserang (2002)5 ―Gantt charts are used to show calendar time task
assignments in days, weeks or months. The tool uses graphic representations to show
start, elapsed, and completion times of each task within a project. Gantt charts are ideal
for tracking progress.‖ The number of days actually required to complete a task that
reaches a milestone can be compared with the planned or estimated number. The actual
workdays, from actual start to actual finish, are plotted below the scheduled days. This
information helps target potential timeline slippage or failure points. These charts serve
as a valuable budgeting tool and can show dollars allocated versus dollars spent.

To draw up a Gantt chart, the following steps are followed6:

1. List all activities in the plan. For each task, show the earliest start date, estimated
length of time it will take, and whether it is parallel or sequential. If tasks are
sequential, show which stages they depend on.
2. Head up graph paper with the days or weeks through completion.
3. Plot tasks onto graph paper. Show each task starting on the earliest possible
date. Draw it as a bar, with the length of the bar being the length of the task.
Above the task bars, mark the time taken to complete them.
4. Schedule activities. Schedule them in such a way that sequential actions are
carried out in the required sequence. Ensure that dependent activities do not start
until the activities they depend on have been completed. Where possible,
schedule parallel tasks so that they do not interfere with sequential actions on the
critical path. While scheduling, ensure that you make best use of the resources

5
Maserang (2002) available on http://www.umsl.edu/~sauterv/analysis/488_f02_papers/ProjMgmt.html
6
ibid
52
 you have available, and do not over-commit resources. Also, allow some slack
time in the schedule for holdups, overruns, failures, etc.
5. Presenting the analysis. In the final version of your Gantt chart, combine your
draft analysis (#3 above) with your scheduling and analysis of resources (#4
above). This chart will show when you anticipate that jobs should start and
finish. An example of a Gantt chart is provided below:

The graph below is an example of Gantt Chart

source: PM4Dev (2011)

3. The Work Based Structure (WBS)

Once the project has been established, the next step is to identify the work elements and
activities that need to be performed to achieve it. In this stage, the lists of activities
must be provided. For a more complex work structure or activity planning the Work
Based Structure is applied. The WBS is an approach used in breaking down the project
activities into manageable pieces, or items to help ensure that all work elements needed
to complete the project work scope are identified (Clements and Gido, 2006). After the
activities are broken down, they are arranged in a hierarchical order to simplify work
execution. The WBS establishes connections between items of the same line of family

53
tree, that is that fall into same scope and helps in allocation of resources to tasks and
activities in order to promote a smooth work flow.

In addition, the WBS serves as a framework for tracking costs and work performance
because every element which is defined and described in it can be estimated with
reference to its costs and time needed (Passenheim, 2009).

In WBS, the breaking down of project tasks is also called ―decomposition‖.

Decomposition allows the project deliverables to become smaller and in manageable
proportion until the work and deliverables are defined to the work package level. The
work package is the lowest level in WBS and it is the point where the cost and activity
durations for the work are reliably estimated and managed. After this, resources are
carefully allotted to tasks.

4. The Logical Framework (LF)

The Logical framework was developed in 1969 by Fry associate and became a practical
concept for the United States agency for international development (USAID). The
logical framework focuses on project life cycle and assesses the success of each phase
based on output produced by the previous phase. According to Salmen (1987) cited in
Adissu (2018)7 in its original form, the Logical Framework is kind of matrix that relates
to project goal, purpose, inputs and outputs with its source of verification and
assumptions. The objective of LF is to provide a clear picture of project which can be
shared among the stakeholders and support the design, planning, management and
communication of the project (Gasper, 2000). The objective of the logical framework is
to present the clear picture of the project to stakeholders and to support the planning,
management and communication of the project to stakeholders.
SELF ASSESSMENT 2

 1. What is the PERT?




7
Adissu (2018) (unpublished project) available on
http://repository.smuc.edu.et/bitstream/123456789/4146/1/Addisu%20Sharew%20full%20thesis%20final%202
018%20(1).pdf
54
 4.6 Summary

In this unit we have come to understand the rationale and importance of project
management tools. Project management as we have come to understand involves
complex activities and components, thus, the use of project management tools enables
project managers to carefully and strategically handle the project aspects and tasks and
achieving the needed results. In the unit we also saw the various tools for managing
project for successfulness. We came to understand that each project requires a project
management technique that suit and that there is no one technique that can address all
project needs at once.

As we have seen, projects are faced with various internal and external environmental
constraints or changes. Hence, it is the duty of project managers to manage these
challenges arising from either internal or external environment. Managing these
challenges require some level of professional input which entails careful use of project
management tools. Some of these tools were explained in this unit. However, the most
important thing to understand is that project management tools are very important in
achieving overall success of the project because they help in the planning of schedule,
budget, scope plan or scope changes, goal changes, progress measurement, quality of
project, monitoring and reporting.

4.7 References/Further Readings

Adissu (2018). The practice of Project Management tools and techniques in NGOs: The
Case of selected International NGOs based in Addis Ababa. Addis Ababa: St.
Mary‘s University (unpublished thesis). Available on
http://repository.smuc.edu.et/bitstream/123456789/4146/1/Addisu%20Sharew%
20full%20thesis%20final%202018%20(1).pdf (Accessed on 21/3/2021)

Clements, J, C and Gido, J. (2006). Effective project Management. Canada:

Thomson South Western.
Fox, T.L. and Spence, J.W. (1998). Tools of the trade: a survey of project management
55
 tools. Project Management Journal, 29 (3), pp. 20-7

Gasper, D. (2000). Evaluating the logical framework approach towards learning-

oriented
development evaluation. Public Administration and Development, 20, pp. 17-28.

Lockyer, K., (1995): Critical Path Analysis and other Project Network Techniques.
London, Macmillan.
Meridith, J, and Mantel, S, (2009). Project Management: A Managerial Approach.
USA:
John Wiley and Sons.

Maserang (2002). Project Management Tools and Techniques. Available on

http://www.umsl.edu/~sauterv/analysis/488_f02_papers/ProjMgmt.html
(Accessed on 21/3/2021)

Mishra, R, and Soota, T. (2005). Modern Project Management. New Dehli

(India): New Age International.
Passenheim, O. (2009). Project Management. Germany: Olaf Passenheim and
Venturas Publishing

4.8 Possible Answers to SAES within Content

Answer to SAE 1

What is project planning?

A project plan is a strategized process of how the project will be carried out under a given time
frame. Project managers usually pay attention at the planning stage because any error in this
stage can affect the whole life cycle of the project.

Answer to SAE 2

What is the PERT?

The PERT is a planning tool used for defining and controlling the tasks necessary to complete
a project. The PERT display the total project with all scheduled tasks shown in sequence.

56
MODULE 2: ESSENTIALS OF DEVELOPMENT PROJECT

MANAGEMENT

Module 2 - Unit 1: PROJECT MANAGEMENT PROCESSES

Unit Structure
1.1 Introduction
1.2 Learning Outcomes
1.3 The Project Management Processes
1.4 The Enabling Processes
1.5 The Facilitating processes
1.6 Summary
1.7 References/Further Readings/Web Resources
1.8 Possible Answers to Self-Assessment Exercise(s) within the content

1.1 Introduction

In this unit we will discuss the various processes of project management in detail.
Project management is a process and each part of this process is unique in its own way.
This unit will look at the processes involved in project management, their roles and
importance in the project management. It will intimate student on what a project
management will look in practice and help them understand the various features of each
of these processes and how they ensure balance in the overall project.

1.2 Learning Outcomes

At the end of this unit students should be able to:

1. Understand the various processes in project management
2. Understand the features and roles of each process in the overall project management
3. Understand the importance of the various processes in project management

57
 Main Content

1.3 The Project management processes

In development, project management is considered a process, because it has a

beginning and an end to it. It also involves the process of leading a team of capable
people in planning, implementing a series of activities that should be accomplished on a
specific time period with a very limited budget. Because of the complex nature of
project management, project managers must devise ways of coordinating all the
processes. Moreover, project in many ways take on un explored territory therefore, it is
necessary that these assumptions of the project must be listed and evaluated and the
risks assessed and contingency plan developed. Project also require that close
monitoring of the budget, scope and schedule to deliver the project objectives under the
expected quality. It is also required that each of these elements be managed in a
systematic way, with a development plan explaining roles and resources needed.

To manage these complexities, the project needs to be deconstructed into manageable

and interrelated parts or processes in order to manage the challenges that can arise
unexpectedly in the process and still achieve the expected outcome of the project.
Managing a project entails that managers must devise a system approach which must be
holistic taking consideration of project environment and understanding that that projects
are made up of a series of interacting components working to meet the objectives of the
project. The system approach also identifies the processes that make up the entire
project management framework and this framework will help managers to understand
the basic structure required to properly manage a project by identifying the important
elements that need close supervision and careful analysis.

Altogether, there are eight management processes in the development and execution of
project. These processes are designed to help manage the different elements of a
project. Different projects may have different needs from each process and may have to
spend extra time and effort in developing a project plan for each process. The processes

58
are key management area every project manager must master to ensure success of the
project.

One of the most critical roles of the project manager is the integration of these eight
processes to ensure they are all properly coordinated. The processes are integrative and
they need to be managed in a combining and coordinating manner in order to bring
them in to a whole. The processes are also present in the entire life cycle of the project
and each require a cyclical approach that consists of planning, checking and learning to
ensure process quality. To further understand these processes, in this unit we will
discuss them under two categories
1. Enabling Processes
 Scope management
 Schedule management
 Budget management
 Quality management

2. Facilitating Processes
 Project Risk management
 Project Stakeholder management
 The Project Team management
 Project Information management

1.4 THE ENABLING PROCESSES IN PROJECT MANAGEMENT

a. The Project Scope Management
The scope is the description of the boundaries in any project. It defines what the project
will deliver and what it will not deliver. The scope is the view all stakeholder has of the
project and it defines the limits of the project. The project scope management includes
the processes required to ensure that the project include only all the work required to
complete the project successfully. Hence, the primary concern in project scope
management is to ensure that the project is defined within the agreed spectrum and
controlling what is and what should not be part of the project. Scope management also
involves managing and controlling infiltration of changes that may occur in process.
This is a critical stage and will help the manager manage any contingency that leads to
59
scope creep which is a term used in project management to describe extra loads of work
which were not original part of the project plan and could affect the resources and
budget as well as time frame.

b. The Project Schedule Management

The project schedule management involves the actions taken to ensure the timely
completion of the project. Schedule management is the development of a project
schedule that contain all the project activities. The schedule is a communication tool
that inform stakeholders the status of the project and gives the project team information
in the form of graphs and charts as to when each project activity begins and ends. The
first step in schedule management is to estimate the time each activity identified in the
WBS would be completed, point at the relationship between the activities and display
the sequence they would follow. Through the project schedule staff are assigned their
tasks and given targets and expectations for each assigned task. It is the role of the
manager to monitor the schedule from time to time to determine any variance and to
review the progress made against the schedule baseline. The schedule plan should have
information on how to proceed when variances occur without stopping the process.

d. Project Budget Management

The project budget management process is required to ensure that the project is
completed within the specified budget. This is the area that receive serious scrutiny
during and after projects are completed. It is where most organizations tend to have
clashes of transparency and accountability with their donors. Hence, it is a very
important aspect of project management process. The budget management is the project
ability to manage the financial resources obtained from the donors which will undergo
measure of probity and scrutiny in terms of compliance with donor‘s requirements and
measure of efficiency.

Thus, the risks in this area have the highest impact on the project, the organization and
the beneficiaries; because without a proper plan for the management of budget, a
project can be terminated. Inadequate management of budget can lead to
60
misappropriation of funds, improper assignment of resources to tasks, improper keeping
of expenses records, and inefficient use of funds.

The budget management involves all activities to develop a budget that meet the
requirement of the proposal and the budget that meet the funding needs of the
organization carrying out the project. One of the factors that can lead to project failure
is the poor estimation of project budget and execution of the budget management plan.
It is therefore advised that during the initiation phase that careful estimation of budget
be put in place so that project may not have some difficulties in the process.

d. The Project Quality management

Quality management is the process to ensure that the project will satisfy the needs of
the beneficiaries. Quality is defined as a commitment to deliver satisfactory outputs and
meet expectations of the beneficiaries. This means that the issue of quality is concerned
with the capacity of the project to meet the needs of beneficiaries. During quality
management process the project manager is expected to develop quality management
plan which identifies the standard that are expected of the project. Some of these
standards are initially set up by the donors or are part of the technical competence area
the project is focusing. The essence of quality management is to ensure that the project
meets the standards expected of it from the organization, donors and stakeholder which
is to meet the needs of beneficiaries.

SELF ASSESSMENT 1

 is the Project Quality Management?

What



1.4 THE FACILITATING PROCESSES IN PROJECT MANAGEMENT

a. The Project Risk management
The risk management is part of the facilitation processes in project management. The
risk management includes the processes concerned with identifying, analysing and
61
responding to project risks. Risks is defined as something that can occur to effect
adverse impact on the project. There are four stages of risk management planning – risk
identification, risk analysis and quantification, risk response and risk monitoring and
control.

Risk identification deals with identifying all possible risks that may affect the project
and documenting them. This is done using the knowledge of the project environment or
through assessment of similar projects conducted in the past. The deliverable of risk
identification is documentation of all project risk as a list.
Risk analysis involves the use of either qualitative or quantitative analytical methods to
assess the nature of risks that may arise in project management processes. The team
assesses each identified risk and the extent of impact it can make on the project.
Risk response is the actions taken to handle the risks that have been construed to have
impact on the project. This is when project managers assign staff to each of the listed
risks to deal with.
Risk monitoring and control helps managers to keep track of identified risks, residual
risks and new risks throughout the project life cycle. It also ensures that the execution
of risk plan is effectively managed.

b. Stakeholder Management

Stakeholders are all the people involved and are interested on the project; they are the
critical elements in the success of the project. Stakeholders include the organization, the
donor, government and the beneficiaries. Most of the time the stakeholder management
is given the least attention in project management, this is due to limited understanding
of who are the stakeholders in the project. Hence, it is right to identify the key
stakeholders in any project and a plan on managing them developed and deployed. The
major aspect of the project is to ensure that the relationship between the stakeholders
and the project from start to the completion of the project.

The management of stakeholder is not an easy task this is why project managers must
pay careful attention to the planning of stakeholder management. Management of

62
stakeholders in a development project will involve identification of stakeholders,
identification of the level of their interest and influence in the project, identification of
their concerns or anticipations of the project, development of a good understanding
between stakeholders and a communication strategy in informing them about the
project as well as a stakeholder map that will help to manage the relationships.
c. The Team Management

According to PM4Dev (2011), Team management includes the processes required to

make the most effective use of the people involved in the project. The first step is
identifying the roles, responsibilities and reporting relationships. The second step is
getting the people that will be assigned to the project. These can come from within the
organization or hired through the Human Resource function of the organizational. This
is where the project manager must pay close attention to and participate in all interview
to ensure that the right people are employed for the project because the success of the
project is determined by the level of commitment and competence of staff. Managing a
team of staff in project execution entails preparing activities plan and assigning staff to
activities and tasks. It also involves ensuring that responsibilities meet expectation,
quality and outcome. Management of team also entails assessing the capacity of the
staff and giving them needed training before and during the project execution to
increase competence and quality deliverance of tasks.

d. Project Information Management

The Project information plan describes the information that needs to be communicated
by the project and identifies who will be responsible for collecting, editing and
distributing information in the project. Donors and other stakeholders in the project
from time to time will need information about the project, hence, it is through the
information plan that the organization can manage the distribution of information to
stakeholders and share them within the organization. The information management goes
beyond act of sending information, but also includes steps to ensure that information is
received and understood by recipients.

63
 SELF ASSESSMENT 2

 is the project information management?

What



1.5 Summary

The unit explored the various processes in project management. We understood that
because of the complexities in project management, a system approach is developed to
manage the processes involved in the project. Each of the processes are distinct but
have interrelationships. The management of the processes will help managers to
identify any problem or challenge affecting each of the processes and dealing with
them. Project processes as we understood entails a deconstruction of the project
elements and planning them to ensure that the expected outcome and objectives are
achieved. The unit showed that the project management processes are further grouped
under two categories– enabling and facilitating processes. The unit went ahead to
describe each of the processes within this classification.

In development, project management is considered a process, because it has a

beginning and an end to it. It also involves the process of leading a team of capable
people in planning, implementing a series of activities that should be accomplished on a
specific time period with a very limited budget. Because of the complex nature of
project management, project managers must devise ways of coordinating all the
processes. Altogether, there are eight management processes in the development and
execution of project. These processes are designed to help manage the different
elements of a project.

1.6 References/Further Readings

Bryde, J. D. (2003). Project Management concepts, methods and application.

International Journal of Operations & Production Management, 23(7), pp. 775-

64
 793.

Corti, L. a. (2011). The management of international development projects: moving

toward a standard approach or differentiation? Project management Journal, 42,
pp. 45–61.

De Witt, A. (1988). Measurement of project success. International Journal of Project

Management, 6, pp. 164-170.

Harold Kerzner (1998): Project Management: A Systems Approach to planning,

scheduling, and controlling. New York: John Wiley & Sons. Inc.

PMI Practice Standards (2008): Work Breakdown Structures. Pennsylvania: Project

Management Institute Inc.

1.7 Possible Answers to SAEs within the Content

Answer to SAE 1

What is the project quality management?

Quality management is the process to ensure that the project will satisfy the needs of the
beneficiaries

Answer to SAE 2

What is the Project Information Plan?

The Project information plan describes the information that needs to be communicated by the
project and identifies who will be responsible for collecting, editing and distributing
information in the project.

65
Module 2 - Unit 2: PROJECT ORGANIZATIONAL STRUCTURE

Unit Structure
2.1 Introduction
2.2 Learning Outcomes
2.3 The meaning of Project organization culture
2.4 Factors in Designing organization structure
2.5 Types of organization structure
2.6 Summary
2.7 References/Further Readings/Web Resources
2.8 Possible Answers to Self-Assessment Exercise(s) within the content

2.1 Introduction

The organization structure facilitates the coordination and implementation of a project.

The project organization structure is an important aspect of project management
because without organizational structures, execution of project cannot be achieved. In
this unit we will look at the various elements of the project organization structure and
how they impact on project management.

2.2 Learning Outcomes

It is expected that at the end of the unit that student must have been able to:
1. Understand the meaning of project organization structure
2. Identify the types of project organization structure
3. Understand the various management styles
4. Understand how project organization structuring is designed

66
 Main Content

2.3 The Meaning of Project Organization Structure

The project organization structure is that which helps in the coordination and
implementation of project activities. The main reason is to create an environment that
fosters interaction among team members to reduce to minimal level the number of
disruptions, overlap of responsibilities and conflict in the organization and when
executing projects. A critical area of project management is determining the type of
organizational structure that will be used for the project. This is because every project
has its unique characteristics and the design of an organizational structure must be able
to reflect these characteristics, consider the project environment or ecosystem in which
it will operate, and the level of authority assigned to the managers.

One main objective of project organization structure is to reduce uncertainty and

confusion that usually occur during the initiation phase of the project. The structure
defines relationships among members of project management and the relationship with
the external environment (stakeholders and beneficiaries). The organization structure
also defines the authority assigned to each member of management in a graphical
representation called an organizational chart. A properly designed organization
structure chart is essential to project success management. The organization structure
shows where each staff is placed in the project structure. It is drawn in a pyramid form
where individuals located closer to the top of the pyramid have more authority and
responsibility than those in the base of the pyramid. The structure also specifies the
working relationships and the lines connecting each staff to either the superior and
subordinate in the organization as well shows the connecting line of supervision and
communication among staff.

SELF ASSESSMENT 1

 is project organization structure?

What



67
2.4 Factors in Designing organization structure
There are two design factors that significantly influence the process of developing an
organization structure in the management of project in the organization. These are the
level of specialization and the need for coordination. The project manager must
consider these factors when designing the organization structure for the project
management in order to maximize effectiveness of the structure.

1. The level of specialization:

Specialization affects the project structure when we consider the level of speciality in
the technical areas or development focus. Projects can be highly specialized or focused
on one aspect of development where there is need of specialty or expatriates, hence it
the duty of the manager to identify the project specialty and harness effective means of
ensuring that staffing and organizational chart are drawn reflecting this factor. This will
ensure that each area of specialty is coordinated by the staff that specializes on that
area, which can lead to effective management of the project.

2. Level of Coordination
The level of coordination is another factor that affect the organization structuring. The
way the project is coordinated will determine how staffing and organizational structure
is charted. Coordination entails specifying and assigning duties and responsibilities to
each staff. The level of capacity of staff in the tasks will determine which task should
be assigned to the staff. When project is deconstructed and broken down into
manageable tasks and this assignment of task is performed, this is referred to as
coordination of work.

2.4 Types of organization structure

In the project management environment, there are three ways organizational structures
can be designed in project management. Each of the organization structure types
describe the level of authority of the project manager. These include:

68
The Programmatic Based – According to PM4Dev (2011) the programmatic based
structure is a traditional structure in which program sector managers have formal
authority over most resources. It is only suitable for projects within one program sector.
However, it is not suitable for projects that require a diverse mix of people with
different expertise from various program sectors. Here the project managers have
authority only within the program focus or area. Below is a graphic depicting this type
of organization structure.

Director

Program Manager Program Manager Program Manager

Staff Staff Staff Staff Staff Staff Staff Staff Staff Staff

Staff Staff

The programmatic organization structures- source PM4Dev (2011)

The Matrix based – The matrix-based structure allow programme units to focus on
their specific technical competence. This organization structure allows projects to be
staffed with specialists. Here staff are assigned and classified according to their area of
specialty. It allows for a matrix of shared responsibilities where the project manager
shares responsibility with the program unit managers to ensure effectiveness

69
 Director

Program Manager Program Manager Program Manager

Staff Staff
Project Manager Staff
Staff Staff

Project Manager Staff Staff Staff

Project Manager Staff Staff

the matrix-based organization structure- source PM4Dev (2011)

The Project based – Here the project managers have level of authority to manage and
control resources and project processes. The project manager can acquire resources
needed to accomplish the project objectives within or outside the organization.
However, this authority is subject only to the scope, quality and budget constraints
identified in the project.

Project based organization structure – source PM4Dev (2011)

SELF ASSESSMENT 2


Explain the Matrix based organization structure

70
 

2.5 Summary

The unit was able to show the features of organizational structure, the meaning of
project organization structure, the various factors involved in the design of organization
structure in project management and types of organization structures. The unit showed
that organization structure is very critical aspect of project management because it
shows how the line of authority, subordination, supervision and relationship that exist
among staff in a development organization. The organization structure is a chart
showing the ranking and filing of staff and maps out how staffing is done, roles and
responsibility should be shared and how evaluation of tasks and responsibility can be
done. The unit dealt with the meaning of organizational structure and why it is essential
in project management, factors that determine the design of organization structure and
finally, discussed the types of organization structure.

We have seen that organization structure is critical aspect of project management. A

major objective of project organization structure is to reduce uncertainty and confusion
that usually occur during the initiation phase of the project. We see that it the
organization structure that defines relationships among members of project
management and the relationship with the external environment (stakeholders and
beneficiaries). The unit showed us that the organization structure also defines the
authority assigned to each member of management in a graphical representation called
an organizational chart. The structure helps managers to better manage project for
success.

2.6 References/Further Readings

Hyväri, I. (2006). Success of projects in different organizational conditions. Project

Management Journal, 37(4), 31-41.
Lister, A., (2006): Project Planning and Control. London: Butterworth & Co.
Publishers Ltd., London.
Lockyer, K., (1995): Critical Path Analysis and other Project Network Techniques.
71
 London: Macmillan.
Luck, A., (1998): “Planning and Scheduling” in Handbook of project Management.
London: Heinemann
PMBOK (2008). A Guide to the Project Management Body of Knowledge. USA:
Project
Management Institute.

2.7 Possible Answers to SAE within Content

Answer to SAE 1
What is the project organization structure?

The project organization structure is that which helps in the coordination and implementation
of project activities.

Answer SAE 2
Explain the matrix based structure

The matrix-based structure allows programme units to focus on their specific technical
competence. This organization structure allows projects to be staffed with specialists. Here
staff are assigned and classified according to their area of specialty.

72
Module 2: Unit 3: THE ROLES, RESPONSIBILITIES AND SKILLS IN
PROJECT MANAGEMENT

Unit Structure
3.1 Introduction
3.2 Learning Outcomes
3.2 The Roles of the Project manager
3.4 The Responsibilities of project Manager
3.5 The Skills in Project management
3.6 Summary
3.7 References/Further Readings/Web Resources
3.8 Possible Answers to Self-Assessment Exercise(s) within the content

3.1 Introduction

One of the mistakes that organizations make is to select project managers based on the
depth of technical skills, in as much this is right, there are other aspects of project
management that should be used as criteria for selecting managers. These areas are
critical to the overall achievement of the project success. This unit discusses the
intricacies in the role of project managers and their responsibility in the overall
management of project to ensure its success. It also highlights the skills that project
management should possess or develop in managing projects to desired expectation and
success.

3.2 Learning Outcomes

At the end of this unit students will be able:

1. To clarify the meaning of project management roles, responsibility and skills
2. Understand the roles and responsibilities oof project managers
3. Understand the skills acquired in project management

73
 Main Content

3.3 The Roles of the Project manager

The project manager is the ultimate person that is accountable for the project. He/she is
the one who makes sure that the project is done and not just done, but meets all criteria
set for its successful outcome. He is the person that stands between the organization and
the outside world – the contact person between organization and key stakeholders.
He/she takes key decisions where necessary to ensure smooth execution of the project,
management of resources and team of staff. Hence, it is important that when selecting
managers organizations should ensure that he or she can carry out the responsibilities
set under the job designation. There are several roles played by project managers in the
management of projects. These are:

1. Integrator
A key role of the project manager is to ensure the proper integration of the project
management processes by the organization, staff and stakeholders. He is responsible of
integrating staff, organization and stakeholder to ensure that all of them are well
coordinated throughout the project life cycle phases in order to achieve the project
outcome. The role of project manager as an integrator involves three specific areas of
responsibilities, namely:

Development of Plan – Which involves a coherent and consistent development of all

project planning documents. The planning should be coherent, and clearly understood
by all stakeholders.
Implementing the project plan – This involves the execution of the project plan and
ensure that all activities are performed satisfactorily.
Monitor and control the plan – Ensure that a clear stated plan for monitoring and
controlling changes and any risk that emerge during project execution is made
available. It equally involves measurement of initial results against the intended
objectives and coordinating all changes to the plans.
2. Communicator

74
This is another important role of the project manager. Communication entails providing
relevant and timely information to the right people about the project. It is used to
educate or inform the stakeholders about the objectives, risks, assumptions and
constraints that may affect the project. In other case it is used to communicate to
stakeholders the status of the project. It is the responsibility of the project manager to
design the communication plan for carrying out this responsibility. There are two ways
that project managers manage communication of information in project management.
They are through:
1. Formal Communication – this includes progress reports and presentations to
management board, beneficiaries and other stakeholders
2. Informal communication – this includes informal communication using emails,
telephone calls or through ordinary staff meeting to convey the message about progress
of the project

3. Leader
The project manager is above all the leader of the organization team handling the
project implementation. He is responsible for leading the team to achieve the set
objectives and meet stated outcomes in the project plan. It is the role of the project
manager to lead the team to achieve the vision that the project had created and he can
achieve this through facilitating, coordinating and constantly motivating the team to
achieve project goals. He must have the ability to influence, inspire, direct and
communicate with the all persons involved in the project – the team, the stakeholders
and beneficiaries.

4. Facilitator and Motivator

In this role the project manager the facilitates the project team to work more efficiently.
He helps them collaborate and work as a team. This is where the project manager shows
his capacity as a team builder and help team members to build synergy of ideas and
conform to them. He helps the team members coordinate their tasks appropriately by
giving the right direction and providing right conditions that will enable the team to
work effectively and efficiently.
75
 SELF ASSESSMENT 1


Explain the role of the project manager as integrator



3.4 The Responsibilities of a Project Manager

When an individual is appointed as a project manager their several responsibilities

attached to this position. The project manager is mandated to undertake the
responsibilities attached to the role and will be charged with accounting for the
responsibilities assigned to the position he or she holds as a project manager. The
management board must ensure that the responsibilities are clearly stated and intimated
to the individual. The expected results are mutually understood and accepted by all
stakeholders before the contract is signed between the project manager and the
organization employing him or her. Every organization have different types of
responsibilities; however, these are some of the related responsibilities of a project
manager that cut across varied organizations: -

1. Planning
It is the responsibility of the project manager to plan the project. Planning defines how
the project will be accomplished, when it will be completed, how it will be
implemented and monitored and who will do it. The project is in charge of creating the
project plans and defining the goal, objectives, activities, and resources needed. The
project plan is the blue print for implementing the project and serves as a guide to the
project team, beneficiaries, donors and management.

2. Organizing
It is the responsibility of the project manager to design structures that will maximize the
efficiency and effectiveness of the project, this is called organizing. Once the project
proposal is approved, the project manager is charged with the responsibility of staffing
the organization and building a project team that is competent and capable of carrying
76
out the project tasks and achieving desired outcome. The Project manager organizes
how work is to be done and ensures that staff carryout their duties in an orderly
manager.

3. Directing

Once the project plans are designed, project organization is completed and the staffing
of project is achieved, the responsibility of the project manager is to direct, lead and
motivate the team members to perform their tasks in a unified and consistent manner.
Organization has people with different capacities, experiences, specialties and trainings.
Directing enables the project manager to know how to assign duties to staff with respect
to their specialties, experience level or capacities and while doing this takes cognizant
of the project vision and objectives. The project manager gives instructions based on
the project vision statement and objectives.

4. Controlling

This is the responsibility of the project manager that has to do with ensuring that the
actions of the project team contribute towards the project goals. The project manager
must set standard for performance, measure of performance and compare it with other
standards, where there is variation, he will need to correct. This responsibility also
ensures that the project is tracked and every variant, risks and constraints are identified
and controlled.

3.5 Project Management Skills

It is true that project managers must have good understanding of the technical aspects
of the project, however, it is necessary that project managers have competent level of
skills that will enable them manage the organization, team, resources and stakeholders‘
interests. Some of the skills required in project management include:

1. Process Skill
Project management involves management of project processes, and it is right that
every manager must possess the processing skill. This skill has to do with breaking

77
down of work structure into smaller and simpler components that makes project
management easier. The project manager must be competent in all the project processes
as well, that is, including budgeting, analysis, reporting, planning, implementation,
monitoring and evaluation. He must know how to apply different management
methodologies in order to achieve the required outcome.

2. Problem Solving Skill

Project encounter problems in the process, it is pertinent that managers have high level
of competence for managing these problems. In solving a problem, the project manager
must identify the problem, define it and respond to it.

3. Negotiation Skill
The project managers spend most of their time negotiating for resources, tools,
equipment and other supports that will benefit the project. A large part of negotiation
come into action when management need funding and other resource needs in the
organization. Hence, it is desirable that project managers have this skill.

4. Interpersonal skills
This is a skill that must be acquired by project managers if they are to manage all
aspects of individuals (stakeholder, team, management) in the organization and in
managing project. Interpersonal skills have to do with the way the manager relate with
all categories of individuals in project management. Without good interpersonal skills,
it will be difficult for the project manager to lead the team or develop working relations
with all key stakeholders and management

SELF ASSESSMENT 2

 is Interpersonal Skill of the Project management?

What



78
 3.6 Summary

This unit clarified the meaning of project management role and responsibilities. The
roles and responsibilities of project managers were discussed. The unit equally showed
the skills that is required of project managers with regards to achieving the desired
project outcomes.

When an individual is appointed as a project manager their several responsibilities

attached to this position. The project manager is mandated to assume the role, practice
some roles and undertake the responsibilities attached to the role. He is charged with
accounting for the responsibilities assigned to the position he or she holds as a project
manager. This unit was able to delineate the roles, responsibilities and skills that project
managers are expected to possess in order to lead effectively and manage projects
properly in development work.

3.7 References/Further Readings

Beck, D.R. (2004): ―Implementing Top Management Plans through Project

Management‖. Project Management Handbook. New York: Cleland D.I. and
King W.R. Van Nostrand Reinhold, pp. 166-184

Mishra, R, C and Soota, T. (2005). Modern Project Management. New Dehli : New
Age International.
Munns, A. and Bjeirmi, B. (1996). The Role of project management in achieving
project success. International Journal of Project Management, 14 (2), pp. 81-7.

PMI. (2008). A guide to the Project Management, Body of Knowledge. Pennsylvania,

USA: Project Management Institute.

3.8 Possible Answer to SAEs within Content

Possible Answer to SAE 1

Explain the role of the project manager as an Integrator

79
A key role of the project manager is to ensure the proper integration of the project
management processes by the organization, staff and stakeholders. He is responsible of
integrating staff, organization and stakeholder to ensure that all of them are well
coordinated throughout the project life cycle phases in order to achieve the project
outcome.

Possible Answer to SAE 2

What is the interpersonal skill of the project manager

This is a skill that must be acquired by project managers if they are to manage all
aspects of individuals (stakeholder, team, management) in the organization and in
managing project. Interpersonal skills have to do with the way the manager relate with
all categories of individuals in project management. Without good interpersonal skills,
it will be difficult for the project manager to lead the team or develop working relations
with all key stakeholders and management

80
MODULE 3: DEVELOPMENT PROJECT MONITORING

Module 3 - Unit 1: CONCEPTS AND RELEVANCE OF DEVELOPMENT

PROJECT MONITORING

Unit Structure
1.1 Introduction
1.2 Learning Outcomes
1.3 What is Development Project Monitoring
1.4 The Purpose of Development Project Monitoring
1.5 The rationale or reasons for Monitoring
1.6 The Characteristics of Development Project Monitoring
1.7 Types of Development Project Monitoring
1.8 Summary
1.9 References/Further Readings/Web Resources
1.10 Possible Answers to Self-Assessment Exercise(s) within the content

1.1 Introduction

Refer to our previous learnings on Monitoring from the past unit. In this unit, we will
unpack the concept of Monitoring and the key elements that makes Monitoring
effective. One must understand the importance and roles of indicators, including the
different types and how they assist in development project monitoring.

1.2 Learning Outcomes

At the end of this unit, student should be able to:

1. Understand the meaning of Development Project Monitoring.
2. Understand the importance/ rationale of Development Project Monitoring.
3. Understand the characteristics of Development Project Monitoring.
4. Understand the different types of Development Project Monitoring.

81
 Main Content

In time past, "Monitoring" in Development Projects has been viewed in "poor relation"
compared to Evaluation (Pratt and Boyden, 1985), While Donors usually see Evaluation
as a more reliable and valid exercise because it is primarily conducted by experts from
outside, using established transparent methods. As a result, Evaluation has benefited a
lot of resources and attention compared to Monitoring. However, in other scenarios,
Monitoring may be more critical than Evaluation for groups that want to learn from
their experiences and use it to improve their performance. The reason for this is not
farfetched. Firstly, Monitoring is usually carried out by in-house project staff, while
outside consultants usually conduct project evaluation. This means the monitoring
process provides more significant opportunities for organizations to utilize their own
experience and expertise. Secondly, Monitoring is an ongoing, routine process rather
than a periodic one. It enables immediate rather than the long wait for a formal
evaluation to be conducted (Gosling and Edwards 2003).

1.3 What is Development Project Monitoring

Within Social development sector, Monitoring can be defined as the "continuous and
systematic collection and analyzing of data or information about the progress of a
piece of work overtime" (Gosling and Edwards 2003). Monitoring is conducted to
ensure that all the people who need to know about a development intervention are
adequately informed. It is also done so those management decisions can be taken on
time. Customarily, Monitoring is different form Evaluation because, it focuses more on
activities and outputs than on outcomes and impact, it is ongoing rather than periodic
and carried out by internal rather than external staff. Also, Monitoring usually relies on
a system rather than a one-off exercise carried out at a specific time.
Regarding UNDP's definition of Monitoring, Monitoring can be described as the
systematic and continuous examination of data, procedures, and practices. It is the
routine, systematic collection, analysis, and use of information from projects and
programs, while implementation is ongoing to:

82
  Check and measure progress.
 Analyze the situation.
 React to new events, opportunities, and issues.
 Take decisions.

1.4 The Purpose of Development Project Monitoring

Project or program monitoring has many objectives, depending on the context and type
of Monitoring. However, the primary purpose of monitoring is the collection of regular
information on progress of a project and then use it for improvement purposes. This
includes ensuring the allocated budget and plans are being utilized as agreed and
ensuring adjustments when necessary. By the way, effective Monitoring is often
differentiated from good management. In different circumstances and scenarios,
Monitoring can also serve many other objectives. The most common ones are:
1. Monitoring provides managers, staff, and other stakeholders with information on
the progress being made towards stated goals and objectives to demonstrate
accountability to different stakeholders.
2. Monitoring provides information that enables approaches and strategies to be
changed in response to evolving situations.
3. Monitoring identifies whether there is a need to change goals, objectives, plans,
or budgets over time.
4. Monitoring helps testing project or program assumptions regularly.
5. Monitoring helps the identification of the need for further information or
research.
6. Monitoring helps in providing information that enhances ongoing learning, both
within and outside a project or program.

SELF ASSESSMENT 1

 of the purposes of development project monitoring is __________

One



83
1.5 The rationale or reasons for Monitoring:
Different organizations have different reasons for monitoring different development
projects. However, the principal reason for Monitoring is to "track progress towards
the agreed results." The following reasons below provides further rationale why
projects or programs are monitored:
1. To determine whether actions & prioritized solutions are helping you to reach
your goal.
2. To identify where the bottlenecks and disparities are, to prompt strategic
corrective measures/ adjustment of plans.
3. To empower and motivate managers, service providers, communities, and key
stakeholders to address bottlenecks better and ensure accountability to
commitments/ plans.
4. To improve data quality by demonstrating its importance through use.
5. To coordinate partners and technical support to reinforce good practice and
provide more excellent support to problem areas.
6. To conduct evidence-based advocacy.
7. Monitoring helps to prioritize resource allocation and fundraising efforts to
address the critical gaps.

1.6 Characteristics of Development Project Monitoring:

The monitoring function is quite different from that of Evaluation, and so is the
characteristic of Monitoring compared to Evaluation. The following are the
characteristics or attributes of Monitoring:
Characteristics Explanation
1.Project objectives Usually, Monitoring never questions or interrogates the program or
are not questioned. project's objectives. The interrogation of the project's objective is
usually an evaluation function.
2.Indicators of Under Monitoring, it is usually assumed that a project's indicator
progress are is appropriate to monitor and manage a project in question.
deemed to be Monitoring uses or works with the pre-selected indicators.

84
appropriate.
3.Reliance on a In development project monitoring, there is a reliance on very few
small number of indicators for monitoring the overall project. The use of multiple
indicators and many indicators is usually a burden to administer or used for
decision making,
4.Data collected Under Monitoring, routine data is usually collected and analyzed
routinely. to see whether progress has been made or not. The keyword here is
"routine," how frequently the data is collected, analyzed, and used
to inform project improvement.
5.Does not address Addressing the causal factor or question is entirely an evaluation
causal questions. function. Why the project did not achieve its objective is solely the
responsibility of Evaluation. Monitoring focuses on what is
happening during implementation.

Adapted from United Nations Evaluation Group (UNEG, 2015)

1.7 Types of Development Project Monitoring

Our discussion brings us to the different types of Monitoring. Different organizations
use different kinds of Monitoring based on the purpose and the focus of what needs to
be monitored. The most common types are listed and described in detail in the table
below:
1.Process or This type of Monitoring focuses on the activities carried out as part of
Performance a development intervention. It is designed to assess the extent to which
monitoring planned activities are being implemented. Process monitoring also
examines how resources are used. It intends to provide the information
needed to plan and review work continually, examine the project
implementation's failure or success, and for identifications and dealing
with the challenges and problems, and take advantage of opportunities
as they arise.
2.Results or Result or Impact Monitoring aims to assess the changes brought about
Impact by a project or program. This means assessing changes in the targeted

85
monitoring population (e.g., communities, individuals, targeted decision-makers,
and the supported organizations). Impact monitoring is used to
examine a project's progress towards the set goals and objectives,
including the unintended change. Regardless of the name, impact
monitoring is usually associated with the development changes at the
outcome and impact level.
3.Beneficiary This type of Monitoring is a specific type of impact monitoring that
monitoring, or aims to track project or program beneficiaries' perceptions (IFRC
beneficiary 2011). It can include beneficiaries. In this scenario, effective
contact Monitoring is often differentiated from good management. It includes
monitoring, beneficiary complaints mechanisms and feedback. Participatory
Monitoring and Evaluation is a type of Beneficiary monitoring.
4.Situation This type of Monitoring sometimes is known as scanning, is concerned
monitoring with monitoring the external environment. Sometimes, this is done by
defining and collecting indicators relating to the local political
situation, changes in the economy, and other development actors'
activities. At other times, situation monitoring means keeping eyes and
ears open to assess what is happening outside of a project or program
that might influence it.
5.Financial This type of Monitoring is unique to the Monitoring of finance and
monitoring budgets linked to auditing. Finance monitoring is usually concerned
with tracking the defined categories of expenditure against the agreed
costs.
6.Compliance This type of monitoring is concerned with enforcing compliance with
monitoring issues such as grant or contract requirements, donor regulations, ethical
standards, and government regulations.
Adapted from United Nations Evaluation Group (UNEG, 2015)

Our discussion is primarily concerned with process and impact monitoring. This is
sometimes known collectively as a project or program monitoring.

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 SELF ASSESSMENT 2

Explain one type of development project monitoring

1.8 Summary

Monitoring is the systematic and continuous collection and analysis of information

about a development project intervention's progress from the definition above. It is
usually carried out to ensure that the commitments of the project are being achieved as
planned. This is necessary to support timely and accurate decision-making.

The routine information collected during Monitoring is often used during later
evaluations and assessments, which further justifies the importance of Monitoring.
Indeed, Monitoring supports institutional learning, informs resource allocation, and
provides evidence for advocacy and much more, as explained in previous units.

1.9 References/Further Readings

Gosling, L, and Edwards, M (2003). Toolkits: A practical guide to assessment,

monitoring, review, and Evaluation. Second edition. Save the Children, UK.
IFRC (2011). Project/Program Monitoring and Evaluation (M&E) Guide. International
Federation of Red Cross and Red Crescent Societies. Geneva, 2011.
Pratt, B, and Boyden, J (1985). The Field Directors' Handbook: An Oxfam Manual
for Development Workers. Oxford University Press, Oxford.
Simister, N (2000). Laying the Foundations: The role of data collection in the
monitoring Systems of development NGOs. Occasional paper 01/00. Bath,
Centre for Development Studies, University of Bath.
UNEG. (2015). Evaluation Changes Lives: Realizing Evaluation's Potential to Inform
87
 the Global Sustainable Development Goals.

1.10 Possible Answers to SAEs within the Contents

Answer to SAE 1
Monitoring provides managers, staff, and other stakeholders with information on the
progress being made towards stated goals and objectives to demonstrate accountability
to different stakeholders.
Answer to SAE 2
This type of Monitoring is unique to the Monitoring of finance and budgets linked to
auditing. Finance monitoring is usually concerned with tracking the defined categories
of expenditure against the agreed costs.

88
Module 3 - Unit 2: DIFFERENCES AND COMPLIMENTARY FUNCTIONS
OF MONITORING AND EVALUATION

Unit Structure
2.1 Introduction
2.2 Learning Outcomes
2.3 Differences between Development Project Monitoring and Development Project
Evaluation.
2.4 What are the complementary functions between Development Project Monitoring
and Development Project Evaluation?
2.5 Summary
2.6 References/Further Readings/Web Resources
2.7 Possible Answers to Self-Assessment Exercise(s) within the content

2.1 Introduction

In this unit, we will explore the unique differences and similarities that exist between
Development project Monitoring and Development project Evaluation. As earlier
defined in the previous unit. Monitoring focuses on the systematic collection of
information about an ongoing project been implemented in a location in time.
Evaluation involves a retrospective assessment conducted at a certain agreed period in
a project's life, usually by an external independent evaluator (UNDP, 2015).

2.2 Learning Outcomes

At the end of this unit, student should be able to:

 Understand the critical differences between Monitoring and Evaluation.
 Understand the critical complementary functions of Monitoring and Evaluation

Main Content

89
Development Project "monitoring" and Development Project "evaluation" are concepts
usually regarded as complementary tools that support effective project management.
Despite their similarities, Monitoring, and evaluation both differ in their usage,
application, and function. Project monitoring and evaluation have grown in
significance, and today it is part and parcel of the project cycle from a project
conceptualization to termination and beyond.
The growing concern of stakeholders in managing projects has given rise to new fields
directly related to project management, like sustainability. Concerns over the
sustainability of projects and programs are the main drivers for Monitoring and
evaluation today and hence the need to build sustainability in all aspects of project
management.
There has been a growing desire for development efforts to be more effective from
limited and scarce funds and resources. For this to happen, projects and programs must
be well managed or executed for better results.

2.3 Differences in Development Project Monitoring and Evaluation

Monitoring and evaluation are important Project management tools that are essential in
tracking the progress of a project to support timely and accurate decision making,
generally toward improving the project implementation. However, there are lots of
differences between them. The table below, presents a side-by-side comparison of some
of the major differences that exist between monitoring and evaluation:
Differences between monitoring and evaluation
S/N Question Monitoring Evaluation
1. When is it Conducted routinely, usually Conducted occasionally before
carried out? through the life of the project. project implementation. Mid
and at the end of the project.
2. What is Focuses on the efficient use of Focuses on effectiveness, long
measured? inputs, activities and outputs and the term impact and the projects
project‘s assumptions. sustainability. Focuses on the
assessment of the purpose and
goal of the project.

90
3. Source of Review of internal documents e.g., External and internal
information quarterly, or monthly reports, logs documents are referenced.
and minutes of meetings. Annual reports including
national statistics.
4. Used by Usually, used by Managers and Usually targeted at funding
who? those within the project. agencies and beneficiaries.
5. How are the The result is used to manage small The result assist in making
results used changes required by the project. major project policy changes or
strategies where necessary.
6. Who carries Usually done by insiders involved in Conducted by impartial
it out the management of the project outsiders (External evaluators)
7. Comparison Compared to the agreed project Compared to the agreed
focus workplans. evaluation criteria (impact,
effectiveness, relevance etc.)
8. Focus Answers the question ―are we doing Answers the question ―did we
question the right things‖ do the right things”
Adapted from (UNEG, 2015)

SELF ASSESSMENT 1

 is the difference between monitoring and evaluation?

What



2.4 Complimentary function of Monitoring and Evaluation

Monitoring entails continuously observation of the progress made through a
development project, while (Fay Twersky, 2012). This can be considered as a process
of tracking milestones routinely, determining the purposes of improvements and
measuring progress against expectations. Whereas, Evaluations, focuses on the
systematically and objective assessment of ongoing or completed development
interventions (Naidoo,2011). Hence, Evaluation results complement monitoring
exercises in many ways. For example, when a monitoring system reveals that a certain
intervention is off track, an appropriate evaluative information would provide clarity on

91
the realities and trends observed through the monitoring system (Kaufmann, 2016). The
table below, presents a theoretical demonstration of the complementary relationship
between the functions of monitoring and that of evaluation.

Complimentary function of Monitoring and Evaluation

S/N Monitoring Evaluation
1. Clarifies a projects objective Analyses the reason why a project‘s intended
results were achieved or not achieved.
2. Link‘s activities and their Assesses specific causal contributions of
resources to objectives. activities to results
3. Translates objectives into Examines implementation process
performance indicators and sets
targets
4. Routinely collects data on these Explores unintended results
indicators, compares actual results
5. Reports progress to managers and Provides lessons, highlights significant
alerts them to problems accomplishment or program potential, and
offers recommendations for improvement
Source: Adapted from (Kusek & Rist, 2004)

As described above, monitoring and evaluation are connected in many ways, i.e., one
comes after the other. Usually monitoring precedes evaluation. Therefore, the latter is
dependent on the former.
The Schema below shows the Interconnectedness of Monitoring and Evaluation

92
 Monitoring is
necessary but not
sufficient for
evaluation.

Monitoring facilitates
Without monitoring, evaluation but
evaluation cannot be evaluation uses
done well additional new data
collection

This may lead to An evaluation of a

changing the data program will often
collection for lead to changes in
monitoring purposes program plans

(Source: UNEG, 2015)

SELF ASSESSMENT 2


Name one complementary function of monitoring and evaluation



2.5 Summary

The continuous and systematic collection and analysis of information about the
progress of a development project intervention is known a Monitoring. It is usually
carried out to ensure that the commitments of the project are being achieved as planned.
This is necessary to support timely and accurate decision-making.

Interestingly, both Monitoring and evaluation have components of measurement. The

importance of measurement in any development project cannot be overemphasized, the
phrases below aptly capture the essence of monitoring and evaluation in a development
project: “If you do not measure results, you cannot tell success from failure… If you
cannot see success, you cannot reward it… If you cannot reward success, you are
probably rewarding failure… If you cannot see success, you cannot learn from it… If

93
you cannot recognize failure, you cannot correct it… If you cannot demonstrate results,
you cannot win public support‖ (Kusek, J. & Rist, R., 2004).

2.6 References/Further Readings

Fay Twersky. F, & Lindblom, K. (2012). Evaluation Principles and Practices: An

Internal Working Paper. (December), 30.
Kahan, B., & Goodstadt, M. (2005). The Interactive Domain Model of Best Practices
in Health Promotion: Developing and Implementing a Best Practices Approach
to Health Promotion. Health Promotion Practice, 2(1), 43-67.
Kaufmann, J., Sanginés, M., & Moreno, M. (2015). Building effective governments:
Achievements and challenges of public management results in Latin America
and the Caribbean. IADB, Washington DC: IADB, Washington DC.
Kusek, J. Z., & Rist, R. C. (2004). Ten steps to a results-based monitoring and
evaluation system: a handbook for development practitioners. World Bank
Publications.
Republic of South Africa (2008). Basic Concepts in Monitoring and Evaluation.
UNEG (2015). Evaluation Changes Lives: Realizing Evaluation's Potential to Inform
the Global Sustainable Development Goals.

2.7 Possible Answers to SAEs within the Content

Answer to SAE 1

Monitoring entails continuously observation of the progress made through a development

project, whereas, Evaluations, focuses on the systematically and objective assessment of
ongoing or completed development interventions (Naidoo,2011). Hence, Evaluation results
complement monitoring exercises in many ways.

Answer to SAE 2
Provides lessons, highlights significant accomplishment or program potential, and offers
recommendations for improvement

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Module 3 - Unit 3: COMPONENTS / TOOLS FOR MONITORING
(INDICATORS, BASELINES, AND TARGETS)

Unit Structure
1.1 Introduction
1.2 Learning Outcomes
3.1 Components and Concepts of Development Project Monitoring.
3. 4 Understanding a ―Result-Chain‖.
3.5 Understanding Indicators in relation to Baseline and Targets.
3.6 What is an indicator? What Characteristics Do they have?
3.7 What are the different types of indicators?
3.8 Summary
3.9 References/Further Readings/Web Resources
3.10 Possible Answers to Self-Assessment Exercise(s) within the content

3.1 Introduction

Refer to our previous learnings on monitoring from the past unit. In this unit, we will
unpack the monitoring concept and the key elements that make monitoring effective.
One must understand the importance and roles of indicators, including the different
types and how they assist in development project monitoring. As a NOUN student, the
concept of monitoring should not be strange to you, as you do it daily knowingly or
unknowingly. Your attendance of scheduled lectures and timely submission of
assignments when due is all part of effective monitoring on your part.

3.2 Learning Outcomes

At the end of this unit, student should be able to:

 Understand the types and concepts of Development Project Monitoring.
 Understand the concept and importance of Indicators, Baseline, and Targets in
monitoring a Development Project.
 Identify the different types of Indicators that assist in Development Project
monitoring.

95
 Main Content

Identifying what information is needed for routine collection in a development project

is vital in managing the project. Generally, managers are likely to need the information
to (i) track and assess what has changed (both intended and unintended);
(ii) to understand the reasons for changes - i.e., what factors/organizations/individuals
have facilitated/constrained change (including your contribution);
(iii) Interpret the changes, i.e., people's perceptions and experiences of change.
The information to be collected is usually "Quantitative information" is expressed in
numerical terms as numbers and ratios, for example. This information will allow you to
answer 'what,' 'how many,' and 'when' questions. On the other hand, "Qualitative
information" is expressed through descriptive prose and can address questions about
'why' and 'how,' as well as perceptions, attitudes, and beliefs. Tracking intended
changes resulting from a program or projects requires the identification of indicators.
These are concrete pieces and specific information that enables managers track their
projects' changes. Project managers need to ensure that indicators are relevant, specific
(and, where possible measurable), and are timetabled to be gathered at critical points to
be used for monitoring the project. All these and more will be discussed below.

3.3 Components and Concepts in Development Project Monitoring

First, it is important to clarify the concept of "Monitoring" – which is a process of
tracking or measuring what is happening. There are different types of monitoring based
on the functions they perform. Below are some examples of the different kind of
monitoring and their purposes:
(i) Performance monitoring – focuses on measuring progress concerning an
implementation plan for intervention (i.e., a programs/activity, strategies, policies) and
specific objectives
(i) Situation monitoring – refers to measuring the change in a condition or a set of
conditions or lack thereof (e.g., changes in children and women's situation or changes in
the broader country context). Are we achieving the results as planned? This speaks to

96
(iii) Result monitoring -deals with monitoring progress, project managers need to
know what achievements they are trying to reach: that is, the project's objectives and
aim, including the planned activities (UNEG, 2019).
We will now discuss how to develop a monitoring strategy, but it is generally helpful to
start by clarifying a project's aims and objectives (i.e., the project's desired impacts and
outcomes) and the planned activities to be implemented to reach the project's goal. The
table below clarifies some essential concepts and terminologies related to development
project monitoring:
The Table below describes some major concepts in development project monitoring
Concept Definition Examples
Aims Refers to (desired To reduce our community carbon and
impacts). This speaks individual emissions for a more prosperous,
specifically to the final fairer, and sustainable community, towards the
impact on the improvement of people‘s well-being.
beneficiaries lives or on
the environment.
Objectives speaks about (desired To improve personal agency; the
outcomes) The changes encouragement of more sustainable
required to be made for behaviours or living; to strengthen community
the achievement of the resilience and the capacity to stand against
project's aim (desired external shocks; fair and supportive
impacts) government policies.
Outputs The immediate and To engage X participants in projects/
direct result of your events/training from y and z demographic
activities that contribute groups; to plant X trees, to facilitate swapping
to your objectives. of Y items at a Blue & Green event.
Outcomes Are the intermediate A good example of an outcome is that there is
changes or short-term improved timeliness and quality of reporting
that occur in learners, amongst implementing partners after the
institutional changes, conduct of an RBM training.
behavioral changes etc.

97
Impact are the broader changes An example of impact in a five-year project
that occur within the dedicated to end all traditional / harmful
community, practices. Specifically, that the impact of the
organization, society, or project is that ―all forms of violence and
environment as a result discrimination has been addressed‖ Women
of the project outcomes. now live a life free from all forms of
discrimination and violence.
Activities The project activities Community awareness-raising and
and processes you engagement; action/learning groups on
undertake so that you household energy use & lifestyles; community
achieve your desired food, transport, waste reduction projects.
outputs.
Inputs Speaks to the critical Volunteer capacity and availability; access to
human, financial, IT and other online resources; fundraised and
technical, available
organizational, and
social resources that you
need to undertake your
activities.
Source: (UNEG,2019)

SELF ASSESSMENT 1

 is the meaning of Output in project monitoring

What



3.4 Understanding a “Result-Chain”

Development change can be complicated; therefore, it is helpful to present a project's
strategy in the form of a Result-chain or change-pathway, or an impact-chain, as you
deem fit to call it. Result-chain describes how your project activities will contribute to
your desired outcomes (your objectives), which will, in turn, contribute to the final
impacts (your aims). A simplified result-chain is described below in fig 3.1.1. Each box
98
affects and leads to the other. The arrow shows the ―cause‖ and ―effect‖ that happens
within each component that leads to the other.
Fig 3.1.1: A Result Chain flow
Inputs Activities Outputs Outcomes Impact

A practical example of a Result Chain for ―a Successful Party‖ can be seen in the
diagram below:

In the diagram above, the boxes coloured in green represents the (inputs) which are the
first level of materials required to a successful party. In the grey box, is the second level
of change achieved because of the interaction of all the inputs, which is the (outputs)
that contributes to a successful party. The last stage is the intended (outcome) which is
the ―successful party‘. Thankfully, was not hindered by bad weather or any other
external factor listed in the yellow boxes.

3.5 Understanding Indicators in relation to Baseline, and Targets

Project monitoring requires the measurement and analysis of results achieved, therefore
the need for indicators that allow us to assess and monitor progress and to decide
whether the project has achieved the desired outcomes or not. For example, what do
you think is an indicator of success in football? How about sustainable development or
a healthy population? Results-chains and logical frameworks identify the results we

99
want to achieve and the means for doing so. Indicators, in contrast, tell us what to
measure to determine whether we are achieving these results.

3.6 What is an indicator? What Characteristics Do they have?

The terms "indicators" and "measures" are often used interchangeably, and we are often
told that "indicators are measures." Here is an excellent example as per the definition an
Indicators: "An indicators are measures that summarize complex data into simple,
standardized and communicable figures." (World Bank, 2019).
The table below highlights the six important characteristics of an “indicator.”
S/N Characteristics Description of their attributes
1. Relevant Reflect the intervention's intended activities and outputs.
2. Objective Speaking of having a clear operational definition of what is to
be measured and the kind of data to be collected.
3. Specific Speaks about ensuring that the measured changes are
attributable to the project and are expressed in precise terms.
4. Adequate Speaks to the ability for the project change to be measured
overtime ensuring progress towards outcomes.
5. Feasible/ This speaks to the ability of the indicator not to be too
Practical burdensome for routine collection.
Source: Adapted from (World Bank, 2019).
Similarly, a good indicator also has the following additional qualities:
1. Specifies what is to be measured.
2. It is neutral in its definition.
3. Must have a baseline and target to be made meaningful.
4. It can be verified objectively.
5. Forces the clarification of what is meant by the result.
6. Specific, Measurable, Achievable, Relevant, and Time-bound (SMART).

Below is a description of an indicator in relation to other important terms, usually used

along-side it:

100
Indicator Provides evidence to assess progress towards the achievement of
intended results.
Baseline Refers to the indicator's status at the beginning of a project.… a
reference point to assess progress.
Target Refers to the expected achievement (quantitative or qualitative) by
the end of the project or period.
Means of Refers to the sources of information that inform baselines and
Verification measure targets.
Source: Adapted from (UNEG, 2019).
The diagram below shows how, baseline and targets interact and are used for
performance project monitoring:

Source: Adapted from (UNEG, 2019).

From the diagram above, the indicators of inputs, activities, outputs, outcomes, and
impacts (Result-chain). When a project has been monitored or evaluated, there is the
need to distinguish between indicators of outputs and indicators of outcomes and
impacts. If we want to evaluate the effects of a project or the consequences of an
intervention, we must have indicators of outcomes and impacts.
SELF ASSESSMENT 2

A good indicator must have some qualities, name them


101
3.7 What are the different types of indicators?
This leads us to the need to explain the types of indicators and how they are expressed.
An indicator can either be (i) expressed quantitatively or (ii) expressed qualitatively.
The table below explains it in more details:
Quantitative statistical measures: Qualitative judgments or perceptions:
The indicators "defined" here are indicators verbally describe a situation, focus
numeric and indicate how much, i.e., on qualities, and are not quantified, i.e.,
1. 1.Number of……. 1. 2.Alignment with……

2. 3.% of……. 2. 3.Presence of……

3. 2.Frequency of…… 3. 3.Quality of……

4. 4.Ratio of……. 4. 4.Extent of….

5. 5.Variance with……… 5. 5.Level of….

Similarly, there are different kinds of indicators based on the purpose and the function
they serve. The table below explains five of them.
1.Direct Some indicators directly measure the topic of interest. A direct
Indicators measure has high face validity, and almost everyone agrees that the
indicator is acceptable and appropriate. E.g., gender, total fertility
rate, number of computers per classroom.
2.Composite Several indicators can be combined to create an index, e.g., The
Indicators UN's Human Development Index or Gender-related Development
Index (GDI), which measures gender equality in a country in terms
of life expectancy, literacy rates, school attendance, and income.
3.Proxy When data are not available or are costly to collect, it may be
Indicator desirable to use proxy indicators. Proxy indicators are common,

102
 but they always require us to make assumptions about their
validity. e.g., Percent of households with motorcycles as a proxy
for household wealth / Cost, distance, and travel time as proxy
indicators of access to markets.
4.Performance Performance indicators refers to how the projects performance will
Indicator be measured along a dimension or scale without the specification
of a particular level of achievement. Such indicators are usually
associated with monitoring and assessments of progress, e.g., % of
female farmers using integrated pesticide management (IPM)
5.Target (or indicative targets) define the desired level of achievement in
Indicators terms of outputs, outcomes, or impacts. These indicators allow us
to judge whether we have achieved our goals and objectives', e.g.,
30% of farmers using insecticides every crop season.
Source: Adapted from (UNEG, 2019).

3.8 Summary

Managing development projects require the identification and use of appropriate

indicators and the need to determine the project's baseline before the commencement of
the project and the target setting of what needs to be achieved. This process helps
managers connect what they want to do with what they want to achieve, enabling them
to learn and adapt.
Beyond accountability requirements, good development projects require indicators to
help assess the project's delivery, performance and quality. Selecting the right
indicators, targets is critical for the effective management of any development project.
Donors, beneficiaries, and the public are demanding more rigorous and objective
evidence of development projects' efficiency.

3.9 References/Further Readings

103
Bertrand JT and G Escudero (2002). Compendium of Indicators for Evaluating
Reproductive Health Programs. MEASURE Evaluation Manual Series, No. 6.
The University of North Carolina at Chapel Hill: MEASURE Evaluation Project,
Carolina Population Centre.
Marsh, David. (1999). Results Frameworks & Performance Monitoring: A Refresher.
MEASURE Evaluation. (2002). A Trainer's Guide to the Fundamentals of Monitoring
and Evaluation for Population, Health, and Nutrition Programs. The University
of North Carolina at Chapel Hill: MEASURE Evaluation Project, Carolina
Population Center.
MEASURE Evaluation (2005). Training Materials for M&E of Population, Health, and
Nutrition Workshops. The University of North Carolina at Chapel Hill:
MEASURE Evaluation Project, Carolina Population Centre.
United Nations Evaluation Group (UNEG). (2009). Standards for evaluation in the UN
system.

3.10 Possible Answers to SAEs within the Content

Answer to SAE 1

Output is the immediate and direct result of activities that contribute to the project objectives.

Answer to SAE 2

Qualities of a good indicator include:

1. Specifies what is to be measured.
2. It is neutral in its definition.
3. Must have a baseline and target to be made meaningful.
4. It can be verified objectively.
5. Forces the clarification of what is meant by the result.
6. Specific, Measurable, Achievable, Relevant, and Time-bound (SMART).

104
Module 3 - Unit 4: DEVELOPING A MONITORING PLAN

Unit Structure
4.1 Introduction
4.2 Learning Outcomes
4.3 Importance of a Monitoring plan.
4.4 Key processes in the development of a Monitoring Plan.
4.5 Engagement and role of stakeholders in Developing a Project Monitoring
Plan.
4.6 Components and tools for Development Project Monitoring.
4.7 Summary
4.8 References/Further Readings/Web Resources
4.9 Possible Answers to Self-Assessment Exercise(s) within the content

4.1 Introduction

Refer to our previous learnings on Monitoring from the past unit. Project monitoring is
an essential element of every development project. Effective project management
requires that every project provides a way to access the project's progress in the
achievement of its goals and objectives and informing key stakeholders and
beneficiaries about the results achieved. For a development monitoring plan to be
effective, it should provide timely and useful results, which can be incorporated into the
project for improvement. The development of a monitoring plan of a project usually
adopts a participatory process in which project designers, Donors, National, and local
stakeholders, including beneficiaries, work collaboratively to develop an integrated and
comprehensible monitoring plan. Development projects at all levels, whether they are
several integrated projects or a stand-alone intervention, should include a joint
monitoring plan. Such plans aim to guide what information or data is required to be
collected, describes how best to collect it, and specifies how to disseminate and use the
result for improvement effectively (Nicholson, 2015).
In this unit, we will unpack the concept of Monitoring and the key elements that makes
Monitoring effective. One must understand the importance and roles of indicators,
including the different types and how they assist in development project monitoring.

105
 4.2 Learning Outcomes

At the end of this unit, student should be able to:

 Appreciate the rationale for Development Project Monitoring.
 Understand the processes for Development Project Monitoring.
 Appreciate the engagement and role of stakeholders in Developing a Project
Monitoring Plan.
 Understand the considerations for conducting Monitoring

Main Content

4.3 Importance of a Monitoring plan.

A project monitoring plan describes the overall purpose of the Monitoring, presents
the specific monitoring questions, the monitoring methods, and the tools agreed upon
for the Monitoring, reveals how to determine what data should be collected and how, it
also prescribes the data flow and specifies the necessary resources including who will
participate in it (UNEG, 2015). Finally, it specifies the necessary resources and the
plans for dissemination and data use.
The five points listed below justify the reason for project monitoring:
1. To determine whether actions & prioritized solutions are helping you to reach
your goal.
2. To identify where the bottlenecks and disparities are, to prompt strategic
corrective measures/ adjustment of plans.
3. To empower and motivate managers, service providers, communities, and key
stakeholders to address bottlenecks better and ensure accountability to
commitments/ plans.
4. To improve data quality by demonstrating its importance through use.
5. To coordinate partners and technical support to reinforce good practice and
provide more significant support to problem areas.

106
Similarly, the following four questions essential explains why a development project
are routinely monitored:
 Are we on the right track?
 Should we take a different road?
 Is the program being implemented as planned?
 How much does implementation vary from site to site?

SELF ASSESSMENT 1

 is the importance of a monitoring plan ?

What



4.3 Key processes in the development of a Monitoring Plan

The table below, highlights the 7 complimentary steps critical for developing a
monitoring plan. Processes for developing a Monitoring Plan.
S/N Processes Description of the processes
1. Convene a Monitoring is a cross-cutting task that involves stakeholders from
stakeholder numerous sectors, levels, and functions. Producing, analysing, and
working using high-quality data for decision-making is, therefore, in the
group. interests of—and requires—a broad range of stakeholders.

2. Understand The analysis of the context surrounding a project is paramount to

the developing the Project's Monitoring plan. The project's working
Monitoring group should conduct its information-gathering in conjunction with
context those implementing the project. A checklist can be used to review
the existing weakness or strength of the plan in operation
(USAID,2015).
3. Define the The project monitoring plan is expected to guide the Monitoring of
Monitoring progress and results in the implementation of an approved project
plan's goals, and provide a framework by which to incorporate feedback and
objectives, make continuous program improvements. Therefore, the goals and
and objectives of the monitoring plan must align with the overall
framework. project goal.
107
4. Identify Once the project's overarching goal, objectives, and framework
indicators. have been determined, it is time to develop indicators or
measurable statements of program objectives and activities. An
indicator measures precisely what it is meant to measure: it
"indicates" or points to a particular area of measurement.
Indicators are at the heart of M&E, as they are used to both
determine if a project is meeting its stated goals and how to amend
program activities if deemed necessary (USAID,2015).
5. Identify the Once project indicators have been selected or developed, a review
source of of any existing M&E system(s) and available data sources should
data. be conducted. Such a review can identify gaps that need to be
addressed and provide direction for how Monitoring processes and
tools can be adapted or, if necessary, established a new to support
the project.
6. Monitor the At this point, all is set. Using the agreed checklist, conduct routine
project monitoring with all stakeholders and ensure all the project's key
routinely. areas are examined and monitored (MEASURE Evaluation, 2001).
7. Makes plans The purpose of conducting Monitoring is to use data and results for
for the use informed decision-making and future programming. Although
of data stakeholders may be involved in the development and approval
collected. process, they may not have the same level of involvement during
implementation. The monitoring report needs to have clear,
actionable recommendations, and the report should be shared with
all the duty bearers.
Source: Adapted from USAID Monitoring toolkits (2015)

4.4 Engagement and role of stakeholders in Developing a Project Monitoring

Plan.
The first step is to secure the leadership and ownership's consent by ensuring the active
involvement and collaboration of different partners from the national to the community
level. The government should lead the process and mainstream the Monitoring it into

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long-term national strategies and plans. To secure an effective engagement of
stakeholders, the first steps is to hold an initial stakeholder consultation by doing the
following:
1. Build the stakeholder's understanding of the approach to be used for the
Monitoring.
2. Discuss the scope and objectives of the analysis or Monitoring extensively.
3. Agree to a consensus modality on the process, activities, timeline, and
responsibilities of each partner.

Through a participatory manner, establish a Core Group to lead the analysis and
operationalize the roles and responsibilities.
The following are key considerations when preparing for a joint stakeholder.
monitoring. The table below describes these considerations:

S/N Considerations or Steps for conducting a Monitoring Visit

1. In consultation with stakeholders, make a list of all identified bottlenecks or the
project's challenges during the planning process.
2. Make a list of all identified districts/ sub-districts that are performing poorly and
require technical support.
3. Prioritize bottlenecks for Monitoring (use criteria as necessary)
4. Define the indicators and determine the data sources plus methods of collection
before setting out.
5. Determine how you will monitor the poor-performing districts/ sub-districts.
6. Set interim and long-term targets that can be monitored for each prioritized
bottleneck or identified challenges.
7. Identify who oversees Monitoring and when it will occur (periodicity).
8. Adjust the strategy if needed and adapt indicators to the revised strategy.

4.5 Components and tools for Development Project Monitoring

A basic monitoring plan has the following key components(i) a section for challenges,
(ii) corrective action plan, (iii) related project indicator (iv) data source(v) baseline (vi)
target (vii) persons responsible and (viii) the timeline for the completion of the action.
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These components are usually filled and completed during a field trip exercise and are
referenced during the next cycle of Monitoring to compare what has or is improving
over time.
Key components of a Monitoring Plan
Challenges Corrective Related Data Baseline Target Person Timeline
Identified action Project Source responsible for
required Indicator completion

Source: Adapted from (UNEG, 2015)

SELF ASSESSMENT 2

 are the key components of Monitoring plan?

What



4.6 Summary
An effective monitoring plan is a living document that needs to be referenced as often
as possible for improving the project been implemented. For a development project
Monitoring to be beneficial, it should be routine and systematic, ensuring the systematic
collection and analysis of the implementation situation. Most importantly, Monitoring
provides evidence for decision making.

A Monitoring plan facilitates the use of data, contributes to managers' empowerment,

and improves interventions and overall quality delivery of the projects. A Monitoring
checklist or Tool is used to facilitate the effective Monitoring of interventions or
projects and for the identification of the project's challenges proffering corrective action
where necessary.

4.7 References/Further Readings

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Bertrand, J. T., & Escudero, G. (2002). Compendium of indicators for evaluating
reproductive health programs (Vol. 6). MEASURE Evaluation, Carolina
Population Centre, University of North Carolina at Chapel Hill.
Fisher, A. A., Laing, J. E., Stoeckel, J. E., & Townsend, J. (1991). Handbook for family
planning operations research design.
Nicholson, E. (2015). Developing a human resource for health (HRH) effort index to
measure country-level status in HRH.
Fuster, V., & Kelly, B. B. (2010). Measurement and Evaluation. In Promoting
Cardiovascular Health in the Developing World: A Critical Challenge to
Achieve Global Health. National Academies Press (US).
Bessinger, R. E., & Bertrand, J. T. (2001). Monitoring quality of care in family
planning programs: a comparison of observations and client exit
interviews. International Family Planning Perspectives, 63-70.
United Nations Evaluation Group (UNEG). (2009). Standards for evaluation in the UN
system.

4.8 Possible Answer to SAEs within the Contents

ANSWER to SAE 1

Monitoring plan reveals how to determine what data should be collected and how, it also
prescribes the data flow and specifies the necessary resources including who will participate in
it. It specifies the necessary resources and the plans for dissemination and data use.

Answer to SAE 2
A basic monitoring plan has the following key components(i) a section for challenges, (ii)
corrective action plan, (iii) related project indicator (iv) data source(v) baseline (vi) target (vii)
persons responsible and (viii) the timeline for the completion of the action.

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 Module 4: DEVELOPMENT PROJECT EVALUATION

Module 4 - Unit 1: CONCEPTS AND RELEVANCE OF DEVELOPMENT

PROJECT EVALUATION
Unit Structure
1.1 Introduction
1.2 Learning Outcomes
1.3 The Concept of Development Project Evaluation
1.4 The Purpose of Development Project Evaluation
1.5 Important Approaches in Development Project Evaluation
1.6 Types of Development Project Evaluations.
1.7 Summary
1.8 References/Further Readings/Web Resources
1.9 Possible Answers to Self-Assessment Exercise(s) within the content

1.1 Introduction

This unit explains the concepts and relevance of Development Project Evaluation. It
examines some primary concepts to development project evaluation and some
perspectives of development project evaluation. It also describes some approaches to
development project evaluation, including the different evaluation types and their
functions and application.

1.2 Learning Outcomes

At the end of this unit, student should be able to:

 Explain the concept and interrelationships of development project
evaluation.
 Understand the purpose for evaluation.
 Identify and explain some approaches in development project evaluation.
 Examine perspectives and types of development project evaluations.

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 Main Content

The development project evaluation concept is exciting and practical. Evaluation is a

fundamental part of the entire development project management process. Alongside
monitoring, Evaluation represents one of the previously mentioned core processes of
project management. According to United Nations Development Program (UNDP),
“monitoring‖ can be described as an ongoing process throughout the whole
development project or program to examine the progress made against plans,
identifying changes and potential risks, providing corrective and recovery actions to
improve a project. On the contrary, “Evaluation” is more focused on assessing the
expected goal and the achievements of a project.
To give a bit of history to the evolution of development project evaluation, the
organization for Economic Co-operation and Development (OECD) and the World
Bank were the early leading influencers of the concept of Evaluation in development
cooperation. According to Development Assistance Committee (DAC), the then DAC
Chair pointed out the following in his first report in 1962, " Member States were
advised to put attention towards a thorough evaluation of the results of their aid support
and the need to exchange field experiences" (OECD, 2013). In 1972, DAC issued the
protocol for " Evaluating all Development Assistance" responding to the problems
raised on development aid evaluation and providing guidance on using evaluation tools.
In the late 1970s, the OECD produced two evaluation manuals outlining norms and
principles for the Evaluation of social projects and project appraisal, which forms the
basis of all development projects (Cracknell, 2000).

1.3 The Concept of Development Project Evaluation.

Evaluation is conducted at the end of the phase of a project or program, at a mid or
terminal point, or in real-time, providing information to judge if a project has achieved
its intended results and advise strategic decisions about future improvements similar
projects or programs. To further buttress the interdependent nature of development
project management, Data collection and analysis gathered during the monitoring

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process form the basis for the evaluative analysis thereof. M&E are thus interrelated,
and they are an integral part of development project management.

Focusing of Evaluation definition, the webster dictionary succinctly describes

Evaluation as the "action of judging or apprising the condition or value of a thing" you
will notice the focus is on some form of judgment or assessment. More
comprehensively and holistically, the United Nations Evaluation Group (UNEG)
defines Evaluation as an assessment, that is systematic and impartial as possible, of an
activity, project, program, strategy, policy, topic, theme, sector, operational area, and
the performance institutionally. Additionally, evaluation focuses on the expected and
achieved achievements, the examination of the results chain, processes, contextual
factors, and causality to understand achievements or the lack thereof (UNEG, 2019).

1.4 The Purpose of Development Project Evaluation

The purpose of Evaluation is easy to understand and can be applied to one's daily life.
Think about it, have you assessed or reflected on your progress and performance as a
NOUN student? Were you able to pint-point what made you succeed or fail? These are
the kind of self-searching questions; yes, evaluative questions that can help a NOUN
student identify where the problem in order to perform better in the future.
According to the United Nations Evaluation Group, the sole aim of Evaluation is to
determine the relevance, impact, effectiveness, efficiency, and sustainability of an
intervention or a development project (UNEG, 2019).
It is essential to mention the three questions that uniquely reveal the purposes of
Evaluation as described by the United Nations. Evaluation Group, which are:
S/N Evaluation Explanation
questions
1. Are we doing the This examples the rationale, the justification for the
right thing? undertaking, makes a reality check, and looks at the
intended beneficiaries' satisfaction.
2. Are we doing it This speaks to assessing how effective expected results are
right? achieved. It reviews the efficiency of the use of inputs in

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 yielding results.
3. Are there better This implies that Evaluation looks at alternative ways,
ways results can acceptable practices, and lessons learned.
be achieved?
Source: (UNEG, 2005).

Evaluation is designed to provide evidence-based information that is reliable, credible,

useful, and enabling timely incorporation of recommendations, lessons learned and
findings into the decision-making process. (UNESCO,2019). Most importantly,
development project evaluations address these four purposes or have four important
aims, they are:
1. To improve project relevance, methods, or outcomes.
2. To provide accountability for project results,
3. To support decision-making,
4. Enhances lessons learned that could be generalized to other projects or
situations.

SELF ASSESSMENT 1

 are the four aims that development project evaluation deals with?
What



1.5 Important Approaches in Development Project Evaluation

The process and procedures for Evaluation utilized in development organizations
varies, where each organization has its own policies that serves as a standard or
guidance for the evaluation practice. The organizational policy serves as a standard that
outlines the steps the evaluation should follow. Additionally, evaluation policies usually
include the organization's meaning for Evaluation, purpose and instruments for
evaluation, the criteria for quality and standards, including the management responses.
As a game-changer, in 1991, the DAC developed a set of principles that is now
universally acceptable for addressing the most critical requirements for the evaluation
process, including the purpose of the Evaluation, impartiality and independence,

115
credibility, usefulness, the evaluation design, programming, implementation and
participation of donor and recipients (Edwards, 2014). Furthermore, DAC defined five
evaluation criteria to evaluate development assistance projects, which are.
(I) Relevance,
(II) Effectiveness,
(III) Efficiency,
(IV) Impact, and
(V) Sustainability.

The table below explain five evaluation criteria in detail:

Evaluation Description and the purpose of the evaluation criteria
Criteria
Relevance describes how an aid activity or (a development project) reflects the
target group's priorities and needs and whether a project is consistent
with donors' and recipients' policies.
Effectiveness measures how successful a project is in achieving its intended
objectives.
Efficiency The purpose of efficiency is to investigate and ensure the efficient use
of project funds in achieving the intended results.
Impact Here, impact focuses on direct and indirect, positive or negative,
unintended or intended effects of a project.

Sustainability The focus of sustainability is to ensure that there is a lasting

environmental and economic effects of a project long after the
termination of a project.
Source: OECD. (1991). Principles for Evaluation of Development Assistance
.
1.6 Types of Development Project Evaluations.
Having described the five primary evaluation criteria, selecting Evaluation types is
usually based on the previously defined evaluation purpose, evaluation questions, and
the information collected concerning project objectives and characteristics. Other
factors to be considered are stakeholder's expectations and priorities and the available

116
budget and including considerations for when the evaluation should be completed.
Different evaluations have their different purposes and functions they serve.
Organizations describe evaluations under different theme; despite the different names
and categories assigned to these evaluations, what matters the most is the purpose they
serve. According to Zarinpoush (2006), the five most common types of development
project evaluation as follows:
1. Formative Evaluation
This type of evaluation is conducted before a project commences or during the project's
implementation to provide ongoing feedback about the development of the project and
focuses on the assessment of the design characteristics, performance and progress
including ways of improving it them (Edwards, 2014).
2. Process Evaluation
The focus of this evaluation is to show how a project outcome or impact was achieved.
it assesses the types and quantities of services delivered and the funds, resources used to
in delivering the services. Additionally, it investigates weather the project is being
implemented as planned within the allocated time and budget. This is like formative
assessment (Edwards, 2014). It is usually conducted from the unset of the and
throughout the project and can be administered by the internal evaluation staff.

3. Summative Evaluation
This kind of evaluation is different from the previous ones discussed, Summative
Evaluation is usually conducted for projects that have completed their cycle to account
for their overall achievements/ delivery and provide useful information about their
efficacy (the projects ability to deliver as designed). Hence, the name Summative
Evaluation (Edwards, 2014). This type of evaluation contributes to the improvement of
future projects by reporting the lessons learned and experiences during the current
project by providing important information for key decision makers. Either external or
internal are permitted to undertake this type of evaluation.

4. Outcome Evaluation

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This is a well know and commonly used evaluation method, which focuses on the
investigation of the extent to which the project has achieved the short-term or medium-
term project outcomes (Zarinpoush, 2006). This evaluation type seeks to investigate the
effect of the project on the participants and stakeholders, investigating if there are any
unexpected outcomes and identifying if the project delivered on the project as expected.
The evaluator must demonstrate a good understanding of the project's activities and
outcomes in order to show how the project activities and outcomes are linked and
interrelate (Zarinpoush, 2006).

5. Impact Evaluation
Unlike other evaluations, impact evaluation is not the commonly deployed. However, it
is of high relevance and importance in development cooperation since its focus is to
measure the impact of projects at the long-term, and hence addresses the concept of
sustainability. Impact evaluation investigates the claims of long-term achievements of a
project including the development impacts of the project as a result addressing the area
of sustainability. Impact evaluation also covers the assessment of the log-term
improvements, including the effects on the environment and the community outside the
immediate target group or area (UNEP, 2008). Impact evaluation measures the project's
success, where the definition of success is identified according to project objectives and
stakeholders' expectations. It helps to eliminate fewer practical activities and promote
organizational learning.

SELF ASSESSMENT 2


Explain the formative project evaluation



1.7 Summary

The goal of Evaluation is to contribute towards a system that better serves the world's
peoples, overcoming weaknesses and building on strength from a strong evidence base.

118
Indeed, Evaluation can be a transformational change tool because it provides unbiased
evidence for decision making.

Development Project evaluation can serve as a strategic learning tool for most funders
and practitioners who are focusing their efforts on effecting system change.
Development project evaluation in used in the private sector in the research and
development unit for creating new products because it facilitates real time, or close to
real time information (feedback), thus facilitating a continuous development or
improvement loop. The choice of an evaluation is determined by how best the
evaluation process suites the type of project to be evaluated.

1.8 References/Further Readings

Auld, E., Rappleye, J., & Morris, P. (2019). PISA for Development: how the OECD
and World Bank shaped education governance post-2015. Comparative
Education, 55(2), 197-219.

Cracknell, B. E. (2000). Evaluating development aid: issues, problems, and solutions.

Sage.
Edwards, S. (2015). Economic development and the effectiveness of foreign aid: A
historical perspective. Kyklos, 68(3), 277-316.

OECD, D. (1991). DAC Assistance Committee: Principles for Evaluation of

Development Assistance.
PMBoK, A. (2000). Guide to the project Management body of knowledge. Project
Management Institute, Pennsylvania USA.

United Nations Development Programme. (2009). Handbook on planning, monitoring

and evaluating for development results. UNDP.

United Nations Environment Programme. Ozone Secretariat. (2006). Handbook for the
Montreal protocol on substances that deplete the ozone layer. UNEP/Earthprint.

Zarinpoush, F. (2006). Project evaluation guide for nonprofit organizations:

Fundamental methods and steps for conducting project evaluation. Imagine
Canada.

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1.9 Possible Answers to SAEs within the Content
Answer to SAE 1
Most importantly, development project evaluations address these four important aims, they are:
1. To improve project relevance, methods, or outcomes.
2. To provide accountability for project results,
3. To support decision-making,
4. Enhances lessons learned that could be generalized to other projects or situations.
Answer to SAE 2
The formative evaluation is conducted before a project commences or during the project's
implementation to provide ongoing feedback about the development of the project and focuses
on the assessment of the design characteristics, performance and progress including ways of
improving it them

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Module 4 - Unit 2: DATA COLLECTION METHODS, STAKEHOLDER
& INSTITUTIONAL ANALYSIS

Unit Structure
2.1 Introduction
2.2 Learning Outcomes
2.3 The Concept and Perspectives of Data Collection in Development Project
Evaluation
2.4 The Purpose and Types of Institutional / Stakeholders Analysis in Development
Project Evaluation
2.5 Summary
2.6 References/Further Readings/Web Resources
2.7 Possible Answers to Self-Assessment Exercise(s) within the content

2.1 Introduction

This unit explains the concepts and types of data collection/stakeholder analysis in
Development Project Evaluation. It further explains different emerging issues and
perspectives in this area.

2.2 Intended Learning Outcomes (ILOs)

At the end of this unit, you should be able to:

 Identify the different types of data collection methods and explain the situations
for their usefulness.
 Understand their unique application, including their advantages and
disadvantages.
 Understand the Purpose and usefulness of Institutional / Stakeholders Analysis
in Development Project Evaluation.
 Identify the different types of Institutional / Stakeholders Analysis in
Development Project Evaluation.

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 Main Content

Recall that in Unit 1, we established that different types of evaluation have different
applications and purposes. This also applies to the data collection method in evaluation.
There are six to seven basic data collection tools which are (i) Surveys, (ii) Interviews,
(iii) knowledge &skills test, (iv) Focus group discussions, (v) Evaluation forms, (vi)
Onsite-visits and (vii) Direct observations. These tools are applied based on the
situation that best fit their use. They all have their advantages and limitations.

2.3 The Concept and Perspectives of Data Collection in Development Project

Evaluation
As explained above, there are six basic types of evaluation tools required for gathering
the necessary information to answer evaluation questions. When applying these tools, it
is essential to distinguish between tools conducted for the evaluation and those
conducted to support the project's activities. We will now explore, and in-depth look
into the six widely used evaluation data collection tools and summarize how it is used
or applied including their unique advantages or disadvantages:

1.SURVEYS/QUESTIONNAIRES METHOD
A survey is an observation tool that quantifies and compares information. Surveys are
carried out to gather information on the stakeholders' needs and opinions of a program or
project. They can be used in the context of monitoring activities but more often are used
in mid-term and final evaluations to assess expected or occurred changes brought about
by the program/project. Surveys are widely used to collect data on people's satisfaction,
opinion, level of understanding, habits, and behaviours. In most cases, the survey will
target a specific and well-defined group or will refer to a sample representative of a wider
population. The questionnaire is, in most cases, the tool used to collect answers.
(UNFPA, 2009).
Advantages Surveys offer quantified and reliable data and are useful to characterize
and both many stakeholders and a selected and limited target group; they
disadvantages accurately identify changes and outcomes of projects and programs;

122
 they are easy to analyze, quick to carry out, and small-scale survey the
are relatively low cost. However, the downside is that more complex
surveys require extensive resources: pre-existing data, many staff, and
essential logistics.

2.INTERVIEWS METHOD
Interviews consist of predetermined questions designed to obtain in-depth information
about perceptions, experiences, or learning more about responses received through
questionnaires and surveys.
Advantages This method is useful for providing a wide range of information and
and insights from different perspectives in a relatively short time. Moreover,
disadvantages they add credibility when consulting experts as a source of data.
Interviews, though, might be costly when depending on consultants and
bear the risk of potential bias interviewees' responses. The information
gained can be challenging to categorize and interpret.

3.FOCUS GROUP METHOD

To collect general information about an issue from a small group of selected people
through group discussion. Few participants with an everyday background share
experiences and ideas under the guidance of a moderator. This method can also be used to
obtain a consensus view on a particular subject. However, a small group of people cannot
represent all views held by, for example, an organization or community. On the other
hand, if the group is not homogeneous enough, there can be significant disagreement. The
application of Focus group interviews is useful in all development activities: planning,
implementation, monitoring, and evaluation. Additionally, they are used to solicit views,
insights, and recommendations of stakeholders, project staff, customers, technical experts,
or other groups (UNFPA,2009).
Advantages This method can generate focused insights more quickly and generally
and more cheaply than through a series of critical informants or formal
disadvantages social surveys. Focus groups have some limitations, however. The
flexible format makes it susceptible to facilitator bias, which can

123
 undermine the validity and reliability of findings. Discussions can be
side-tracked or dominated by a few vocal individuals. Moreover, focus
group interviews generate relevant qualitative information but no
quantitative data from which generalizations can be made for a whole
population. Finally, information can be difficult to analyze; therefore,
comments should be interpreted in the group setting.

4.DIRECT OBSERVATION METHOD

This tool focuses on observing (not on discussing) project staff, participants, and
beneficiaries' actions and behaviours. Thus, it is essential in evaluating context and
implementation, but its role can be limited in a specific situation where observation might
be inappropriate (too subjective). Observation can be useful, mainly to collect data
indicating behaviours that would not be consciously recognized or obtain information on
topics that would not be openly discussed (UNFPA, 2009).
Advantages These methods have the advantage of showing progress while it is
and occurring and are flexible tools that can be adapted as events happen.
disadvantages When undertaken in collaboration with the local community members,
they are effective participatory approach tools in the transect ten walks.
Observation methods are, though, time and labour intensive and may
encounter privacy-related obstacles. Moreover, they can be too
subjective and difficult to interpret, mainly when the observer does not
use any checklist or observation guide.

5.DESK REVIEW METHOD

The review consists of extracting and analyzing findings from existing literature on a
given situation or the project's progress. Through the project/program documentation, it is
possible to understand the performance's evolution from a historical perspective. For this
type of project, progress-focused reviews are often conducted by internal evaluators who
focus on operational issues. A desk review (desk research) can also gather information
before an in-depth study occurs (or if no budget for such a study), including documents
and historical data. Its purpose is to help build a good understanding of a situation in a

124
given context and its evolution and uncover data gaps. (UNFPA, 2009).
Advantages Reviews of project documents can substitute for a missing baseline
and study and, generally, serve as a starting point for the monitoring and
disadvantages evaluation system because it helps identify critical issues. The major
drawback is that there is a limitation on which documents are available
and accessible. Administrative record keeping is usually an integral part
of someone's work responsibilities and therefore does not require an
additional expense.

6.CASE STUDIES METHOD

Case studies are comprehensive examinations of a situation, comparing different cases to
obtain in-depth quantitative and qualitative information. Events and behaviours are
described in detail with particular attention to the human factor, making case studies more
than mere data collection. They involve a written or filmed account of observations and
answers collected during interviews that provide a complete understanding of a
development program's operational dynamics (UNFPA, 2009).
Advantages Case studies are useful to explore factors that other data collection tools
and do not analyse, but they require considerable time and resources. Also,
disadvantages through case studies yield detailed data, they cannot be generalized to
other cases and, therefore, studies should be used to complement other
methods.

1. Preparing Data for Analysis

After collecting the data and conducting the data analysis, it is necessary to sort and
organize these data, check their accuracy, and develop and document an electronic
database that integrates various codes and measures in a manageable way (UNDP,
2015).. Ensuring data quality and accuracy involves taking quantitative and qualitative
measures, such as checking that all key questions are correctly answered and that the
responses are complete, legible and consistent (Zarinpoush, 2006). Information and
Data on how figures were collected, organized, displayed, sorted, and displayed and
compared are highlighted in analysis plan. This is usually accompanied with the
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statistical method used to analyze or to present them (UNDP, 2015). To ensure Data
quality, validity, reliability and subsequent results, the evaluation group needs to be
involved in all the process.
2. Analysing and Interpreting Data

At this stage of the analysis, the critical steps explain how to analyse the raw data
collected previously and how to correctly interpret the collected Data and then modify
them into finding and results that will be included in the final evaluation report
(Zarinpoush, 2006). Usually, the managers provide guidance using the priority-ranking
matrix to guide selecting the data analysis's highest priority area to commence,
considering the different data types (i.e., quantitative, and qualitative).
3. Evaluation Results/ Interpretation

The interpretation of evaluation results is "the process of connecting the points and
facts identified through data analysis to the purpose and values for conducting the
evaluation"(Zarinpoush, 2006). Interpretation allows transforming data derived from
facts, documents, and feedback into evidence to demonstrate success, failure,
achievements, modifications, and improvements required to the project and can be
applied to future projects. Coming to data interpretation, contributing or hindering
factors or contradictory, harmful, or unexpected findings must be considered and
presented to stakeholders (ibid, 2015). The interpretation process involves using
quantitative and qualitative results to address the evaluation questions, explaining how
the results reflect project achievements and how and why they are not (in case of
negative results) (UNDP, 2015).
SELF ASSESSMENT 1


Explain the meaning of the desk review



2.4 Institutional / Stakeholders Analysis in Development Project Evaluation

Identifying and Engaging Evaluation Stakeholders is a practical and essential process.
The following step is used to identify, analyze, and engage individuals or organizations
interested in and affected by the project, commonly referred to as "Stakeholders"

126
UNFPA (2009). Stakeholders‘ identification involves determining all organizations and
individuals involved and interested in the project evaluation, their interests, their level
of influence and involvement, their needs from and expectations of the evaluation, and
identifying potential evaluation participants' evaluation findings. The most common
way for stakeholder's identification and engagement is to conduct Stakeholder
Analysis (also called Stakeholder Mapping), this involves grouping the identified
stakeholders across a matrix according to their respective influence and interest in the
project. (i) Primary stakeholders in a development project are people or groups
directly involved and affected by the project results, such as project team members,
project participants, funding organizations. In contrast, (ii) Secondary stakeholders
constitutes a groups or people indirectly involved and less affected, such as the
government and associations (UNFPA, 2009). The intent of Stakeholder analysis is to
assist the user understands the different stakeholders properly and to meet their
expectations, concerns, and priorities. Involving stakeholders during the evaluation
facilitates collection of data and supports the improvement of data quality, the process
attests to the credibility of the evidence of the results. If stakeholders are disengaged,
evaluation findings are most likely to be criticized or rejected by key-stakeholders.
Stakeholders can be analysed based on their hierarchy of participation or involvement
in a development project (UNFPA, 2009).
As discussed earlier, stakeholder's analysis is an essential step in the evaluation, and its
usefulness or importance can be summarized based on the five underlisted points:
1) It helps to reduce stakeholders' distrust and fear of evaluation.
2) It increases stakeholders' awareness of and commitment to the evaluation
process.
3) It increases the chances that stakeholders will support an evaluation effort,
advocate for the program, and adhere to subsequent recommendations.
4) It increases the chances that the evaluation findings will be used.
5) It increases the credibility of evaluation findings.

This table below gives you a more complex stakeholder analysis template, combining
the stakeholder project relationship and the level of commitment.
Stakeholders Analysis Template
127
Stakeholders Project Relationship Level of Commitment
Name Title Role Level of impact Level of Content Decision No Let it Help it Make it Strategies for
(H,LM) influence Expert Authority Commitment happen happen happen moving
(H,L,M) (Y/N) (Y/N) commitment
1.
2.

3.

Source: Adapted from Templatelab.com

Diagram 3.5: provides you with a good example of how a stakeholder‘s analysis is
done, using a power and interest factors.

Source: Adapted from heat project.edu

SELF ASSESSMENT 2

 is the most common way of doing stakeholder's identification and

What

engagement?


6.0 Summary

Development Project Evaluation aims to assess the project performance and analyse
achievements and outcomes of developmental interventions by understanding and
examining processes, progress, success, and effectiveness of aid activities. The critical
processes and tools must be applied correctly, and the steps follow to arrive at the

128
desired outcome. Engaging stakeholders throughout the life of a development project
cycle is critical for any development project's success.

The role of development project evaluation and stakeholder analysis in advancing social
development is notable for donors and donor funds recipients. The correct application
of development project evaluation is a powerful way to help stakeholders learn,
demonstrate, and showcase the efforts to make development change happen.

2.5 References/Further Readings

OECD, D. (1991). DAC Assistance Committee: Principles for Evaluation of

Development Assistance.
PMBoK, A. (2000). Guide to the project Management body of knowledge. Project
Management Institute, Pennsylvania USA.
United Nations Development Programme. (2009). Handbook on planning, monitoring
and evaluating for development results. UNDP.
United Nations Environment Programme. Ozone Secretariat. (2006). Handbook for the
Montreal protocol on substances that deplete the ozone layer. UNEP/Earthprint.
United Nations Population Fund. (2009). Annual technical report: 2013: department of
reproductive health and research, including UNDP/UNFPA/WHO/World Bank
Special Programme of Research Training in Human Reproduction (HRP) (No.
WHO/RHR/14.01). World Health Organization.
Zarinpoush, F. (2006). Project evaluation guide for non-profit organizations:
Fundamental methods and steps for conducting project evaluation. Imagine
Canada.

2.6 Possible Answers to SAEs within the Content

Answer to SAE 1

The Desk review consists of extracting and analyzing findings from existing literature
on a given situation or the project's progress. Through the project/program
documentation, it is possible to understand the performance's evolution from a
historical perspective. For this type of project, progress-focused reviews are often
conducted by internal evaluators who focus on operational issues.
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Answer to SAE 2
The most common way for stakeholder's identification and engagement is to conduct
Stakeholder Analysis (also called Stakeholder Mapping), this involves grouping the
identified stakeholders across a matrix according to their respective influence and
interest in the project

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Module 4 - Unit 3: UNDERSTANDING AND APPLYING SOCIAL
IMPACT ASSESSMENT TECHNIQUES
Unit Structure
3.1 Introduction
3.3 Learning Outcomes
3.3 The Concept Social Impact Assessments.
3.4 The Principles of Social Impact Assessments.
3.5 The Types of Social Impact Assessments.
3.6 Why is Social Impact Assessment Important?
3.7 The Processes of Social Impact Assessment
3.8 Summary
3.9 References/Further Readings/Web Resources
3.10 Possible Answers to Self-Assessment Exercise(s) within the content

3.1 Introduction

This unit explains the concepts, principles, values, types, and Social Impact Assessment
(SIA) application in Development Project Evaluation. Our learning focus is on how we
can understand it and apply it appropriately.

3.2 Learning Outcomes

At the end of this unit, you should be able to:

 Understand the concept, principles, and examples of Social Impact Assessment.
 Understand the Purpose, Usefulness of Social impact Assessment.
 Identify the processes and types of social impact Assessment.

Main Content

The emergence of sustainable development has moved the real benefit of development
beyond only economic gains to include social, environmental, and trans-generational
sustainability. Assessing the cumulative impacts of projects helps ensure the balance
between economic, social, environmental, and trans-generational benefits while putting
in measures to minimize the cost. The increase in the demand for a variety of services
and facilities by humanity, which is influenced by technological advancement and rapid
131
population growth, necessitates government and policymakers to respond to their
citizenry's service needs. Implementing programs and projects to meet these needs
normally include development projects such as constructing dams, highways, and
mining activities whose social impact could be either positive or negative. Therefore,
there is the need to assess the impact of these activities during and after their
implementation to minimize the cost to society while maximizing the benefits.
The social impact definition varies according to the types of changes a project or
policy will contribute to the host community and the lives of the community that reside
there. This complexity makes social impact assessment one of the most complicated
type of impact assessment. However, it is also one of the most important types of
assessments (UNDP,2009).
It is imperative, to comprehend how a project or intervention is going to affect the
people's lives and their environment. Irreparable harm or severe unintended
consequences can be brought to the community because a social impact assessment or
an environmental impact assessment was not conducted.

3.3 The Concept of Social Impact Assessment

Before we go deeper into the unit, we need to unpack what social impact means. The
definition is broad, vague, and somewhat inaccessible. There is no clear dictionary
definition of social impact. So, what does it mean? Technically, social impact is how a
project or an organizations' actions affect the surrounding community. More
comprehensively, UNDP defined "social impact" as: "the consequences on people and
communities that can happen as due to the result of an intervention taken when a
project or policy is implemented (UNDP,2009). Going forward, a more acceptable and
standardized definition of a Social Impact Assessment (SIA) is a research process,
planning, and management of social consequences of change (negative or positive)
unintended or intended, arising from plans, policies, or projects (UNEP, 2008). The
core focus is on the critical impacts of projects and developments beyond the impacts
on natural resources.

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3.4 The Types of Social Impact Assessments
There are two basic types of impact assessments with a clear definition and examples
and are closely related. The one we are focused on is directed to people, which is (I)
Social Impact Assessment, and the other is directed toward the environment- (II)
Environmental Impact Assessment. Sometimes they are often used together or
complement each other knowing that people and their environment cannot be separated.
For instance, if a company pollutes a nearby water supply during a construction project,
this scenario will heavily impact the people and the environment they live. Therefore, in
most cases, the impact socially includes the environmental impact as well.

3.5 Principles and Examples of Social Impact

Vanclay (2003) identified seven basics parameters where social impact can be felt:
(i)People's way of life – speaks of how they live, work, play and interact with one
another on a day-to-day basis, (ii) People's culture – refers to their shared beliefs,
customs, values and language or dialect. (iii) Their community – speaking about
stability, cohesion, character, facilities, and services. (iv) The people's political
systems – the extent to which people can participate in decisions that affect their lives,
the level of democratization taking place, and the resources provided for this purpose.
(v) People's health and well-being – speaking of health is a state of complete mental,
physical, spiritual, and social well-being and not merely the absence of infirmity or
diseases. (vi) People's personal and property rights –refers specifically to assessing if
people are economically affected or encountered personal drawbacks which may
include a violation of their civil liberties.
According to the international principles of social impact assessment (III), there are
twelve identified principles governing SIA. However, we will only discuss the six
primary principles in this unit.

Principle-1 A fundamental element of impact assessment and development

planning should include Equity considerations.
Principle-2 Planned interventions and their social impacts are predictable.
Principle-3 It is possible to modify planned interventions to reduce negative

133
 social impacts to enhance positive impacts.
Principle-4 Social Impact Assessment should be a vital part of the development
process and should be included in all the stages from the conception,
implementation up to the final evaluation.
Principle-5 SIA should focus on social sustainable development, contributing to
the determination of best development options-SIA and EIA offer
more than just acting as arbiter between social cost and economic
benefits.
Principle-6 In all planned interventions and their assessments, avenues should be
developed to build the social and human capital of local
communities and strengthen democratic processes.
Source: International Association for Impact Assessment (2018)
We will rap-up this session with a more personalized example of social impact.
Envision you about to renovate your entire house. The project will certainly impact
your friends and family is different ways. Eating take away food for several day will be
an option on the table because you will not have access to a cooking place or
refrigerator. It may mean that you will have to cope with the breaking construction
noise for a while. What is the social impact in this case? Below are some valid
examples of the possible impact of the project on your life and that of your family:
 Your meal budget may have to increase to compensate for takeout.
 Eating habits would have to change.
 More stress will likely be experienced by everyone, due to the loud construction
sound.
 Another, point could be that your family may feel closer because of the
constricting situation.
 Those working from home, will have disruption while using videos and calls
conferences.
 Some family members may feel excited in anticipation for the new kitchen.
 A good example of an unintended consequences may be that your dog can get
lost due because the door was left open

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 SELF ASSESSMENT 1


Explain one principle of Social Impact Assessment



3.6 Why are Social Impact Assessments important?

Social impact assessment is essential because it focuses on the potential impact that the
new project or policy is going to have on a specific community or group of people. The
process of conducting social impact is a detailed one, and by design is meant to inform
the project or policy stakeholders about the inherent negative or positive outcomes the
project can cause to the host community if implemented.
It is essential to use a social impact assessment tool proactively to optimize the most
favorable or beneficial project outcomes for host communities, including other
stakeholders who may be affected as well. The International Association for Impact
Assessment (IAIA) described social impact assessment a "bringing about a more socio-
culturally, economically, ecologically and equitable environment". An organization or
government can cause harm to a community if SIA was not consulted on how it may
impact the community, including the environment.
There are six fundamental reasons why Social Impact assessment is necessary:
1. Promotes Social Justice and Equity: a significant benefit of the SIA process is
allowing the affected populations to understand, participate in and cope with a proposed
action (Burge, 2003). It offers the opportunity to identify the most affected aspects of
the social structure including vulnerable groups and propose mitigation measures to
avoid or minimize the adverse effects.

2. Supports Community Acceptance of Proposed Project: the consultative nature of

the SIA process helps to include the views, interests, and values of the society in the
project implementation, thus helping to build consensus and leading to communal
ownership of the project. According to Finsterbusch (1995), final decision competence
is higher when local knowledge is included and when expert knowledge is publicly
examined.

135
3. Supports the Maximization of Economic and Social Benefits and Minimizes
Environmental Cost: The analysis of the causes, linkages, and eventual identification
of SIA helps identify potential benefits and costs. This serves as an essential basis for
policy decision-making and strategizing to maximize benefits. It also ensures the
equitable distribution of benefits and putting measures in place to address social costs.
Burdge & Vanclay (1996) corroborated that SIA is normally undertaken within the
relevant national environmental policy framework, and the process and methodology
can contribute significantly to the planning process.

4. Enhances Planned Intervention through Local Knowledge and Experiences:

People living in an area are usually the first to notice any change in their surroundings,
thus making the community an essential source of information (Brouwer & Remco,
2001). The consultation process helps to tap local knowledge on community values,
interests, culture. Reviewing SIA: Importance, Approach, Challenges ... histories which
could not have been found in any library.

5. Supports the Protection of Vulnerable Groups and Areas: The emphasis of SIA
is now on involving those who are affected by a proposal in the analysis of impacts and
identification of appropriate mitigation strategies (Buchan, 2003). This helps to identify
the disadvantaged in the society who will be adversely affected by the implementation
of proposed projects and mitigation measures put in place to help avoid or minimize the
impacts on them.
6. Enhanced Planned Intervention through Local Knowledge and Experiences:
People living in an area usually are the first to notice any change in their surroundings,
thus making the community an essential source of information (Brouwer & Remco van
Ek, 2004). The consultation process helps tap local knowledge on community values,
interests, culture, Approach, Importance, challenges, histories, and other social capital
that could not have been found in any library.

3.7 The Processes of Social Impact assessment

136
Now that you have known the importance and benefit of SIA, we will look at SIA's
categories and processes. Generally, Social impacts can happen in several ways, that is
why SIA typically uses categorization to group different types of social impacts. The
Social impact categories are (i) Community and institutional structures, (ii) Population
characteristics, (iii) Political and social resources, (iv) Individual and family changes,
(v) Community resources. We will be expanding in detail on these five categories of
social impact assessment in the table below:

S/N Categories Explanation of the category

1. Community This category is a social impact assessment example that includes

and industrial diversification in an area, the level of organization of a
Institutional local government, non-profit organizations, religious organizations,
Structures political structures, and how different community organizations
relate to each other.
2. Population This social impact assessment category incorporates the impacts to
Characterist the host community, racial and ethnic, including any to their
ics changes to temporal or seasonal residents.

3. Social and In the creating of social impact and environmental assessment

Political questionnaires, the category of impact directly relates to the most
Resources dominant power or authority in the community including the
distribution of power. Under this category, we find leadership
capacity and capability, as well as the power dynamics or
relationship between the people and power authorities.
4. Individual Individual and family changes include impacts on the daily life of
and Family the people in the area being assessed. This category can include a
Changes wide variety of different impacts such as Attitudes(i)Perceptions,
(ii) Family characteristics, (iii) Friendship networks, (iv) Health &
Safety, (v) Risk perception, (vi) Employment, (vii) Conveniences.
5. Community As we discussed earlier, the definition of social impact assessment

137
 Resources often includes environmental assessment. This is the category to put
any environmental impacts of a project. Community resources
include several types of impacts, such as (i)Natural resource and
land use, (ii) Availability of housing, (iii) Availability of community
services (police, fire, sanitation, health), (iv) Cultural and historical
resources.
Source: International Association for Impact Assessment (2018)

The table below highlights the necessary processes for conducting an effective SIA
Steps.
Steps Description of SIA processes
Step-1 Stakeholders group identification and communities impacted by the
project.

Step-2 Collect baseline data covering critical social issues of the impacted
communities such as community history, indigenous communities, culture,
and critical happenings that have altered social and economic development,
the influence of key industries past or present, including the vulnerabilities
or pressures experienced by these industry sectors.
Step-3 Provision of an overview of government legislation and policies that
complement the mitigation measures for social impacts directly related to
the project.
Step-4 Explanation of the methods used to collect information, including a
description of how the host communities were entreated and engaged during
the SIA process.
Step-5 Identification of potential direct social impacts and prediction of the
significance of any impacts and duration and extent of each impact.
Step-6 List proposed mitigation measures.
Step-7 Description of the monitoring framework that informs stakeholders on the
progress of implementing mitigation measures and overall project
implementations.

138
Source: International Association for Impact Assessment (2018) (UNEP, 2008).

The schema below describes the intersecting phases of the Social/ Economic &
Environmental domain NB: The goal of all Development Projects should be sustainable
social development.

SELF ASSESSMENT 1

 is the essence of baseline in SIA?

What



3.8 Summary

Social Impact Assessment is used to identify and manage the social impacts of
development projects. It enhances positive benefits as well as to mitigate adverse
effects. The good practice is to integrate environmental and social assessments. Other
assessment types, such as cultural, health, and human rights impact assessments, may
also be employed.

SIA's complex human-cantered nature requires a combination of quantitative or

qualitative methods based on the issues under consideration. SIA's real benefit can only
be realized if the process is done well through all stakeholders' commitment to deal
with the proposed project implementation's social aspects. It is imperative to reiterate
the point, that the goal of all projects should be sustainable social development.

139
 3.9 References/Further Readings

Barrow C.J. (2002): Evaluating the Social Impacts of Environmental Change and the
Environmental Impacts of Social Change: An Introductory Review of Social
Impact Assessment, International Journal of Environmental Studies, Vol. 59, pp.
185-195
Baxter W., W. A. Ross & H. Spaling (2001): Improving the Practice of Cumulative
Effects Assessment in Canada, Impact Assessment and Project Appraisal, Vol.
19, pp. 253-262 3.
Belfiore E. (2002): Art as a Means of Alleviating Social Exclusion: Does it Work? A
Critique of Instrumental Cultural Policies and Social Impact Studies in the U.K.,
International Journal of Cultural Policy, Vol. 8, pp. 91-106 4.
Berkhouta F., J. Hertin & A. Jordan (2002): Socio-economic Futures in Climate change
Impact Assessment: Using Scenarios as 'Learning Machines' Global
Environmental Change, Vol. 12, pp. 83–95 5.
Brouwer R. & R. Van Ek (2004) Integrated ecological, economic and social impact
assessment of alternative flood control policies in the Netherlands Ecological
Economics, Vol. 50, pp. 1– 21 Stephen Appiah Takyi 233 6.
Buchan D. (2003): Buy-in and social capital: by-products of social impact assessment,
Impact Assessment and Project Appraisal, Vol. 21, pp. 168-172 7.
Buttel F.H. (1987): New Directions in Environmental Sociology Annual Review of
Sociology, Vol. 13, pp. 465-488 8. Burdge R.J & F. Vanclay (1996): social
impact assessment: a contribution to the state-of-the-art series, Impact
Assessment, Vol. 14, pp. 59-86 9.
Burdge R. J. (2003): Benefiting from the practice of social impact assessment, Impact
Assessment, and Project Appraisal, Vol. 21, pp. 225-229 10.
Finsterbusch K. (1995): In Praise of SIA — A Personal Review of the Field of Social
Impact Assessment: Feasibility, Justification, History, Methods, Issues, Impact
Assessment, Vol. 13, pp. 229-252.
Vanclay F. (2003). International principles for social impact assessment. Impact
Assessment and Project Appraisal 21(1), 5–11.
United Nations Environment Programme. Ozone Secretariat. (2006). Handbook for the
Montreal protocol on substances that deplete the ozone layer. UNEP/Earthprint.

3.10 Possible Answers to SAEs within Content

Answer to SAE 1
Principle 4 - Social Impact Assessment should be a vital part of the development process
and should be included in all the stages from the conception, implementation up to the final
evaluation.

Answer to SAE 2
The essence of the baseline is to collect relevant information on the community such as
community history, indigenous communities, culture, and critical happenings that have altered
social and economic development, the influence of key industries past or present, including the
vulnerabilities or pressures experienced by these industry sectors.
140
Module 4 - Unit 4: REPORTING SOCIAL IMPACT ASSESSMENT
OUTCOMES TO DONORS, STAKEHOLDERS

Unit Structure
4.1 Introduction
4.2 Learning Outcomes
4.3 Strategy for Communications and Reporting to Stakeholders.
4.4 Content, Structure, and consideration for SIA Evaluation Reports.
4.5 Considerations for ensuring to an SIA report is of good quality
4.6 Engagement of Stakeholders to Review the Results.
4.7 Dissemination of SIA Outcome Results.
4.8 Summary
4.9 References/Further Readings/Web Resources
4.10 Possible Answers to Self-Assessment Exercise(s) within the content

4.1 Introduction

This is the last unit in this module, and we will be unpacking how to engage
stakeholders and report the result of a Social Impact development project evaluation.
The process and style of reporting the evaluation outcome are usually structured, and it
depends on the type of audience that the report will be disseminated.

4.2 Learning Outcomes

At the end of this unit, you should be able to:

 Understand what Social Impact Reporting (SIA) is.
 Understand how to engage stakeholders and disseminate the result.
 Understand the Structure and content of an SIA outcome report.
 Visualize how a Social Impact Assessment Report looks like.

Main Content

Communicating or reporting Social Impact Evaluation of a development project to

external and internal stakeholders. Social Impact Evaluation is a valuable tool to
improve current and future projects and decision-making process, but it also assists in
141
raising awareness about the promotion of accountability and transparency measures.
Similarly, this process helps to increase public trust and the potential funding and to
raise more money. Anytime a new project or policy change will impact a group of
people in a community, it is necessary to undertake a social impacts assessment. Most
importantly, the report needs to be systematically communicated or reported to all
stakeholders. These assessments and reports reveal the positive or negative social
impacts on the community and individuals who live and work there.
Social impact assessment outcome reports shape project dimensions to reduce or
mitigate potential negative outcomes. SIA's goal is to ensure equality for all
stakeholders, promote positive outcomes, and support the reduction of negative ones.
parameters (Interorganizational Committee,1995).

4.3 Strategy for Communications and Reporting to Stakeholders

The first step in communicating SIA evaluation findings is to deliberate and select the
most effective communication strategy to reach the desired target audience. This
entails presenting the appropriate result in a language and manner appropriate for the
public and the professional community or international donors. (Walker &
Johnston,1999). SIA outcome can be communicated as an Evaluation Executive
Summary, where long evaluation reports include an executive summary covering the
highlights of the content, providing a brief of the summary without saturating the reader
with technical details. Sometimes it is published as a one-pager report on the
organization's online portal or website (UNDP, 2009).

Therefore, SIA results/ findings need to be presented in a simple format that makes it
easy for the intended audience to comprehend considering their preferences and
interests, excluding technical terms as much as possible. It is important to note that
different stakeholders(donors) have different SIA reporting styles and Structures, and it
is necessary that the SIA conducted follows the different stakeholders 'guidelines. It is
imperative to mention that the stakeholders we are referring to here do not just
represent the Donors or international community alone but also the local community
who are direct beneficiaries of the project.

142
A more simplified version of the SIA report may be necessary for the comprehension of
the local community. A good example is to have the report synthesized into the locals'
major local language or ensure a local interpreter is available to step down the
communication to the locals.

Example of SIA template

The table below describes the inputs in a Social Impact Assessment Report
Description of impact Impact: Level of Impact Level of Project stage Type of
positive impact? reversable certainty when impact Impact
or or about will happen
negative? permanent? impact
Improved relationship between Positive Mild Reversible Strong Decommissioning Regional
government and non-profit certainty
organizations
More diversity in the region due Positive High Permanent Some Operational / Country
to financial & other assistance certainty Maintenance
More support during economic Negative Low Reversible Low Construction/ City
downturn certainty implementation
Loss of business due to road Negative High Reversible Strong Construction/ Neighbourhood
blockage certainty implementation
Source: (Interorganizational Committee,1995):

SELF ASSESSMENT 1

 is the first step in communicating SIA evaluation findings?

What



4.4 Content, Structure, and consideration for SIA Evaluation Reports.

There are different types of formats for reporting an SIA evaluation. Most reports
usually include a description of the project as a summary, the agreed project objectives
and activities, the type and purpose of the evaluation, the evaluation group, and the
agreed evaluation questions, the evaluation methodology applied, a description of the
methods/tools, findings of the evaluation, the evaluation recommendations, and
conclusions (Walker & Johnston,1999). An evaluation report should be structured,
organized, and straightforward to make it easy for the reader to navigate through and
understand the content. It often involves using charts, bar graphs, and other analytics to
present the data from a socio-economic impact assessment in a meaningful way.

143
Using an automated analysis platform, i.e., Some Social Impact Assessment Tool, is
already automated, thus saves you considerable time because all those analytics are
created for you automatically.
Table below describes the SIA Reporting Structure
Reporting Structure Description of function
Executive Summary A short statement of critical issues and findings.

Expert Review A general introduction to the report is making the purpose of

the report clear, perhaps including a short general statement
Statement
about how the document connects to SIA literature/philosophy.
Introduction A letter/report from an expert or peer reviewer (or perhaps a
joint statement if there were several reviewers) to indicate how
the review was conducted, what constraints applied to the
reviewers, and any comments, concerns, and recommendations
of the reviewers.
Project Summary A good description of the project and all ancillary activities so
that readers can get a sense of the project. Where project
alternatives or options exist, they could be explained here.
Methodology A statement about the SIA's overall design, what methods
were used, what community engagement processes were used,
and how ethical issues were considered and addressed. Perhaps
definitions and a discussion of key concepts.
Community Profile and If an extended community profile and social baseline are to be
Social Baseline included as appendices, then include a summary of key
characteristics and key stakeholder groups here; alternatively,
include the community profile and baseline data.
Scoping Report A statement of all potential social impacts considered in the
assessment phase. The disposition of each impact considered
should be made clear.
Prioritized Listing of This is a listing of the residual impacts with a discussion of
how different stakeholders are affected.
Key Social Impacts

Mitigation & A list of mitigation and other management measures to address

social issues should be provided. There should be costing and
Management Measures
timeframe for implementation for proposed mitigation
(Summary) measures.

Monitoring Plan and A plan for how monitoring will be undertaken – what will be
monitored, how monitored, how often, and who is responsible.
Contingency Plan

144
Benefit Statement This statement of the possible project benefits the local
communities, including all proposed social investment actions
and local content, and local procurement strategies.
Ongoing Community A description of the intended ongoing community engagement
processes. A description of what grievance mechanisms will
Engagement Strategy
be provided and what processes will be used for managing
and Grievance grievances.
Mechanisms
References A list of all references used in the report and any key
references that informed the SIA research design.
Source: (Interorganizational Committee,1995)

4.5 Considerations for ensuring to an SIA report is of good quality: the following
five recommendation are critical in ensuring that a SIA report is of good quality.
 Actionable recommendations: the report recommendations should be linked
with resolving identified findings. The report must have practical and
implementable recommendations.
 Critical stakeholders' participation & inputs: the report must have evidence
of participation & inputs of all critical stakeholders.
 Impartial reporting: the views of all major stakeholders should be reflected
impartially. Good evaluations do not take sides – their purpose is to promote
learning and accountability, not blame and criticism. The report findings must be
evidence-based and verifiable.
 A clear statement of limitations: all evaluations have some limitations, perhaps
regarding scope, coverage, depth of analysis, time or resource constraints, lack
of adequate baseline data. These limitations should be made clear.
 Justified conclusions: data should logically lead to conclusions, and these
conclusions should logically lead to recommendations, if any are included in the
report. (Lockie, 2001).

SELF ASSESSMENT 2

 is the project summary?

What



145
4.6 Engagement of Stakeholders to Review the Results.
The sharing of the assessment findings before it is published helps to get additional
viewpoints and perspectives about the content and structure of the report and allows
organization officials or policymakers to realize and digest the findings, consider their
implications, and prepare responses if necessary (Barrow, 2002).

4.7 Dissemination of SIA Outcome Results.

This is the last step in our discussion on the Development project evaluation process,
where results are disseminated to formal and inform external stakeholders or the
broader community about the evaluation results or outcome. SIA dissemination style
includes the use of creative methods, such as media packages (e.g., press conference,
press release, local newspapers, websites, organization's websites, news releases, and
other organization's newsletters), oral presentations, visual displays, presentations to
selected groups, i.e., donors, interim reports and informal conversations and oral
presentations (Barrow, 2002).

4.8 Summary

In closing, Social Impact Assessment reports and project development processes are
expected to meet reasonable transparency standards. The need to clearly show how the
community engagement was undertaken has influenced the SIA in terms of results,
conclusions, and approach is critical. Finally, every SIA report should be publicly
available in appropriate languages to ensure that everyone, including locals, have
access.

Social Impact Assessment manages all social issues associated with a development
project. To be effective, the management of social issues needs to start from the
moment a project is first conceived right through to well after the project's closure and
reporting of the outcomes. The critical quality check must be complied with to ensure
an SIA reports are of a good standard and acceptable to all concerned.
146
 4.9 References/Further Readings
Barrow C.J. (2002). Evaluating the Social Impacts of Environmental Change and the
Environmental Impacts of Social Change: 8An Introductory Review of Social
Impact Assessment, International Journal of Environmental Studies, Vol. 59, pp.
185-195.
Franks, D. M., & Vanclay, F. (2013). Social Impact Management Plans: Innovation in
corporate and public policy. Environmental impact assessment review, 43, 40-
48.
Goldman, L. R. (Ed.). (2020). Social impact analysis: an applied anthropology manual.
Routledge.
João, E., Vanclay, F., & den Broeder, L. (2011). Emphasizing enhancement in all forms
of impact assessment: introduction to a special issue. Impact Assessment and
Project Appraisal, 29(3), 170-180.
The Interorganizational Committee on Principles and Guidelines for Social Impact
Assessment (2003): Principles and Guidelines for Social Impact Assessment in
the USA Impact Assessment and Project Appraisal, Vol. 21, pp 231–250.
The Interorganizational Committee (1995): Guidelines and Principles for Social Impact
Assessment, Environmental Impact Assessment Review, Vol. 15, pp. 1 I-43.
Lockie S. (2001): SIA in review: setting the agenda for impact assessment in the 21st
century, Impact Assessment and Project Appraisal, Vol. 19, pp. 277-287.

4.10 Possible Answers to SAEs within Content

Answer to SAE 1
The first step in communicating SIA evaluation findings is to deliberate and select the most
effective communication strategy to reach the desired target audience.

Answer to SAE 2
The project summary is a good description of the project and all ancillary activities so that
readers can get a sense of the project. Where project alternatives or options exist, they could be
explained here

147