Dilla University Department of Sociology Project Design and Management

SECTION ONE

UNDERSTANIDNG COMMUNITY PARTICIPATION IN DEVELOPMENT PROJECTS

It is now accepted that the active participation of target community members at ALL stages in
the development project/program cycle is essential for building local capacities, promoting sense
of project/program ownership and crucially, achieving project/program sustainability.

Community participation is central to sustainable development projects/programs. Unlike

traditional development efforts which emphasized the transfer of knowledge, message or content
preselected by outside specialists; the participatory approach, often known as learner-centered,
focused more on the development of human capacities. By actively engaging people from the
start in problem-solving activities (i.e., in need assessment, action-planning, resource
management, evaluation…) it is argued; projects/programs can truly begin to correspond to
people’s priorities and benefit from their willingness to use them effectively and maintain them
in good order.

1.1 Definition and meaning of community participation

Participation is a rich concept that varies with its application and definition. The way
participation is defined also depends on the context in which it occurs. For some, it is a matter of
principle; for others, practice; for still others, an end in itself.

Often the term participation is modified with adjectives, resulting in terms of such as community
participation, citizen participation, people’s participation, public participation, and popular
participation. The Oxford English Dictionary defines participation as “to have a share in” or “to
take part in”, thereby emphasizing the rights of individuals and the choices that they make in
order to participate.

Brager, Specht, and Torczyner (1987) defined participation as a means to educate citizens and to
increase their competence. It is a vehicle for influencing decisions that affect the lives of citizens
and an avenue for transferring political power.

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Armitage (1988) defined community participation as a process by which citizen act in response
to public concerns, voice their opinions about decisions that affect them, and take responsibility
for changes to their community.

Westergaard (1986) defined participation as “collective efforts to increase and exercise control
over resources and institutions on the part of groups and movements of those hitherto excluded
from control”. This definition points toward a mechanism for ensuring community participation.

The World Bank’s Learning Group on Participatory Development (1995) defines participation as
“a process through which stakeholders influence and share control over development initiatives,
and the decisions and resources which affect them”.

1.2 Community participation and development

Community participation and development are inseparable. The community development

approach emphasizes self-help, the democratic process, and local leadership in development
projects/programs. Most community development work involves the participation of the
communities or beneficiaries involved. Community participation is an important component of
community development and reflects a grassroots or bottom-up approach to problem solving.

One of the major aims of community development is to encourage participation of the

community as a whole. That is why UN (1963); Vaugham (1972); Darby and Morris (1975); and
Rahman (1990) defined community development as “a social process resulting from community
participation”. Through, community participation, a broad cross-section of the community is
encouraged to identify and articulate their own methods of change, and pool their resources in
the problem-solving process.

The most important and complicated issue bearing on local level planning and development is
thus, community participation. In addition to economic development, effective community
participation may also lead to social and personal empowerment, sociopolitical transformation
and environmental sustainability (Kaufman and Alfonso, 1997). Yet there are obstacles: the

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power of central bureaucracies, the lack of local skills and organizational experience, social
divisions, and the impact of national and transnational structures.

1.3 Elements of effective community participation

During the development decade of the 1960, self-reliance and self-help projects became the order
of the day. It is evident from the above discussions that participation as it relates to development
is a process that includes a set of activities and takes place through different stages. This section
describes what constitutes essential elements of effective community participation. The
definitions, approaches, and the various literatures on participation suggests participation in
development projects needs to be understood based on the following elements.

Stakeholders Identification and Analysis

Stakeholder refers to individuals or groups who: (a) are affected or likely to be affected by the
project (project-affected parties); and (b) may have an interest in the project (other interested
parties).
The design and implementation of development project requires engagement with stakeholders
throughout the project life cycle, commencing such engagement as early as possible in the
project development process and in a timeframe that enables meaningful consultations with
stakeholders on project design. The nature, scope and frequency of stakeholder engagement will
be proportionate to the nature and scale of the project and its potential risks and impacts.
Development project requires identification of the different stakeholders, both project-affected
parties and other interested parties. Individuals or groups that are affected or likely to be affected
by the project will be identified as ‘project affected parties’ and other individuals or groups that
may have an interest in the project will be identified as ‘other interested parties’.
The public involvement of stakeholders in development projects is widely recognized as a
fundamental element of the process. Timely, well-planned, and well-implemented public
involvement programs have contributed to the successful design, implementation, operation, and
management of development proposals (UNEP, 1996). For instance, the range of stakeholders
involved in an Environmental Impact Assessment project typically includes:

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• The people, individuals, or groups in the local community

• The proponent and other project beneficiaries

• Government agencies

• Non-governmental organizations (NGOs)

• Others, such as donors, the private sectors, academics, and so forth

Stakeholder engagement plan (SEP) and analysis requires to undertake a process of meaningful
consultation in a manner that provides stakeholders with opportunities to express their views on
project risks, impacts, and mitigation measures, and allows the funding and implementing
organizations to consider and respond to them. Meaningful consultation will be carried out on an
ongoing basis as the nature of issues, impacts and opportunities evolves. Meaningful consultation
is a two-way process, that:
(a) Begins early in the project planning process to gather initial views on the project proposal
and inform project design;
(b) Encourages stakeholder feedback, particularly as a way of informing project design and
engagement by stakeholders in the identification and mitigation of environmental and
social risks and impacts;
(c) Continues on an ongoing basis, as risks and impacts arise;
(d) Is based on the prior disclosure and dissemination of relevant, transparent, objective,
meaningful and easily accessible information in a timeframe that enables meaningful
consultations with stakeholders in a culturally appropriate format, in relevant local
language(s) and is understandable to stakeholders;
(e) Considers and responds to feedback;
(f) Supports active and inclusive engagement with project-affected parties; and
(g) Is free of external manipulation, interference, coercion, discrimination, and intimidation;

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Needs identification and goal determination

Participation of the masses in development activities implies enhanced capacity to perceive their
own needs. Through participation, local people identify their needs as well as the relevant goals
of a program. By participating in decision making and implementation activities, local people
help project officials identify (1) needs, (2) strategies to meet those needs, and (3) the necessary
resources required to implement the various strategies (Yadama, 1995). For example, community
participation will be discouraged if environmental issues are given priority in agendas without
addressing issues such poverty, homelessness, health, and other basic necessities perceived to be
more important by the coastal communities.

Information dissemination

This is a one-way flow of information from the proponent of the development project to the
public. The proponent should provide sufficient and relevant information about the project such
as the benefits of the project to the beneficiaries, the costs of implementation, the potential for
financing and implementation, and possible risk factors. The proponent must allow sufficient
time for individual to read and discuss the information provided, and listen to the views held by
individuals as well as to issues and problems. Lack of transparency often fosters mistrust and
misunderstanding between project authorities and local communities (UNEP, 1996).

Consultation

Consultation involves inviting people’s views on the proposed actions and engaging them in a
dialogue. It is a two-way flow of information between the project proponent and the public.
Consultation provides opportunities for the public to express their views on the project proposal
initiated by the project proponent. Rigorous planning and implementation of projects should be
undertaken only after considerable discussion and consultation. Consultation includes education,
information sharing and negotiation, with the goal being a better decision making process
through organizations consulting the general public. This process allows neglected people to hear
and have a voice in future undertakings. Depending on the project, various methods/strategies
are used in conducting public consultation such as public hearings, public meetings, general
public information meetings, informal small group meetings, public displays, field trips, site

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visits, letter requests for comments, material for mass media, and response to public inquiries.
The knowledge of local people should be recognized and they should be enrolled as experts in
designing development projects. Participants should be encouraged to articulate their ideas and
the design of the project should be based on such ideas (Becker, 1997).

Genuine interests

Participation depends on people’s legitimate interests in the project or development activities.

Therefore, participation needs to be considered as an active process, meaning that the person or
group in question takes initiatives and asserts an independent role (Chowdhury, 1996).

Public involvement in decision making

The project should encourage a maximum number of people in the participation of development
projects. Such involvement should give the participants full inclusion in designing, organizing,
and implementing activities and workshops in order to create consensus, ownership, and action
in support of the project. It should include people and groups rather than exclude any individuals.
Public involvement is a process for involving the public in the decision making of an
organization (Becker, 1997). Participation actually brings the public into the decision-making
process.

Accountability

The requirement of accountability applies to all parties involved in the project, such as project
management, external organizers, and community leaders (Adnan, Barret, Alam, and Brustinow,
1992). The authors also note that agencies involved in project management and implementation
should procedurally and periodically answerable to the people in the project area, as well as the
citizens of the country in general. All people should be aware of their roles in the project and the
planning of activities of the project. Accountability of concerned community members must be
ensured, particularly after the decision is taken.

Repeated interaction

Often there is interaction at the beginning of the project but no dialogue or any other form of
interaction occurs during the project. This ultimately creates a big gap between the proponents of

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the development projects and the communities. Consequently, the local people abandon a project
based on such an idea. Therefore, it is suggested that there should be ongoing communication
throughout the project period.

Ownership and control

Participation plays a major role in people’s management of their own affairs. Ownership and
control of resources have a profound impact on participation in development projects (Mathbor,
1990b). Ferrer (1988) emphasized four areas to be worked toward in a participatory coastal
resource management program: greater economic and social equality, better access to services
for all, greater participation in decision making, and deeper involvement in the organizing
process resulting from the empowerment of people.

Sharing benefits

It is evident that without sharing the benefits of the project, participation is a frustrating process
for the poorer people. Zachariah and Sooryamoorthy (1994) note that there should be a fair and
equitable distribution of benefits, as well as redistribution of goods and services, to enable poorer
to get a fairer share of society’s wealth and to participate fully in the development process.

Partnerships

Partnership in development processes allows stakeholders to work, talk and solve problems with
communities. Instead of demonstrating the relationship as a worker-client tie, the parties
involved should agree on working in partnerships. An expression used by the Latin American
activists to describe their relationship with the people (communities, groups) with whom they are
working is accompanamiento, or “accompanying the process” (Wilson and Whitmore, 1997).
They identified a set of principles for collaboration in a variety of settings and situations. These
include nonintrusive collaboration, mutual trust and respect, a common analysis of what the
problem is, a commitment to solidarity, equality in the relationship, an explicit focus on process,
and the importance of language.

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Environmental legislation

The environment is considered as an integral part of development, since any impacts on an

individual’s environment also impacts on well-being or welfare. It had been shown that the lack
of environmental legislation in developing countries limits environmental protection (Kakonge,
1996). This ultimately creates considerable environmental problems in the name of development
in third world countries. Therefore, lack of legislation to protect human rights as well as the
environment may impede public participation in development projects.

1.4 Strategies to promote effective community participation

Achieving community participation in the light of above discussed elements is not an easy task.
Much has to be done to secure effective community participation. Some of the strategies to
promote effective community participation include:

Critical awareness: -

• Helping people to overcome feelings of negative attitudes towards themselves and their
situation, and enabling them to discover their capacity to change and direct their lives

Building trust and confidence: -

• Working towards solving felt needs

• Creation of trust so that the people believe the implementing agency’s personnel know
enough to competently help them and are working for the people’s benefits (rather than to
cheat or manipulate them)

• No false promise!!!

Working towards early recognizable success as it: -

• Can attract the highly concerned leaders

• Helps to win community trust

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• Can overcome hopelessness and convince the people that they are capable of solving their
own problems

• Create enthusiasm

• Programs must start as small and simple as possible while still capable of producing
recognizable successes early on. Expansion should come only as beneficiaries become
enthusiastic and capable enough to take over

• Don’t try to meet all of the people’s needs. An attempt to address all of the expressed needs
will result in too early expansion, creation of large and complex programs too quickly, over
stretching of resources and inefficiency

• Develop a clear exit strategy: from the very beginning, every activity should be organized in
such a way that the community will learn how to manage and sustain the program.

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SECTION TWO

PROJECT CYCLE MANAGEMENT (PCM)

Before presenting the different steps in project design, this chapter will briefly introduce you to
the project cycle management (PCM) and its different phases, and provide you with key
definitions and references for starting any development project as well.

Understanding project management requires an understanding of basic concepts such as project,

program and planning. After a brief description on each of these concepts, the chapter moves to
the discussion of project cycle management (PCM).

1.1 Projects and Programs

The distinction between a project and program is not always clear-cut since many characteristics
are common to both activities.

What is a project?

There is no universally accepted meaning about what project is. Thus, project can be defined in
so many different ways. For the purpose of this course, we can define a project as ‘a discrete
package of investments, policies and activities designed to achieve a specific objective or set of
objectives within a limited period, with a given budget’.

As can be noted from the definition, the important characteristics of projects are that they involve
capital investment over a limited time-frame. Over that period, projects create assets, systems,
schemes or institutions, which continue in operation and yield a flow of benefits after the project
has been completed. For instance, once an irrigation project has been completed (through the
commitment of investment resources such as money, skills, equipment and materials), it creates a
system, which is operated to supply irrigation water to its customers on a continuing basis.

Specific features of a project include the following:

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• The starting point of a project is the existence of a problem affecting a certain group or
community.

• A project has specific objective (s) to be realized; often intended to bring about benefits

• A project has clear set of activities and outputs

• A project is time bound: has specific starting and ending points

• Project involves investment (financial, human, material/equipment)

• A project has a specific activity with a life span within a given geographical space

• A project is a planned undertaking

• A project defines actors and specific clientele (target group)

• A project is an undertaking with a boundary around it (temporally, spatially and socially

bounded) and exists within a system surrounding it and affecting its activities as well as its
short term and long-term results

• A project is often leads to changes that persist and spread beyond the project boundaries

• A project is a participatory exercise from beginning to tend.

• Sustainable projects are gender-sensitive.

• A well defined project is results-based.

• Each project has a specific management structure.

• A project has to be sustainable. When we say that projects must be sustainable, we refer to
content, resource use, size, impact on the environment, and finance. The core elements of
sustainability are: social sustainability, financial sustainability, institutional sustainability, and
environmental sustainability.

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What is a Program?

As it is mentioned above the distinction between project and program is not always clear-cut. A
project large enough in time, scope or cost may often be called a program. Integrated agricultural
development programs are a case in point.

Generally, however, the important distinction is that programs are diverse sets of activities, over
a long period, designed to attain certain objectives; while projects have a defined starting and
finishing time. Projects also tend to be location-specific. Development projects are often the
constituent parts and activities of programs.

A program can be ongoing investment or service, such as malaria control, which is not time-
bound. It can also be a collection of projects such as rural roads, built up from a number of
project components. Program is used synonymously with a development plan. On the other hand,
project is the smallest operational element prepared and implemented as a separate entity in a
national plan or program (e.g. rural/agricultural development). It is being used as a ‘time slice’ of
a long-term for a region, community or a function (e.g., agricultural extension).

1.2 Projects and Plans

Planning can be defined as follows:

• Planning is the determination of the goals and objectives of an organization and the selection,
through a systematic consideration of alternatives of the policies, projects and procedures for
achieving them

• Planning is a formalized attitude (and process) that involves selecting a rational course of
collective action to achieve a future of affaires. It includes gathering and analyzing
information, assessing the present state, setting goals, developing budgets, making decision,
and acting

• Planning is an activity devoted to clearly identifying, defining, and determining courses of

action necessary to achieve predetermined goals and objectives

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Project provides an important means by which an investment and other development

expenditures foreseen in plans can be clarified and realized. Projects are part of an overall
development strategy and a broader planning process. Thus, effective project preparation and
analysis must be set in the framework of a broader development plan. Sound development plans
require good projects, just as good project require sound planning, i.e., the two are
interdependent.

Project planning is an important mechanism for ‘packing’ a set of public investment whether
from aid or domestic resources. Projects are meant to be framed within a sound macro-economic
policy structure plus a sector or sub-sector program plan.

3.3. The Meaning of Project Cycle Management

• Project cycle management (PCM) is the term given to the process of planning and managing
projects and programs. It incorporates two important ideas: the concept of a project
proceeding through various stages from planning to evaluation, forming an identifiable cycle
of development; and, secondly, the need for management of the project cycle through all its
various stages.

• Project management cycle is about managing a project at all stages of its ‘life cycle’.
Managing means structuring social processes in order to achieve a predetermined objective.
Management is broken down into separate functions in order to describe the full range of the
structuring tasks involved. The chief functions are: planning, decision making, motivating,
organizing, steering, monitoring and reporting/informing. These functions, and the resultant
tasks, must be performed by project managers regularly throughout the project life cycle.

Key concepts have been identified by PCM practitioners to improve the quality of judgment and
decision-making at all stages of the project cycle. These key concepts are:

Relevance: are the project proposals relevant to the problem it is designed to address and to
the beneficiaries?

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Feasibility: can the project idea be realized in practice, form social, economic, technical,
environmental, political, and institutional factors point of view?

Sustainability: to what degree will the assets (physical structures, institutional systems)
created by the project continue to produce benefits after project funding is completed?

These three criteria are important measures of the quality of the project. They should inform
judgments and decision of managers and advisors, not only during the planning stage, but also
during the project cycle when amendments and course corrections are indicated.

3.4. The Project Cycle

The idea of development projects as the time-bound creation of physical assets led, in turn, to the
recognition of phases within the project process and from there to the concept of project cycle.
Many versions of the project cycle have been produced; all of them having the idea that project
go through a number of clearly defined stages in the process of their establishment.

Whatever their differences, models of the project cycle consist of all or most of the following
important stages: programming, identification, formulation (or preparation), appraisal,
implementation and evaluation. We will look at the highlights of each stage in the following
paragraphs.

1. Programming

The purpose of the programming stage is to assess whether, and in what form, development
assistance (NGOs, multi-lateral or bi-lateral agencies) should be considered for a country, region,
or district, and identifies opportunity for external support.

Programming analyses current needs and policies. In doing so, it provides an opportunity to
review national, regional and local factors relating to, for example agriculture, and the policy and
operational context for agriculture-related development cooperation. During this phase, priorities
will be identified for potential agriculture-related activities within the wider context of national

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development objectives, indicating which focus area (s) are most in need of support. (Please note
that some development agencies combine programming activities with identification phase).

2. Identification

Identification is the stage at which the project is defined as an idea or possibility worthy of
further investigation and study. It is about finding potential projects from many sources. Project
ideas (potential projects) often result from the identification of:

Unsatisfied demands or needs and possible means to meet them

Problems or constrains in the development process caused by shortages of essential

facilities, services, material or human resources and by institutional or other obstacles

Unused or underused material or human resources and opportunities for their conversion to
more productive purposes

Overused natural resources that need to be conserved or restored

The need to complement other investments (such as providing access road to school
construction site)

A government response to local political or social pressures originating, for example, from
economic, social, or regional inequalities

Initiatives by local private or public entrepreneurs who wish to take advantage of

opportunities they perceive or who are responding to government incentives

The pursuit of national objectives, such as self-sufficiency in food production

The occurrence of natural events (drought, floods, earthquakes)

3. Formulation

The purpose of the formulation stage is to define all the components of the project in sufficient
detail to enable the preparation of a financing proposal. A major output during this stage is the
feasibility study. All the issues critical to the viability and long-term sustainability of the project

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should be addressed. These include technical, economic, social, environmental, financial,

institutional and political dimensions. Different alternative are defined for the project, followed
by the selection and planning of the optimum alternative, covering such aspects as size, location,
technical details, and institutional arrangements.

4. Appraisal

Appraisal is the process in which all aspects of the project are reviewed, in order that the
decision whether or not to proceed can be made. The soundness of the project is appraised in
terms of technical, financial, social, environmental and organizational aspects. Others, such as
administrative, gender, or political impacts, may also need to be considered.

5. Implementation

Following appraisal of the project plans, and a decision to proceed, there may well be another
period of appraisal and negotiation to finance the plan. When this has been completed,
implementation of the project can commence. Implementation is the stage at which the
institutions are established and facilities constructed. It is the stage which involves the
disbursement of the largest portion of the project funds. During implementation, activities are
carried out according to timetable and financial plan. Special conditions must be satisfied, and
regular monitoring and supervision conducted.

6. Evaluation

The purpose of the evaluation stage is to arrive at an assessment of how successful the project
has been in meeting its stated objectives. Performance will be judged against indicators selected
during the formulation stage, and results compared with baseline information. Evaluation
consists of investigating and reviewing the effects of the completed project, to see whether the
benefits which were planned to flow from it have indeed been realized, and whether these
benefits have had their intended consequences.

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Commonly used project cycles in development project

Identification
Post-Project Evaluation

Formulation

Appraisal

Monitoring & Ongoing

Implementation
Evaluation

As can be observed most development project do have an in-built and on-going monitoring and
evaluation systems for tracking project performance and as part of the project management
information system i.e., to enable the management take corrective measures during
implementation.

Post-project evaluation on the other hand seeks to assess the overall performance and result
(outcome and impact mainly) of a project and to draw lessons and experiences to for future use.

Why is project cycle?

The project cycle can be described as a cycle for the following main reasons:

 First and for most, successful implementation of a project would normally be expected to
lead to subsequent projects

• A successful pilot project will lead to a full scale version;

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• A productive area development project many lead to a second phase or to duplication

of the approach in other regions;

• A project may create opportunities for follow up investment, e.g., construction of a

road into a previously inaccessible area;

• A project may alleviate one constraints only to uncover another, e.g., increasing farm
productivity may reveal inadequate access to market

 Secondly, post-project evaluation completes the project cycle by providing feedback to

inform and improve the identification, design (preparation, appraisal) and implementation
of subsequent projects.

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SECTION THREE

DESIGNING DEVELOPMENT PROJECTS

3.1 Community Development Defined

The word development is fraught with ideological, political, and historical connotations that can
greatly change its meaning depending on the perspective being discussed (Haug, 1997). The
following three definitions of development are most helpful and suitable in relation to themes of
this course.

Development is the process by which the members of a society increase their personal and
institutional capacities to mobilize and manage resources to produce sustainable and
justly distribution of improvements in their quality of life consistent with their own
aspirations (Korten, 1990).

Korten’s definition emphasizes the process of development and its primary focus on personal
and institutional capacity. It also touches on justice, equity, quality of life, and participation.

The second definition is from Gamble’s (1995) work. He focuses on the process of societal
transition (societal transformation):

Development can be understood as a process of societal transition from a current

situation considered unsatisfactory to a future and better state essentially through self-
transformative change processes.

Finally, Zachariah and Sooryamoorthy (1994) emphasize that development must promote
economic growth, but not at any cost. The encouragement of economic growth must take account
of and be restrained by three other equally important objectives:

1. Protection of the environment and consideration of the ecological impact of

industrialization and commercialization

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2. Fair and equitable distribution as well as redistribution of goods and services to enable
poorer people to get a fairer share of society’s wealth and to participate fully in the
economy

3. Creation of opportunities for everyone to increasingly participate in the political, economic,

social, artistic and other activities of society

3.2 What is Development Project?

A development project is thus, the whole complex of activities in the undertaking that uses
resources (financial, human, and material) to bring development.

As the aforementioned definition depicts, development involves a wide range of processes and
changes: personal and institutional capacity building; fair and equitable distribution of goods and
services; quality of life; societal transformation; environmental protection; the creation of
opportunities and full participation. In sum, a set of activities, investments and plans designed to
achieve these processes and changes within a limited time and budge constitute development
project.

3.3 Steps in Designing Development Project

Students should note that there are no agreed up on or universal steps to be followed in designing
development project. Among other things, donor agencies, areas of intervention, implementing
organization and availabilities of prior data can determine the steps to be followed in designing
development project. Below the most common steps in designing project will be considered.

Baseline survey

Development projects are designed and implemented to fill a felt needs. Needs as opposed to
ideas and solutions come in a variety of degrees and shapes. Addressing all the felt needs
simultaneously with a limited and scarce resource at hand now is a futile exercise. Thus,
identifying the top needs of the community is a starting point for any projects. This is because;”

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to plan where you want to be you have to know where you are now”. Baseline survey or need
assessment survey should be conducted to identify the burning problems of the coastal
communities. Therefore, the result of your baseline survey answers such basic questions as:

a. Who else believes that this need is crucial and should be addressed now?

b. What evidence can you provide to support the urgency or credibility of this need?

c. Is the need ongoing or situational?

d. What are the underlying causes of this problem?

e. Of the different factors responsible for this problem, which are you going to address?

As it is discussed elsewhere in this material, needs should come from the society to which the
project is intended to benefit. Participation is the key to let people to define their own needs.
Through participation, local people identify their needs as well as the relevant goals of a
program.

NB:

• Some development practitioners consider baseline survey as a pre-designing process. This is

because; the whole baseline survey report is not included in the body of project document.
Only relevant and crucial findings of the report are used, especially to justify the problem
statement.

• During evaluation stage, baseline survey provides the basis against which the achievement (s)
of the project is/are measured. To know where the communities are after intervention, we
should know where the communities have been. The baseline survey makes the process of
project evaluation easy as it depicted the initial status of the communities with regard to
intervened need (s).

1. Background of the project area

Background provides all rounded information regarding the project area: demographic, social,
political, economical, and geographical description.

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Example:

Gatira is found in Gossu Woreda in the Southern part of the country, 575 KM away from the
capital Addis Ababa. It is a rural village with a population density of 700 people per square KM
and an average household size of 7. Agriculture is the dominant economic activities in
Gatira…………

2. Organizational background

Implementing development projects require the involvement of many stakeholders. One among
these stakeholders is the organization which is responsible to implement the project.
Implementer organization is an organization that is regarded as “project proponent”. When
designing project, it is very essential to give a full account pertaining to proponent organization.
In describing organizational background focus on the following themes:

a. Year of foundation

Before explaining anything regarding proponent organization, first state the year and month of
inauguration.

b. Organizational Vision, Mission, Goals, objectives and Values

Explain the very reason why the organization is established. The words used to describe this
subject are vision, mission, goals, objectives and values. While these words share many
elements, they also differ in many ways.

Vision: is the general statement that reveals the broader aspiration which the organization desire
to achieve in the long term. Organizational vision answers the question “What the organization
is committed to”. Vision represents an extensive organizational ambition (what the organization
desire to achieve in the long term) with no specific time for its realization.

Example:

To see the children with not parents in Ethiopia

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Mission: it answers the questions “What are the organization’s businesses”. A mission is an
organizational statement that justifies the purpose (s) for its existence.

Example:

To produce productive citizens who can contribute his/her real share to the nation’s overall
development endeavors

Goals and objectives: the meaning of goals and objectives is not always clear. This confusion is
mainly attributed to the way people use the term goal and objective. What some people call
objectives others call outcome. And what some educators call goals others call objectives. But in
relation to organizational strategic plan, the term goals and objectives convey the following
meaning. Goals are the big picture. On the other hand, objectives are the deliverable, more
measurable steps on the way to realizing goals. Restated in more formal terms, a goal is a general
statement that coveys an organization’s long-term vision; objectives are what the organization is
expected to achieve within specific time period.

Example of goal:

To make children to be successful in their academic career

Example of objective:

To enable each children to rank one to ten from their respective classes the end of each academic
year

Values: values are core principles, ethics and conventions which the organization is believe in to
achieve its vision, mission, goals and objectives.

Examples of values:

• No child discrimination based on their sex, ethnic group, religious affiliation,

nationalities, colour, and impairment

• Children deserve the best services

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c. Organizational structure

Organizational structure is a pictorial presentation that depicts the organization’s follow of

administration and responsibility.

d. Organization’s staff composition

Indicate the total number of staffs currently working for the organization. And also give a detail
information regarding staffs’ educational status, professional diversity, work experience, and sex
composition. Note that, among other things, the success or failure of your project depend upon
the quality and quantity of the organization’s staffs.

e. Organizational CV

Briefly summarize the major achievements of your organization, for example, number of projects
successfully implemented so far; any certificate, award, or recognition given to the organization
from different bodies (funding agencies, government, or project beneficiaries) due to its
successful achievement; number of partnership and the like. Organizational CV helps
organization to gain good acceptance and trust from funding agencies, government, and local
communities.

3. Identifying the target groups (project beneficiaries)

The target groups are those who are directly affected by the problems in question and who might
be beneficiaries of any proposed project solution. Within any geographic area and within any
‘community’ there will always be considerable differences in people’s access to resources and
development opportunities. Some individuals and groups will be benefiting from the existing
social, political, or economic relationships and some will not. It is therefore important to indicate
how different groups within the community are affected by specific development problems and
who will be the project beneficiaries/target groups.

The direct recipients are those who are directly affected by the core problem, and who will
benefit from the project outputs and services. the ultimate beneficiaries are those who will
benefit from the project in the long term. During project design, it is particularly important to
assess the capacity of the direct recipients carefully: are they really committed, do they have the

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resources (time, staff, etc) to participate in the project and do they have the capacity to play their
role in the project. Building up the capacity of the target groups is crucial not only to achieving
the project’s objectives and outputs, but also to ensuring that the benefits are sustained once the
project ends.

4. Problem Statement/Need Statement

The existence of a problem affecting a certain group (or groups) is the starting point for many
development projects. The description of the problem justifies the need for intervention and the
project document will explain how the intended action will contribute to the solution.

Problems or needs are defined as: negative aspects of an existing situation and not an absence of
a solution! They indicate gaps between what is desired and currently available for human
survival and development.

The problem analysis identifies the negative aspects of an existing situation and establishes the
“cause and effect” relationships among the problems that exist. The core problem of the target
group must be clearly identified. It is essential to understand the root causes of the problem and
the effects the problem has on the beneficiaries. The problem analysis has three main
components:

• The first component is the core problem. The core problem must be the starting point for
every project. It provides the rationale and gives it meaning in that it aims to make a
significant contribution to solving a relevant problem for the target group. If the starting point
for the project is a detected opportunity, then it is still important to identify the main problem
(or challenge) hindering the desired situation from becoming reality. So, regardless of our
initial positive or negative considerations when looking at the existing situation, we will
always end up identifying the core problem (or challenge) to tackle.

• The second component is the causes of the core problem. Each problem has its own history
and we have to find out what underlying factors (causes) have led to the current situation.
Once identified, the root causes of the core problem are located under the core problem.

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• The third component is the effects of the core problem. The cause-and-effect chains can also
be continued beyond the core problem. In this case, the chain forms the set of events that are
the effects of the core problem. All problems or needs are embedded in a social, political,
economic, or environmental context and are often systemically linked to other needs.
Therefore, anything affecting one area also interacts with others parts of the system. The core
problem generates consequences or other problems. The effects of the core problem are in the
form of more general social, environmental, political or economic conditions (usually
negative) that result from the problem. They are placed on top of the core problem.

The problem/need statement is the most crucial part of your entire project document. Thus, great
care must be taken when writing need statement. Focus on the following themes to write
effective problem/need statement.

Three fundamental questions: in short, your problem statement must answer the following
three fundamental questions:

1. What problem does the targeted need address?;

2. Why should this project be undertaken?; and

3. What are the benefits of addressing this need now?.

Elements of effective problem/need statement: an effective problem/need statement includes the

following elements:

1. Problem statement should be clearly related to the vision, mission, goals and objectives of
the implementing organization.

2. Problem statement should be supported by evidences drawn from your baseline/need

assessment survey, experience, from statistics provided by authoritative sources, and/or
from the testimony of persons and organization known to be knowledgeable about the
situation. Data to support your need comes in various forms: numbers, words, and images.
Some of the data is formal or quantitative-e.g., average income per month-while other
information, which can be just as powerful if used correctly, is more anecdotal-stories,
profiles, examples.

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3. Problem statement should be stated in terms of clients or constituents, rather than the needs
or problems of your organization. Funder expected to hear what your clients need first so
that they can, through the grant, help you meet these needs

4. Problem statement should be of reasonable dimensions-a concern that you can realistically
do something about over the course of the grant

Problems to avoid: in the needs statement section, several common errors arise, each of which
is easily avoided if you keep your eyes open for them. Problems to avoid include:

1. Identify problems, not solution: your statement should focus on what you are looking to
address

2. Identify needs, not wants: we all have dreams in which we muse “wouldn’t it be nice if…”.
But grants are not the answer to wish lists

3. Look committed, not greedy: a proposal should never imply that you are willing to do
something-expand a program, upgrade facilities, offer additional support groups-only if the
funder is will to pay for it.

Illustration: taken from real project

To get an in depth knowledge on the problem of food security, an NGO working in Gatira
Kebele has carried out a baseline survey in July 2004.

According to the baseline survey results, the Kebele suffers from high rate of deforestation with
consequent fuel wood shortage and high rate of erosion. List of problems identified by the
community and observed through various assessment methodologies include: shortage of land
for grazing and crop production, inadequate crop production, lack of draught animal, shortage of
farm land, landlessness, absence of alternative source of income inadequate and erratic rainfall
distribution, low crop production, shortage of food, malnutrition, poor road access, and seasonal
lack of clean water supply. Women expressed that they suffer from heavy workload in addition
to sharing the suffering of men.

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The institutional set up was reported to be weak particularly in terms of input supply leading to a
situation where farmers suffer from untimely distribution of fertilizers and improved seed
varieties. Iider and equb were observed to be important institutions in the village, which help
farmers, cope with some of the socio-economic difficulties they encountered. Human, animal
and crop diseases, including malaria locust and armyworm have all had a big negative effect on
food security in the village, as has drought. The baseline survey result revealed that, food
insecurity is the top problem in Gatira Kebele.

5. Project Objectives

Objective is a specific statement that indicates what the project wants to achieve. The desired
situation represents the real change that the project will achieve. In accordance with results-based
management, the desired situation describes a result and refers to a change in the target group
and the impact (above the desired situation) on the ultimate beneficiaries. Thus, objective
describes an improved situation in the future. In this case the hierarchy of problems is
transformed into a means-end relationship or hierarchy of objectives by converting the “negative
situation” into “positive achievements”.

Project objectives are the ends, the outcomes that prove you have arrived after the
implementation of the project. Objectives answer the questions “who, what, when, under what
conditions, and how measured. They:

• Identify the target group that will be involved (who)

• Describe the project to be produced or the effect to be achieved, or define the service or
program to be implemented (what)

• State the time frame for completion (when)

• Outline the means by which the objective will be achieved (under what conditions)

• Explain the means of assessing achievement (how measured)

Characteristics of good project objectives:

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Dilla University Department of Sociology Project Design and Management

• Project objectives should aligned with the themes/areas of focus, needs, and guidelines
used to evaluate your project

• Written using active verbs and parallel structures (e.g., if presented in a list, each objective
begins with a verb)

• Project objectives should be reasonable and appropriate

• Achievable in a limited amount of time

• Project objectives should be written in measurable language (e.g., “at least 80% of the
project beneficiaries will have access to pure water)

• Specific, detailing the type, amount, frequency

Sample project objective

1. To improve the project beneficiaries’ access to modern contraceptives by establishing

distribution centers, at least by 50% by the end of project period, 2011

2. To reduce the current food insecurity of the target groups at least by 10% at the end of
project period, 2012

3. To increase the number of households applies modern agricultural inputs at least by 1000
household in 2013.

6. Project outputs

Project outputs refer to the intended improved, facilitated, or produced services brought as the
result of project intervention right after implementation or completion of the project period.
These are the products of the activities, the combination of which leads to the achievement of the
immediate objective. The implementing organization is accountable for delivering these services
and products.

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Project outputs refer to the specific results and tangible (goods and services) produced by
undertaking a series of tasks or activities. In stating project outputs one should ask the following
questions:

• Is a project makes a difference?/What do you want your project will improve, facilitate or
produce?

• Are the products and services in the line with the project objectives?

• Do the products and services adequately address the needs of the target groups?

Sample project outputs

It is an essential matter that project outputs should align with project objectives. Note how the
following project outputs parallel with the above given sample project objectives.

1. Target group’s access to modern contraceptives improved by 50 percent

2. The project beneficiaries’ problem of food security reduced by 10 percent

3. 1000 new households accessed modern agricultural inputs

7. Project activities

Project activities refer to the specific tasks and methods undertaken to achieve the required
objectives and outputs. These are the actions and means that will produce the project outputs.

Project activities refer to the various sets of actions, and methods that you are expected to
undertake to realize/achieve your project objectives and outputs. In identifying your project
activities ask yourself the following key questions:

• How exactly you will achieve project objectives and outputs?

• What sets of activities/actions should the project undertake to realize its objects and
outputs?

• What methods or strategies you are suppose to adopt to materialize your project?

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Sample project activities

In the above given example the first project objective is: To improve the project beneficiaries’
access to modern contraceptives, at least by 50% by the end of project period, 2011. And the first
project output is: Target group’s access to modern contraceptives improved by 50 percent. Then,
ask yourself what course of action you should undertake to achieve this objective and output of
your project. The following may be the possible course of actions/activities:

Activity one: conducting a series of community awareness raising training program on

Reproductive Health matters

Activity two: in collaboration with the nearby government health organizations, providing
various types of modern contraceptives to make the access easy and possible

Activity three: in collaboration with governmental and non-governmental organizations working

in the area, facilitating the provision of VCT services

Activity four: empowering the capacity of local mothers regarding family planning through skill
based income generation training

Note that:

• You may devise a number of activities and methods to achieve a single project objective or
output

• The number and types of your project activities are related to your project budget. For
instance, in the above given example, if you propose constructing health station or hospital
as one project activity it is beyond your project budget because you may not secure
sufficient budget from funding agencies. Thus, your list of activities are limited by the
project budget you may secure from funding agencies

8. Project inputs

Project inputs refer to the resources required to undertake the activities and produce the outputs.

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Project inputs refer to the resources you necessitate to materialize or to achieve your project
objectives and outputs. To put it in other form, project inputs are the resources you need to carry
out your project activities. Project inputs may come in three forms:

1. Human input/resource: who will run the Project? It is obvious that the project demands
man power to ensure its effective implementation. The number, level of know-how, and
composition of project staffs depend up on the scale/size of proposed project.

2. Financial input: it is the budget/financial resource you require in order to run the project.
The following are pieces of information you should include under your budget section:

• Budget narrative and justification

• Sources of fund

• Other funding sources such as target group’s contribution

• Administrative costs (indirect costs)

3. Material inputs: these are equipments that the project requires to ensure effective
implementation. Office facilities such as chairs, tables, shelves; and secretarial tools such
as computers, printers, photocopy machine, fax, and telephone accessories are among the
material inputs necessary for project office.

9. Monitoring and evaluation plan

Monitoring and evaluation plan allows you to assess the project’s progress toward its objectives,
and it provides the basis for any adjustment necessary. It also makes it possible to evaluate and
document the project’s performance once the project has finished.

The project monitoring and evaluation plan should provide clear information regarding how the
process is going to be done. Specifically, this section of your project should indicate:

• Time of monitoring and evaluation: state your time plan (when to evaluate) for your
evaluation. In other words, indicate the type of evaluation you plan to undertake

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• Project objectives: while monitoring assess input-vs-output and evaluation assess

output/result-vs-objective

• How: what strategies or methods will be used to undertake project monitoring and
evaluation

• Who: who are responsible to undertake project monitoring and evaluation

• Budget: what amount of budget is needed if the project evaluation is going to be done by
external consultants

10. Assumptions and risks

Projects are always subject to influence by factors outside the direct control of project managers.
This is particularly so of rural and institutional development type projects which require the co-
operation of a number of different stakeholder groups, are often implemented in poorly resourced
and unstable environments, and require behavioral change on the part of participants.

Assumptions refer to conditions which could affect the progress or success of the project, but
over which the project manager has no direct control. An assumption is a positive statement of a
condition that must be met in order for the project objectives to be achieved.

Example: in agricultural development project one may state assumptions such as:

• Enough rain will be available in project area during the growing season

• No crop disease throughout project period

On the other hand, risks are unintended conditions that may hinder the successful
implementation of the project. Project is a set of planned activities that shall be achieved in the
future. As the future is full of uncertain, project proponents must list some of the risks that might
hamper the success of the project. Thus, risk is a negative statement of what might prevent
objectives being achieved.

Example: In the agricultural development project mentioned above as an example, the possible
risks may be:

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• Fluctuate rainfall distribution during the project period/occurrence of drought

• Unexpected crop failure due to crop disease

In short the project designer must make a thorough SWOT analysis (strength, weakness,
opportunities and threats).

11. Sustainability and phase out strategy

As it was stated in chapter two, one of the important characteristics of projects is that they
involve capital investment over a limited time-frame. Over that period, projects create assets,
systems, schemes or institutions. In this stage of project designing, the designer must ask
himself/herself the question, “To what degree will the assets (physical structure, institutional
systems) created by the project continue to produce benefits after project funding is completed?”

If the assets, systems, schemes and institutions created by the project are fail to yield a flow of
benefits after the project has been completed, it is a loss and wastage of resources. Thus, project
designer should propose effective phase out strategies to ensure project sustainability.

12. The Logframe matrix

The logical framework (logframe) is a tool that allows you to analyse the situation that will be
used to design the project using a matrix. It gives you the logic and rationale behind how change
is brought about.

The logframe is based on the logic of cause-effect relationship. It states that certain activities will
produce certain outputs. These outputs will contribute to producing certain immediate objectives
(or outcomes) and these will lead to certain development objectives.

The Logframe is the summary of the project design and, when detailed down to output level,
should generally be no more than five pages long. The Logframe matrix has five columns and
usually five rows, depending on the number of levels of objectives used to explain the means-
ends relationship of the project.

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The vertical logic (also called intervention logic) clarifies why a project is undertaken. It
specifies the overall objectives, project purpose, outputs and activities and their causal linkages
(hierarchy of objectives).

The horizontal logic indentifies what is to be produced and the evidence that will verify success.
It lists objectively verifiable indicators (OVI), means of verification (MoV) and important
assumptions.

When preparing the Logframe matrix, the project description is completed first, then the
assumptions, indicators, and finally the means of verification.

Before giving example, meanings of important terminologies used in preparing the project
Logframe matrix should be briefly defined.

A. Indicators: indicators refer to the information we need to help us determine progress

towards meeting project objectives. Indicators specify how the achievement of project
objectives will be measured and verified. They provide the basis for monitoring project
progress (completion of activities and the delivered of outputs) and evaluating the
achievement of outcomes. Indicators should be SMART (specific, measurable, attainable,
relevant and timely).

Specific: - indicators should be specific and be related to the conditions the project seeks
to change.

Measureable: - quantifiable indicators are preferred because they are precise, can be
aggregated and allow further statistical analysis of the data. However, development
process indicators may be difficult to quantify, and qualitative indicators should also be
used.

Attainable: - the indicator (or information) must be attainable at reasonable cost using an
appropriate collection method.

Relevant: - indicators should be relevant to the management information needs of the

people who will use the data.

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Dilla University Department of Sociology Project Design and Management

Timely: - an indicators needs to be collected and reported at the right time to influence
many management decisions.

B. Means of Verification (MoV): means of verification gives us an exact description where

to find data necessary to verify the indicators. Some important questions: are the MoV
available from normal sources? (statistics, observation, records); how reliable are the
sources?; and is special data gathering required? If so, what will it costs?

C. Purpose: purpose refers to what the project is expected to achieve in terms of

development outcomes. Examples might include increased agricultural production, higher
immunization coverage, cleaner water, or improved local management systems and
capacity.

D. Component objectives: where the project or program is relatively large and has a number
of components (output/activity areas) it is useful to give each component an objective
statement. These statements should provide a logical link between the outputs of the
component and the project purpose.

To make things simple and understandable blew: first, elements of Logframe matrix will be
presented. Elements of Logframe describe essentials of the project to be included in the
summary of the project which is displayed in the form of table called Logframe. Second, to
illustrate how project summary is presented in the form of Logframe, example is taken from a
real project. Pay attention to the following two tables.

13. Action plan/operation plan

Project action plan/operation plan is derived from the project Logframe matrix and answer one
basic question: when will each major activity and sub-activities begin and end? Timeline
increments are usually stated in weeks, months, quarter, bi-annual and annual.

In short action plan/operation plan sets out the activities and sub-activities, the time schedule
frame, and responsible body. Action plan/operational plan is so essential for steering project
implementation and for monitoring and evaluation purposes.

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Illustration: below is the most common format of project action plan/operation plan. For the
sake demonstration a one year hypothetical project is taken.

14. Budget breakdown

A budget breakdown sets out the requirements and costs for all necessary inputs: personnel,
basic office premises or facilities, equipment and materials, or services such as special
subcontracting supplies, training workshops and other miscellaneous inputs.

Under budget breakdown section, clearly (specifically) allocate the total project budget under
appropriate budget categories such as salaries and wages, equipment (capital outlay), material
and supplies, and activity cost along with time (when shall the budget is utilized). Use tabular
presentation for clear display and management.

Characteristics of an effective budget breakdown include:

Present numbers that add up perfectly

Align its categories with those provided in the funding guidelines

Avoid any costs that are not consistent with the funder’s core values or that are not
covered by the terms of the grant

Be broken down into clear percentages to show where the money is allocated

Be formatted for easy reading, ideally under headings that use the same categories as the
guidelines

Be coded appropriately (especially important if receiving funding from government

agencies)

Indicate all in-kind or other contributions (e.g., matching funds) from others, including
your own organization

Illustration:

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To have a clear picture on project budget break down consider the following table. Note that
there is no single agreed upon (universal) project budget break down format. Because, project
managers may develop their own forms that they think simple, manageable and efficient or
funders may have their own budget break down format. Most funders provide specific
spreadsheet forms to guide your work in this section. Funders do this so that all their concerns
are addressed. It is critical that you adhere to these forms and fill them in exactly as directed in
the guidelines.

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SECTION FOUR

PROJECT MONITORING AND EVLUATION

The previous chapter asked you to figure out what your needs are, where you want to go, and
how you can best get there. This chapter helps you answer another essential question: How will
you know when you have arrived at your desired destination?

4.1 Monitoring and Evaluation Defined

In the context of planning and managing community development projects and programs getting
a common understanding about what monitoring and evaluation mean is critical for the job to be
done.

A. What is Project Monitoring?

Monitoring refers to a systematic and continuous process of assessing the progress of project
activity over the project period, usually using predetermined indicators or recurrent questions.

It is the continuous assessment both of the function of the project activities in the context of
implementation schedules and use of project inputs by the targeted population in the context of
design expectations.

It is an internal project activity, an essential part of good management practice and therefore, an
integral part of day-to-day project management.

Monitoring is a core management responsibility. It involves collection, analysis and

communication concerning the progress of the project and outputs achieved. It identifies actual
and potential successes or failures as early as possible, and facilitates timely adjustments to what
is being done. It enables the stakeholders to review progress and to propose action to achieve the
objectives.

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B. What is Project Evaluation?

Evaluation refers to a process of identifying the broader positive and negative outcomes of
project activity or process to reach at conclusion about the overall project values and whether
project objectives have been meet or not.

The project evaluation is intended to make an overall assessment of the completed project. The
purpose is to determine the relevance of the achievement of the objectives, the effectiveness, the
efficiency, the impact and the sustainability of the project.

Evaluation must yield a various types of information because it nearly always serves multiple
purposes. Funders want a careful and insightful accounting of their investment and stakeholders
often want to see evidence of project progress before supporting future projects or continuing
current one. Such data as evaluation yields is used to persuade boarder members, prospective
clients, even voters of the value certain products, programs or projects offer.

Summary: The difference between monitoring and evaluation

No Attributes Monitoring Evaluation

1. Timing Continuous/ongoing Periodical/at certain interval

2. Objective Collecting information timely to take Assess the effect of the project, if
corrective measures on the project desired objectives are met, the
implementation and management relevance, efficiency, effectiveness,
and sustainability.

3. Level of Input-vs-output; achievement-vs- Output/result-vs-objective

analysis targeted

4. Who leads the Insiders for internal learning and Outsiders, often to ensure external
process management accountability

5. User of the The project management staff Project management, funders, the
information public

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4.2 The Components of Evaluation

In evaluation, the emphasis is on the following five main general components. Together, they
represent the most important points to be taken into consideration in connection with decisions
on development projects. Observe that these evaluation components build directly on the
elements of project Logframe matrix.

A. Efficiency

Measures of the outputs of the project-qualitative and quantitative-in relation to the total resource
input: in other words, how economically the various inputs are converted into outputs

B. Effectiveness

It measures of whether the purpose of the project had been achieved. This, then, is the question
of the degree to which the outputs contribute to achieving the intended purpose. It, thus, also
says something about the content of the project and whether it contributes to the development in
the expected direction.

C. Impact

It measures both the foreseen/desired and unforeseen/undesired consequence of the project to the
target group: positive or negative. Assessment here must take as its point of departure the goal
and purpose of the project, but goes much further than simply ascertaining whether these have
been achieved. This type of assessment will often necessitate comprehensive investigation.

D. Relevance

Is the overall assessment of whether the project is in keeping with the overall goal, the donor and
recipient policy, as well as, with the local needs and priorities (Mission + the interest of Actors &
Interplay of Factors). This will help to clarify whether the project should be continued,
reformulated or terminated.

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Dilla University Department of Sociology Project Design and Management

E. Sustainability

Is an overall assessment of the extent to which the positive changes achieved as the result of the
project can be expected to last/continue after the project has been terminated (after project phase
out). In many ways, this is the question of the relationship between the necessary local resources
and how project beneficiaries view the project.

4.3 Types of Evaluation

Time and purpose are the vital criteria to make the typology of project evaluation. On the basis of
these pivotal criteria one can identify three types of evaluation: interim/formative,
terminal/summative, and post terminal/impact. To have a lucid understanding let us make a brief
account on each type:

A. Interim/mid-term/formative evaluation

As it is clear from the term itself, interim/mid-term/formative evaluation is a type of evaluation

which is conducted in the mid-term of the project period for the purpose of checking whether the
project is on the right truck and to take the necessary changes for better implementation for the
rest of project period.

Thus, this type of evaluation provides information at half way of the project period and is
typically used to improve the design or implementation of the proposed project or program.
Examples of interim evaluations might include surveys, observations, portfolios, discussions, or
video/audio recordings used during the implementation process. Interim assessments should be
used during the developmental stages of any project, and should be seen as an integral part of the
actual implementation design meant to constantly improve your organizational capability and
capacity by learning from itself. Think of it as the comments customers write and drop in the
suggestion box in the lobby. The bottom line is to improve the service, the product, and the
experience. Taken a step further, formative evaluations are designed to improve not prove
performance. Based on the aforementioned points, one can note that the major focus of interim
evaluation is on the process rather than performance.

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Dilla University Department of Sociology Project Design and Management

B. Terminal/summative evaluation

It is a kind of evaluation undertaken right after the project termination with the purpose to
examine whether the intended project objectives and results have been met.

Summative evaluation is different from formative evaluation in several important ways. Instead
of being ongoing, it takes place at the end of the implementation funding cycle. Is usually
concentrates on the project, clients, services, or program improvement instead of the process:
regardless of what methods and activities you used, did you achieve your objectives and
predicted outcomes? Have services improved? Products been developed? Facilities renovated?
Obviously if the answer is yes, the next question is: How well did you accomplish that? Have
you solved the problem? Addressed the proposal needs? Adopted better methods? Raised
standards? To answer these indispensable questions, termination evaluation needs to review the
baseline survey results/findings, and project document. The evaluation results/findings obtained
through survey method, in-depth interview, case studies, observation, Focus Group discussion
and project office records are compared to the baseline survey/need assessment survey
results/findings and the project document to tell the exact degree (extent) of
changes/achievements/improvements brought as the result of project intervention.

Remember that, at the end of the funding cycle, you are required to submit and/or present your
terminal evaluation results to the funder, the concerned government body, the local community,
or even at a conference where people have come to learn from you how to accomplish these
same results in their own towns, organizations, programs or projects. Also considered from
another perspective, you might use the summative results/findings to do any of the following:
planning further projects, persuade, inform, educate, inspire, or, of course secure subsequent
funding for continuation or expansion of your project.

C. Post-terminal/impact evaluation

Post-terminal/impact evaluation is a type of evaluation which is conducted some years (usually

after two years) after the completion of the project essentially for impact assessment and draw
lessons for future strategies.

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Specifically, seeing from development project management point of view, there is a big
difference between project output/outcome and project impact. Outputs/outcomes are changes,
improvements or developments which can be easily recognized right after project intervention or
right after the end of the project. For example, in a school feeding project one can easily observe
the rate of school retention and/or rate of school drop-outs short after project intervention.
Similarly, we can notice the changes (increment or decrement) brought “on average monthly
household income” short after the intervention of Income Generating Activities Project. These
changes, improvements or developments are project outputs/outcome. On the other hand,
impacts are the positive or negative consequences brought due to project intervention and can
only be experiential long after its termination or completion. Impacts are changes,
improvements, or developments of project which one cannot tell or recognize right after project
termination. For example, one cannot tell the impacts/changes of a one year ”Child Care Service
Project” right after the end of the project. Because, time has to lapse for the service to brings
long lasting impact on the health of the children who have been receiving the service. In the
same way, we cannot scrutinize the economic and social values of “Rural Road Project” up on or
short after its completion. Its economic and social values can only be observed sometimes later.
Because, we cannot provide any empirical evidence (even if we may envisage) showing the
project’s economic and social values before a newly built road launch its service.

Thus, the post-terminal/impact evaluation serves the purposes which cannot be achieved through
interim or terminal evaluation.

4.4 Core Principles of Monitoring and Evaluation

Core principles of participatory project monitoring and evaluation, among other things, include
the following:

Participation:

Project monitoring and evaluation embraces multiple stakeholders in the project and involves
stakeholders in what the project sets out to achieve, that is, in the planning process and in how it
should be achieved-through implementation and reflection.

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Dilla University Department of Sociology Project Design and Management

Learning:

Project monitoring and evaluation has numerous potential learning applications. Its emphasis is
on practical or action-oriented learning for the different parties involved in terms of (a)
understanding strengths and weakness of the project, their own organizations/institutions and
those of other actors, and (b) assessing the project in terms of wider realities, that is, impacts as
well as progress monitoring.

Negotiation:

Project monitoring and evaluation is perceived as a social process for negotiating between people
with different interests, needs, expectations, and worldwide views. It is argued that when
multiple stakeholders are involved in negotiation around the monitoring and evaluation, the
process contributed to building trust and to changing perceptions, attitudes and behavior with
regard to other actors.

Flexibility:

Flexibility and experimentation are seen as integral to project monitoring and evaluation.
Flexibility requires openness to ideas and considerable creativity on the part of the project
holders.

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