Programme and Project Design

A programme is a collection of projects, formed into a cohesive package of work, in which a project is a unique venture to produce a set of outputs within clearly specified time, cost and quality constraints (METHOD123 2003). The different projects of a programme are complimentary and help the programme to achieve its overall objectives. Programmes tend to be split into tranches or phases and the benefits of a programme are the sum of the benefits of all projects (OECD n.y.). Programmes and projects differ from standard business operational activities as they (METHOD123 2003):

• are distinctive in nature, not involving a repetitive process.
• have a defined time-plan, with a specified start and end dates to meet the beneficiaries or funding agency’s requirements.
• have an allocated budget, which should be spent to produce the deliverables.
• have limited resources, such as labour, material and equipment.
• involve a risk, as there is a level of uncertainty whether the objectives will be attained.

Designing and planning is important for projects and programmes alike. It refers to the “process of setting goals, developing strategies, outlining the implementation arrangements and allocating resources to achieve those goals” (UNDP 2009). There are several approaches to programme and project design. The most commonly used tools are the project cycle management methodology and the Logical Framework Approach (OECD n.y.). The design phase constitutes the starting point of the project cycle as it 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 and its quality will influence the following stages in the project cycle (UNDP 2009). Moreover, the design of a programme or project and all its elements feed into a Project Proposal Writing, and is therefore highly important for the request of financial assistance (HARVEY ET AL 2002).

According to THOMET and VOZZA (2010) the design phase can be divided into four succeeding steps. Following these steps will help to design a good, simple and feasible programme, which can then be manifested in form of a proposal.

Step 1) Programme Identification: Identification is a participatory consultative process that analyses the overall situation and specifically the problem.

Step 2) Programme Formulation: Based on the situation analysis, the formulation of the programme should establish concrete goals and objectives to achieve and outline the ac­tions to be taken and the resources needed.

Step 3) Implementation Planning and Budgeting: An implementation plan will be formulated based on the Logical Framework Approach in order to have both a results-based work plan and a budget. 

Step 4) Planning of Monitoring and Evaluation: A Participatory Monitoring and Evaluation will be planned and budgeted.

Key points to be considered during the entire programme and project design phase include (UNDP 2009):

• Planning should be focused on results and real development changes.
• Planning should always be seen as a process, of which the actual plan is only one product.
• The planning process should be highly participatory, open, and should encourage frankness, creativity and innovation.
• Planning must be guided by core principles of development effectiveness. It should not lead to a neutral or generic plan but one that is based on lessons learnt in development programming.
• The most important outcomes of the planning process are: clarity on goals, objectives and a vision of the future; commitment and motivation of Stakeholder Identification; and clarity on the process to implement and manage the plan.

Step 1: Programme Identification

Every programme and project starts with a situation analysis. The purpose of such an analysis is to identify the needs, interests, priorities and resources of the Stakeholder Identification that will affect and may be affected by the project, and to assess the different possibilities for improving the situation. The scope of background studies depends on the complexity of the issues being addressed, and the availability of information (THOMET and VOZZA 2010).

The problem analysis guides the planning. This analysis constitutes a check point for the relevance of an intervention; either justifying it or proving it unnecessary or impossible (HARVEY et al 2002). The identification of problems is most reliable when undertaken in a participatory way (participatory methodologies include Focus Groups, Problem & Preference Ranking, Semi-Structured Interviews and Participatory Mapping). It is important that planners take into account different groups, and consider both general and group-specific problems. The stakeholders should address questions such as why the problems occur and why they persist. Joint discussion of these questions is a valuable forum for learning and can provide vital information. When formulating the problem, clearly specify (NEBIU 2002):

• Place of the problem
• Reasons
• Consequences
• Magnitude (# or % of impacted persons)
• The impact of the problem on other problems

The problem, or negative undesired situation, can be mapped out with its main problems, causes and effects, using a Problem Tree Analysis. The problem tree helps programme planners to correspond to the core problem on the problem tree and transform it into a positive statement with clear and manageable goals on the objective tree (UNDP 2009).

Once the objective tree has been finalised, the Strategy Development is selected, which is the final step in the situation analysis. It implies the selection of the strategy that will be used to achieve the de­sired objectives. It involves deciding what objectives will be included in the programme or project and what objectives will remain outside it (THOMET and VOZZA 2010).

Step 2: Programme Formulation

The formulation step is based on the understanding gained during the situation analysis and aims at formulating the best possible operational way to deal with the core problem affecting the target group (THOMET and VOZZA 2010).

The Logical Framework Approach has proved to be the most useful and effective tool with which to formulate the project and structure a project proposal (HARVEY et al 2002). The outputs of stakeholder, problem, objective and alternative analyses are the core ingredients of the programme frame, called the logical framework matrix (or logframe). 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). This series of operations, if successfully carried out, will lead to the desired situation (THOMET and VOZZA 2010).

The logical framework organises all the main elements of the objective tree, including the objectives, outputs, activities, indicators and assumptions:

Step 3: Implementation Planning and Budgeting

The project design requires an implementation or work plan for the activities listed in the logical framework. The work plan demonstrates that the project is feasible in terms of responsibilities, schedule and resources. The work plan is a key component of a Project Proposal Writing. It is the basis for monitoring the operations of the project (OECD n.y.).

The work plan consists of the following four matrices (HARVEY et al 2002):

• A work breakdown matrix, which is a simple activity plan that lists the desired programme outputs and all the necessary activities required to achieve these outputs.
• A responsibility matrix, which defines who is responsible for each activity.
• A calendar of activities, also called Gantt chart, should generally be used to show the order and duration of the programme activities determined in the activity plan.
• A resource (inputs) plan, which sets out the requirements for staff, equipment and materials and for the budget preparation, giving the cost of the resources needed.

A work plan is the main tool to facilitate the Project Management and therefore ensure a successful Project Implementation.

The planning process should extend beyond looking at activities, results and Using Indicactors to Measure Progress and Performance. It should include a plan and mechanisms for Project Management, Participatory Monitoring and Evaluation (UNDP 2009). Effective and timely decision making requires information from regular and planned monitoring and evaluation activities. Basically, monitoring and evaluation is about comparing what was originally planned with what actually happens. It tracks progress at each level of the logical framework: activities, outputs, outcomes and impacts (objectives). Planning for monitoring and evaluation must therefore start at the time of programme or project design, and they must be planned together (OECD n.y.).

According to UNDP (2009), recommended tools for planning monitoring and evaluation are matrices:

(Adapted from THE SPHERE PROJECT 2011)

According to The Sphere Project Standards Minimum Standard 1, the overall goal of WASH Programmes is that “WASH needs of the affected population are met and users are involved in the design, management and maintenance of the facilities where appropriate” (THE SPHERE PROJECT 2011).

The Sphere Project recommends that during the situation analysis a focus should lie on:

• Identifying risky practices that might increase vulnerability and to predict the likely success of both the provision of WASH facilities and hygiene promotion activities. Key risks are likely to centre on physical safety in accessing facilities, discrimination of marginalised groups that affects access, use and maintenance of toilets, the lack of hand-washing with soap or an alternative, the unhygienic collection and storage of water, and unhygienic food storage and preparation. 
• The assessment should look at resources available to the population, as well as local knowledge and practices so that promotional activities are effective, relevant and practical.
• Social and cultural norms that might facilitate and/ or compromise adherence to safe hygiene practices should be identified as part of the initial and ongoing assessment.
• The assessment should pay special attention to the needs of vulnerable people.

Key actions incorporated in the design of a WASH programme therefore include:

• Identification of key risks of public health importance in consultation with the affected population.
• Provision of public health needs of the affected population according to their priority needs.
• Systematically seeking feedback on the design and acceptability of both facilities and promotional methods from all different user groups on all WASH programme activities.
• Key indicators, which can be used in the logframe and for monitoring and evaluation, could include:
• All groups within the population have safe and equitable access to WASH resources and facilities, use the facilities provided and take action to reduce the public health risk.
• All WASH staff communicate clearly and respectfully with those affected and share project information openly with them, including knowing how to answer questions from community members about the project.
• There is a system in place for the management and maintenance of facilities as appropriate, and different groups contribute equitably.
• All users are satisfied that the design and implementation of the WASH programme have led to increased security and restoration of dignity.

Additionally, sound project design requires that monitoring and evaluation be built into the design from the beginning. Defining baselines, targets, and implementing systems to routinely collect and analyse data, as well as planning for necessary evaluation and decision points, are all essential to keeping a project on track and communicating project performance. In complex or dynamic environments, an ongoing evaluation may need to be built into the project design as well as the revision of M&E plans over time based on learning.

Design and planning must be applied by anybody who intends to formulate programmes or projects that are economically, socially, politically and environmentally viable. It is required to effectively conceive and plan their implementation based on demand-driven proposals. The design steps help users to respond to concrete development needs, while also meeting the eligibility criteria of donors and co-operation agencies. Increasingly, donors are supporting initiatives that strengthen recipient ownership, improve the overall effectiveness of aid, and reduce the cost of managing development assistance. The principles of programme design and implementation can be applied to project and programme planning at any level, under consideration of the particularities of the context.