JOMO KENYATTA UNIVERSITY

OF

AGRICULTURE AND TECHNOLOGY

MIGWI JOHN MWANGI

HD317-1125/2012

Assignment submitted in partial fulfillment of a Masters Degree In Project Management

PROJECT PLANNING AND DESIGN

HEPM 3112

THE ROLE OF A PROJECT DESIGNER AT EVERY STAGE OF THE PROJECT LIFE CYCLE

WAYS OF ENSURING PROJECT SUSTAINABLITY - KANGARI COMMUNITY POWER PROJECT

November 2012

THE ROLE OF A PROJECT DESIGNER AT EVERY STAGE OF THE PROJECT LIFE CYCLE

First, many projects start up to several years after initial design, during which the context will have changed. The project cycle includes the many steps that lead to start-up, each of which takes time. Second, the initial design projects are undertaken with limited time and resources. Many of the implementing partners will not have been identified and so there will have been limited participation in the process. This means that a comprehensive participatory process of reviewing and, where necessary, improving project design is critical at start-up. After start-up, the two main opportunities for improving the project design are during the annual progress review and planning process and during the mid-term review

The table below lists the design and adaptation tasks done by the project designer during the projects lifetime, showing how (re-) design is ongoing. MOMENT IN PROJECT PROJECT DESIGNERS TASKS LIFE Initial design phase -Assess feasibility, scope and rationale of project. -Determine the goal and objectives. -Outline main project outputs and key activities. -Outline project implementation process and structures. -Outline the M&E system. - Develop the budget and specify staffing levels. Start-up phase - Develop understanding of project goals and objectives with key stakeholders. - Review and revise the initial design.

- Design and plan work in sufficient detail to allow for implementation. - Develop a detailed operational M&E system. Annual review of the work - Check if the outputs, purpose-level objectives and goal remain plan and budget relevant; adjust. - Decide what activities and tasks are necessary to deliver outputs. Supervision (recurrent) - Discuss overall progress of the project. - Decide on changes that should be made in the annual work plan. - Assess any potential changes in the overall design that require loan agreement negotiations. End of the early - Review overall project strategy in light of early implementation experience. - Develop recommendations for the work plan in the next phase. - Negotiate any significant changes to project design for the next phase. Mid-term review (or - Review achievement of outputs and progress towards the

implementation phase

reviews between phases if purpose(s) and goal. the project has a flexible - Assess appropriateness of the overall strategy. lending mechanism) - Redesign the project as necessary.

Beginning of the phase-out - Identify the priorities of final activities in order to maximise period impact. - Review and adjust strategies with a view to sustained impact.

The following are Good Practices that a Project Designer can execute.

i. ii.

Involve all relevant stakeholders in participatory processes of project design. Undertake a thorough situation analysis, together with primary stakeholders, to learn as much as possible about the project context as a basis for designing a project strategy and implementation processes that are relevant.

iii.

Develop a logical and feasible project strategy that clearly expresses what will be achieved (goal and purposes) and how it will be achieved (outputs and activities).

iv. v.

Agree and focus on cross-cutting issues of for example poverty, gender and participation. Plan for long-term capacity development and sustainability to ensure that the project contributes to the empowerment and self-reliance of local people and institutions.

vi.

Build in opportunities and activities that support learning and enable adaptation of the project strategy during implementation.

It therefore emerges that a good project designer should be able to: Design good, inclusive and sustainable project proposals using the Project Cycle Management and the Logical Framework approach. Understand and apply the core principles that should underlie any project in order for it to be viable and sustainable. Develop a project idea on the basis of real needs and required resources, and transpose the idea into an implementation plan and budget. Develop a monitoring and evaluation plan that incorporates a process for checking and correcting project implementation, as well as the assessment of achievements. Assess project proposals and provide recommendations for revision.

How is a project designed? There are different approaches to project design. Project Designers use project cycle management methodology and the logical framework tool. The Scope of this study will look at project design using the project life cycle. Every project has to follow a series of phases, allowing the process to be guided from the moment the problem is identified until it is solved. This series of phases is known as the project cycle. Project cycle management (PCM) is a results-based decision-making tool. Each phase is crucial and should be fully completed before going on to the next. The project cycle generally has the five phases
Strategic Goals 1. Design 5. Final Evaluation

2. Appraisal

4. Implementation & Monitoring

3. Submission and Approval

Design is the starting point of the project cycle. Project design provides the structure of what has to be achieved, how it is to be implemented and how progress will be verified. Therefore the design is the most crucial phase. Its quality will influence the following stages in the project cycle. Project Designers should therefore dedicate time in developing a design that will enhance completeness and success of the project. Too often, little time is devoted to this phase due to scarcity of resources. Designing a project requires an upfront investment. Nevertheless, the less people are willing to invest in designing their project, the higher the risk of compromising its quality when the time for implementation comes. In the case of resources, it is best to allocate a considerable amount to this stage, which can facilitate
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and improve the quality of analysis and identification of real needs. If financial resources are not available, time is still an important factor, one that can, for instance, contribute to cohesion among stakeholders and familiarity with the context and its main problems and challenges The Project Designers should therefore work at both the higher level to capture management support to the design and at the lower level to ensure interaction with stakeholders so as to capture project relevance. Involving stakeholders in project design is important specifically for:

inspiring them to identify, manage and control their own development aspirations, and so empower themselves;

ensuring the project goals and objectives will be relevant and, as a result, meet the real needs of the rural poor;

ensuring the project strategy is appropriate to local circumstances; Building the partnerships, ownership and commitment needed for effective implementation. Creating project relevance to the real problems of the target groups and make the most of existing opportunities;

Enhancing feasibility so as to realistically achieve objectives within the constraints of the external environment and capacities of the organization;

To enhance sustainability of projects

PHASE 1- DESIGNING PROJECT: The Project Designer analyses the situation, formulates strategy and structure, prepares the implementation plan and develops a Monitoring and Evaluation System. The Project Designer must follow four subsequent steps in order to design a good, simple and feasible project: i. Project Identification;

The first step in the design phase is the identification of your project. The methodology used is called situation analysis. It consists of a series of tools that allow the designer to develop the project idea. It

is the most important component of the project cycle because it facilitates the anchoring of the project activities to needs and priorities of the target group.

The project designer uses the situation analysis to:

identify the nature and magnitude of needs, prioritise them and establish the first criteria for developing the project idea;

establish an institutional reference and starting point for the specific projects situation analysis;

map the relationships among all those involved and to create a sense of ownership of the project and its future development;

improve the whole project proposal in terms of sustainability, and emphasises how the project is part of a wider strategy. Several tools exist for a situation analysis for use by the designer. To prepare a results-based project, the following will have to be done: o Stakeholder analysis and target group selection o Problem analysis o Objective analysis o Alternative selection.

ii.

Project Formulation;

The formulation step is based on the understanding gained during the situation analysis, which both justifies and drives the project identification. At the same time, it sets out the benefits the intended action will bring to the target group. The outputs of stakeholder analysis, problem, objective and alternative analyses are the core ingredients of the designers roles. Once completed, it will show, in a clear and organised manner,

what must be achieved, how it will be achieved, with what resources, and in which timeframe (implementation planning). Again, the Project Designer has to ensure that all stakeholder groups have the opportunity to voice their views,

iii.

Implementation Planning;

The project design requires an implementation plan (also called work plan). The Project designer comes up with the work plan to demonstrates that the project is feasible in terms of responsibilities, schedule and resources. It is the basis for monitoring the operations of the project. It allows the project manager to see whether all the planned activities are implemented in the planned time, by the right staff and within the planned budget. Some donors ask for the work plan before giving their approval. The work plan usually needs to be adjusted by the Project Designer just before the project operations start and during the implementation. The work plan is established by the project design team and consists of the following four matrices of A work breakdown matrix, A responsibility matrix, A calendar of activities, and a A resource (inputs) plan, Those tools allow the project team in charge of execution to monitor the implementation of the project activities and outputs once the project is operational.

iv.

Planning of monitoring and evaluation

Monitoring and evaluation (M&E) plan needs to be prepared by the Project Designer. Therefore it is necessary to build it into the design of the project and to allocate resources for it from the start. The evaluation process is often conducted by an external person to the project team (an evaluator) and sometimes organized by the donor. However, evaluation has to be planned from the beginning of

the design by the project designer and a specific budget allocated. The Designer can also play a role by ensuring that proper budget is allocated to the Project design team and activities. Basically, M&E is about comparing what was originally planned with what actually happens. It tracks progress and has four key concepts of Comparison, Measurement, Verification and Action. Evaluation is essentially a reality test to assess the significance of the project. In it, the project designer develops tools, systems and mechanism to looks at the efficiency, effectiveness, impact, sustainability and relevance of the project given its stated objectives. Evaluation has two specific purposes: accountability and learning. The Designer here comes up with indicators towards expected and achieved accountability and learning. To monitor, the project designer must develop templates that perform 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. There are three types of monitoring. They happen at different levels and serve different functions: i. ii. iii. implementation monitoring is operational: it monitors the activities and outputs; impact monitoring concentrates on the immediate objectives; Reporting concerns the concrete (narrative and financial) reports that have to be prepared and submitted periodically to the main stakeholders, particularly donors. PHASE 2 - APPRAISING PROJECT The appraisal is part of project quality control. It is Project Designers analytical tool of assessment of the design to ensure that technical and design standards have been met and that the proposal is consistent with the cooperatives strategic or business plan, the priorities of national development frameworks, and the donor criteria before it is presented to a donor to mobilize extra resources for specific projects.

Quality control is integrated into the entire project cycle by various means. The Project Designer should therefore ensure it start at the beginning of the design. The project designers must keep quality criteria in mind and must have an appraisal done before submitting the proposal. During the implementation phase, the monitoring and evaluation system ensures that the project stays on track. Projects designer periodically evaluates to determine the level of achievement of the project objectives during the project and upon completion.

PHASE 3 - SUBMISSION OF THE PROJECT PROPOSAL TO THE DONOR, AND APPROVAL Once the project document has been formulated, it is submitted to the donor for appraisal. If approved, a contract will be signed and the project document annexed with the budget and timeline. The objectives should be achieved within the budget and deadlines listed in the document.

PHASE 4 - IMPLEMENTATION AND MONITORING OF THE PROJECT This phase is the concrete implementation of the activities planned in the approved document. The work plan (or implementation plan) is generally prepared by the Project Designer at the formulation stage in order to assess its feasibility and plan the needs in terms of human resources, financial resources and time before submission to the donor. In some cases, the work plan will only be prepared if not done at the formulation phase or adjusted.

PHASE 5 - FINAL EVALUATION OF THE PROJECT This is generally conducted at the end of the project to see whether the planned benefits were achieved. The Project Designer underlines the Lessons learnt and could be documented so that they can be replicated or scaled up and integrated into future projects.

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WAYS OF ENSURING PROJECT SUSTAINABLITY KANGARI COMMUNITY POWER PROJECT PROJECT BACKGROUND A local power generation plant is being developed in Kangari Division of Muranga County. This project is stationed in Karinga Village on River Maragua. is being facilitated ans funded by United States Aids Agency USAID in collaboration with the local Constituency Development Fund - CDF . The Community expressed the need to develop a hydro power development project to benefit them. A study was done from June 2010 into the feasibility of the project. A core group of 5 people underwent training at the Kenya Power Training School. The Mission statement of the Project was defines as Kangari Community Power Station will generate hydro-power and provide sustainable solutions and in doing so will actively engage the community in ownership and management of the project in a sustainable manner to provide economic, social and environmental benefits, as a model to others Ownership of the project is through the buying of shares. Each homestead is required to buy a share with each costing a 1000 Shs. The day-to-day operation of the plant will provide a number of benefits which will include greener electricity, employment, wealth creation, tourist attraction and saving of the forest from depletion due to search for wood fuel. The micro hydropower plant is owned and managed by the community, and this complete community ownership is central to the project's success. The day-to-day operations of the plant will be managed by a 20-member

community power committee, and this committee also conducts consultations with the wider community about how the power generated from the system should be used. The electricity is currently envisaged to be used mainly for home and micro-enterprises. On completion, The project shall generate up to 23 kW of electricity from a River Maragua which covers a radius of 3 km with 200 households (about 1000 people), a community otherwise not accessible through the national grid. The community has committed to contribute free labor for
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building the weir, digging the canal, and building the power house, among others. The participation of the community in the construction enables them to both own the project and maintain it thus ensuring its continuity. STATION FACTORS ENSURING SUSTAINABILITY To ensure that the project is sustainable in the long run, the following efforts have been put in place: 1. Grounding in Local Reality A detailed situation analysis has been a carried out. It was able to describe the priorities of the local community in terms of energy and fuel amongst other problems people face. The community also ranked need for water, security, health care and roads as other problem they would like to see handled. However, it clearly came out that they needed a project that will supply them with electricity needs in their homes. A study of the environment also showed that the environment can support a power project. These included the presence of River Maragua that has enough water throughout the year to generate adequate power by use of a hydro power station. A few individual were also identified who have some knowledge in the area of power production and they will be instrumental in the success of the project. It was also identified that appropriate technology for local power production was available in the market at an affordable cost. This is important because the community will be able to service the project once the project is complete. Among the institutions that were identified as supporters included the local legislator who was instrumental in the initiation of this project. Her office committed funds from the CDF kitty for the project. She was also able to commit a third of the project sustainability cost per year for the next 5 years. The local Chief was also instrumental as a c community mobiliser as he brought the community together. 2. Peoples Priorities and Traditional Knowledge The stakeholders were identified as the local community who are the main beneficiaries. They will be the owners of the project. USAID will be the main implementers of the project as they have

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funded the project, employed the project team and brought in the project designer and engineer. They are also working with the ministry of energy and the ministry of environment so as to get the necessary permits and government support. The local MP and the chief were the community mobilisers with the local MP being a part financier of the Power project. The priorities of the local community came out in the feasibility study. Their needs and priorities were listed as followed in the order of importance: Electricity, Water, Health, Education, and Security 3. Biodiversity and Ecological Processes

The project shall be designed with nature in mind. The part of the river Maragua that will make the reservoir will be done with minimal interruption to the ecological system. The needs of other users downstream users were also factored as the reservoir shall be able to retain only the water capacity needed to generate power for local use. However, the capacity of the reservoir and the height of the dam will be designed with future expansion in mind. Any trees cut down during the activities shall be planted in another part of the nearby forest that has been identified as having been deforested. Karinga village is located 23 KM from Aberdare ranges. So it is vital that this project support of the ecological system of the area as there are other activities that need the forest and the mountain. The community will be trained in environmental conservation and afforestation so as to ensure adequate care to the water catchment areas for flow of river water. This will go a long way in long term sustainability of the project .The ecological biodiversity shall be maintained as the area also has tea farming, dairy livestock keeping, tourism and mountain climbing, forestry and local farming of food crops. It is envisaged that the developed of the power project will also be instrumental in supporting the other activities. For example, farmers will be able to refrigerate their milk and milk products. Plans are also underway for installation of a milk collection centre and creamery in the area. 4. Socio-economic Forces

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There being other economic activities in the area, it will be prudent to develop the project for local power to support the social economic setup of the area. The power generated will be used in powering refrigeration equipment to keep the milk from going bad, drying of tobacco and in micro businesses like barber shops and salons. This has been a big problem for the community especially is high rain season when there is a glut in milk production and also during the dry season when milk goes bad very quickly before it reaches the market. The community also cited the need to light their homes because of recent increase in reported cases of insecurity in the area. It is hoped that lighting homes and streets will deter potential law breakers. The national power distributor, Kenya Power, is along way from reaching this far flung village. The nearest it has come in terms of distributing is more that 60 Km away from the community. The local power project will be affordable to install. This is because USAID will fund the generation and distribution of power. The Consumers will be expected to foot the cost of wiring their homes at an average cost of 5000 KShs. 5. Socio-cultural Issues and Gender It has been established that there is nothing in the project the will interfere with the social cultural setting of the community. None of the sites identified is used for religious activities. There is no burial site around and there is no social activity that will be impended by the reservoir. The community however noted that some religious communities may use the reservoir for their baptism activities. Other youth groups have also expressed interest in using the reservoir for their annual canoeing competition. The project will be developed by the help if both gender. Gender representation will be adhered to in the composition of the community management committee. It will also be observed in the allocation of job in the development of the project. This will ensure to buy support from both genders in the community 6. Policy

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There exist a government of Kenya Policy that guides the development of local communities power project. It outlines the standards for engineering required and the amount of power that can be minimally generated in such an undertaking. It also indicated the safety measures and the expertise to be involved. It also guides on the environmental factors to be factored in. This will be adhered to and submitted to the Ministry. The project policy will also be discussed and agreed upon by all the stakeholders so as to ensure long term impact of the project. The Project policy to be agreed on shall cover Costs and Charges, Project employment, Gender Representation, Environmental consciousness, Power distribution, Plant maintenance and Community support. In order to ensure community agreement to the policy and future adherence, community awareness will be done on a continuous basis so as to buy community support. This will be done through public gatherings, distribution of information brochures and discussion s in the local media. 7. Appropriate Technology and Methodologies The power generation plant will be developed as much as possible with use of local expertise. Equipment that can be built by the local artisans will be used. Local labor will be sought for tasks like masonry, carpenters and welders. The Community has enough of this personnel. In addition, the local polytechnic will be commissioned to do some of the tasks on site. A memorandum of understanding with the management committee of the polytechnic will be developed so that the students there can be involved in the plant on a continuous basis. Five people will be trained on the operation of the plant. This training will be done on site and also at the Kenya power training school in Nairobi. Their training will cover electrical distribution and home wiring, plant maintenance, safety and health in power generation. The funds collected by the Project management committee from the monthly power bill shall be used in the maintenance and purchase of maintenance parts and equipment. 8. Equity

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The project will cover the whole area of Kangari division in the larger Muranga County of Central Kenya. Power will be distributed equally and fairly to all areas in covered geographical expanse. This shall eliminate the possibility of some members of the community withdrawing their support on the basis of discrimination. 9. Participation The Project management committee will draw its membership from all administrative location of the division. Each location will be asked to forward 2 representatives to the committee. In addition members of the civil society will also be invited to management so as to oversee the interest of different groups in the community. Other people who will be part of the project decion making body include the Local MP or his representative, the local chief, all the 3 local subchiefs, heads of local CBOs, and a representative of the local body of professionals. This people will be involved in the project planning, implementation, monitoring, and evaluation. The local community has also agreed to provide labor in the initial stages of the project free of charge. Subsequently they will also provide labor during the dredging period once a year. This will be to prevent damage to the turbines caused by siltation. In this sense, the implementing agency, USAID is playing the role of a facilitator and encourages the local major stakeholders to play the principal implementation role. This will be the best way to promote project ownership and ensure long term sustainability of the project long after the facilitator is gone. In addition, the project will work with local institutions it Polytechnic, local administration, local business community and the government at large. The Polytechnic will offer technical support at a lower cost when needed. The local business community will come in handy to supply the needed equipment for maintenenace while the government through the energy ministry will offer guidance in the management of the power project. The Energy Ministry has undertaken to help the community

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by providing the necessary expertise when needed. Professionals from the ministry will be dispatched on a regular basis to supervise the operation of the Project. 10. Institutional, Community and Individual Capacity Training will be conducted for all the stakeholders where necessary. This will be towards enhancing ownership and ensuring preparedness after the handover process. The training will involve repairs and maintenance of the turbine and other equipment, dredging the reservoir during the dry season to remove siltation, power billing system, and development of new power distribution channels. 11. Financial Resources The initial funding of the project is done by American Government agency for Internation Development USAID in collaboration with the local CDF committee. This will cover for the cost of the feasibility study, equipment hiring, project staffing, building of concrete power posts, purchase of power lines and building of the dam and the water reservoir. The initial cost outlay of the project is approximately 800,000 Kshs. Therefore in order to power a mill and provide electricity to about 200 families, a system of capacity 25 kilowatts is required. The turbine can last about 20 years after which it can be replaced. Power supplied to local house holds will be billed at a very affordable rate. Computed to be 45% lower that than of the national distributor, Kenya power. This is done on the premise that the local consumers will help to keep the cost down by proper an efficient use of power in their homes. A billing system has been put in place to ensure efficient collection of money from the users. Consumers will be able to pay their bills in the Powers Stations offices which will be put in the local subchiefs office. Payment can also be made through mobile money service available through local mobile phone providers like Safaricom M-Pesa, Airtel Money and Orange Money.

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Exit Strategy The project will be handed over to the local management committee and commissioned by the local MP whose support has been guaranteed. Kenya Power has also signed an agreement with the management committee to commit to buy any extra power that may be generated by the plant in future. USAID will also play a monitoring and evaluation role on the project for 3 years after the handing over.

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