UN-Habitat Project Management Workshop

1. Preparing for results-based management UN-HabitatProject Management Workshop

2. Outputs of this Workshop At the end of the training, participants know: • The Project / Programme Management Cycle, as applied by UN-Habitat • How to link new projects to UN-Habitat’s mandate and MTSIP • How to prepare such projects for implementation – using the Logical Framework Matrix as a tool • How to use these concepts for Monitoring and Evaluation of UN-Habitat projects Martin Steinmeyer

3. Outcome and Impact of the Workshop This is supposed to: • Increase the relevance, effectiveness and impact of UN-Habitat projects (in the framework of UN-Habitat’s mandate and MTSIP) Which in the end is meant to: • Help to improve the performance of UN-Habitat overall Martin Steinmeyer

4. Exercise 1: Introduction The basic ideas and challenges of working with projects Martin Steinmeyer

5. Characteristics of a Project • Has a defined start and an end; • Has agreed, and well defined outputs and produces measurable effects (expected accomplishment, outcomes); • Has a balance between time, cost and quality; • Has interrelated tasks, often grouped into phases; • Has a temporary, often multidisciplinary project team brought together for the project; • Might entail the involvement of people from other units or organizations. Martin Steinmeyer

6. What is „Project Management“? • Structuring and facilitating processes of change in order to produce outputs and (expected) accomplishments in “best” way • This involves: • Dealing with complexity and uncertainties related to the context and to human interactions; • Dealing with the subjective perceptions and values of people involved; • Continuously collecting information, in order to make adaptations to optimize outputs, the (expected) accomplishment and outcomes Martin Steinmeyer

7. The Project Cycle – The „Life of a UN-Habitat Project“ Knowledge Management & Programming Project Identification (Stage 1) Project Identification (Stage 1) Project Brief IMPACT Project Preparation and Formulation (Stage 2) Evaluation Project Document Monitoring+ Evaluation Presentation & Approval Project Implementation 7 Martin Steinmeyer

8. Explore problem(s) and causes (and their alignment with UN-Habitat mandate / MTSIP) „How will project helptosolveproblem; helptofullfil UN-Habitat mandate?“ (The „projectinterventionlogic“) „How will project helptosolveproblem; helptofullfil UN-Habitat mandate?“ (The „projectinterventionlogic“) Refinescopeof Project Project Identification (Stage 1)Overview Identifyandanalysemainstakeholders (Who toworkwith (team & partners)? Who will benefit? Analyse mainrisks (andhowto deal withthem) Estimate Budget and Project Duration Write Project Brief

9. 9 The context of our projects.... Where our project (and the programme) are meant to help our organisation to fulfil its mission UN-Habitat (Our Organisation) The programme it belongs to Where the benefits of an individual project are meant to complement the benefits of other projects Our Project Projects are used to create products and deliver business benefit Martin Steinmeyer

10. 10 You need to make sure that.... UN-Habitat (Our Organisation) The programme it belongs to ... But really here!!! Our Project .. your project is not here... Martin Steinmeyer

11. 11 You also need to make sure that.... ... your project really has a chance of solving the problem you mean to address... UN-Habitat (Our Organisation) The programme it belongs to Our Project ... and thereby contributes to the objectives and mandates of UN-Habitat Martin Steinmeyer

12. Introducing: the Intervention Logic UN-Habitat Mandate MTSIP Overall / Goal Objectives Expected Accomplishment Physical and non physical means necessary to undertake activities Outputs Inputs Activities Martin Steinmeyer

13. Levels of the Intervention Logic – Example UN-Habitat Mandate MTSIP Overall Goal / Objectives Expected Accomplishment Money, human resources, materials, equipment Outputs Inputs Activities Martin Steinmeyer

14. Intervention logic during “planning” and “implementation” UN-Habitat Mandate MTSIP Overall Goal / Objectives Planning Expected Accomplishment Implementation Money, human resources, materials, equipment Outputs Inputs Activities Martin Steinmeyer

15. UN-HABITAT MANDATE: HABITAT AGENDA / MDG 7 : TARGETS 10 & 11 / INT’L CONFERENCE PRIORITIES UN-H GOAL SU created by cities & regions that provide citizens with adequate services, security & employment opportunities To help create, by 2013, the conditions for international & national efforts to stabilize growth of slums and to set the stage for the reduction of urban poverty and the number of slum dwellers MTSIP Vision Sustainable Urbanization in targeted countries is a fundamental principle driving the making and implementation of development policy at the national and local levels in an engendered and youth sensitive way MTSIP Strategic Objective MTSIP EA / Outcomes Focus Area 1: Effective normative work informs SU policy making in … Focus Area 2: Participatory processes strengthen SU Partners to … Focus Area 3: Enabling policy / legal environment promotes PP land … Focus Area 4: Expanded access to environmentally sound urban services Focus Area 5: Increased access by the poor to innovative financing systems Focus Area 6: UN-H staff are empowered to achieve planned results MTSIP Sub-EAs / Outcomes Sub EA 1.1 Sub-EA 1.2 Sub-EA 3.2 Sub-EA 4.2 Sub-EA 5.1 Sub-EA 5.2 Sub-EA 6.2 Sub-EA 2.1 Sub-EA 2.2 Sub-EA 3.1 Sub-EA 4.1 Sub-EA 6.1 MTSIP Outputs MTSIP Activities / Projects A B C D A B C D A B C D A B C D A B C D A B C D MTSIP Inputs Regular Resources = 10 percent / Non-Earmarked Project = 10 percent / Earmarked Project = 80 percent UN-HABITAT Medium-Term Strategic & Institutional Plan (MTSIP) Results Framework

16. FOCUS AREA 1: Effective advocacy, monitoring and partnerships FA 1 Goal / MTSP SO Sustainable Urbanization in targeted countries is a fundamental principle driving the making and implementation of development policy from global to local levels in an engendered & youth sensitive way FA 1 Strategic Result Effective Normative Work Informs Sustainable Urbanization Policymaking and Implementation ExpectedAccomplishments/ Outcomes-level Results EA 1 EA 2 EA 3 Sub-EAs / Sub-Outcomes Results Sub-EA 1.2 Sub-EA 2.1 Sub-EA 3.1 Sub-EA 3.2 Sub-EA 1.1 Sub-EA 2.2 FA / EA Outputs output output output output output output output output output output output output FA Activities Illustrative Activities Illustrative Activities Illustrative Activities

17. Explore problem(s) and causes (and their alignment with UN-Habitat mandate / MTSIP) „How will project helptosolveproblem; helptofullfil UN-Habitat mandate?“ (The „projectinterventionlogic“) Refine scope of Project Project Identification (Stage 1)Overview Identifyandanalysemainstakeholders (Who toworkwith (team & partners)? Who will benefit? Analyse mainrisks (andhowto deal withthem) Estimate Budget and Project Duration Write Project Brief

18. Scoping the Project- example In Scope of this training Out of scope of this training Software management software Managing project teams, team building Budgeting • Provide practical tools, techniques and methods to plan and evaluate projects • Intervention Logic and “Logical Framework” • Work with ‘real life’ projects as case studies; • Work in plenary as well as small group sessions. Martin Steinmeyer

19. The objective tree – a tool to visualise the Intervention Logic Overall Goal / Objective C Overall Goal / Objective D Overall Goal / Objective E Overall Goal / Objective B Overall Goal / Objective A In scope ExpectedAccomplishment Out of scope Output 1 Output 2 Output 3 Activity 2.1 Activity 3.1 Activity 1.1 Activity 2.2 Activity 3.2 Activity 1.2 Activity 2.3 Activity 3.3 Activity 1.3 Martin Steinmeyer

20. Exercise: The first approach to your project In your groups, please: • Clarify the background & the problem(s) the project is meant to address • Draft a first version of your project’s intervention logic: • The Overall Goal / Objective • The Expected Accomplishment • The Outputs • The Activities • Define / refine the scope of your project (borderline cases) Martin Steinmeyer

21. Explore problem(s) and causes (and their alignment with UN-Habitat mandate / MTSIP) „How will project helptosolveproblem; helptofullfil UN-Habitat mandate?“ (The „projectinterventionlogic“) Refinescopeof Project Project Identification (Stage 1)Overview Identify and analyse main stakeholders (Who to work with (team & partners)? Who will benefit? Analyse mainrisks (andhowto deal withthem) Estimate Budget and Project Duration Write Project Brief

22. What are stakeholders? Stakeholders … • ...are anyindividual/s, groups of people, institutions or firms that may have a relationship with the project. • ... may – directly or indirectly, positively or negatively – affect or be affected by the process and the outcomes of the project. Martin Steinmeyer

23. Main groups of stakeholders Beneficiaries: • Individuals, groups, or organizations that benefit from intervention, whether targeted or not, whether directly or indirectly. Target group/s • Group/entity who will be immediately and positively affected by the project (at level of expected accomplishment) Project Partners: • The individuals and/or organizations that collaborate to achieve mutually agreed upon objectives. And finally: “Troublemakers”: • Those who can give you grief... Martin Steinmeyer

24. Stakeholder Analysis: Stakeholder Map Martin Steinmeyer

25. Stakeholder Analysis: Stakeholder Matrix Martin Steinmeyer

26. Stakeholder Analysis: SWOT Analysis Martin Steinmeyer

27. Group Exercise: Stakeholder Analysis In your groups, please: • Brainstorm and list all relevant stakeholders • Pick two (2) of our three (3) analysis tools (map, matrix, SWOT) and apply to your project • Determine for your project • Who is / are the target group/s for your project? • Who can you use as project partners? • Who are potential "troublemakers"? • Consider: What changes to your original project design should you make? Martin Steinmeyer

28. Explore problem(s) and causes (and their alignment with UN-Habitat mandate / MTSIP) „How will project helptosolveproblem; helptofullfil UN-Habitat mandate?“ (The „projectinterventionlogic“) Refinescopeof Project Project Identification (Stage 1)Overview Identify and analyse main stakeholders (Who to work with (team & partners)? Who will benefit? Analyse main risks (and how to deal with them) Estimate Budget and Project Duration Write Project Brief

29. Risk Assessment Matrix Martin Steinmeyer

30. Identifying Responses to Risks Main Risk Response Categories: • Prevention: Eliminate source of risk, stop risk from happening • Reduction: Reduce probability of risk happening • Acceptance: Deciding to “do nothing” about a risk • Contingency: Prepare for risk to happen by identifying contingent time, money, actions • Transference: Give risk to someone else, e.g. insurance company, contractor Martin Steinmeyer

31. Group Exercise: Risk Analysis In your groups, please: • Brainstorm on the main risks your project is facing • Develop a Risk Assessment Matrix for your project • Decide how you will manage the identified risks in your project, using the 5 risk response categories Martin Steinmeyer

32. Explore problem(s) and causes (and their alignment with UN-Habitat mandate / MTSIP) „How will project helptosolveproblem; helptofullfil UN-Habitat mandate?“ (The „projectinterventionlogic“) Refinescopeof Project Project Identification (Stage 1)Overview Identify and analyse main stakeholders (Who to work with (team & partners)? Who will benefit? Analyse mainrisks (and how to deal with them) Estimate Budget and Project Duration Write Project Brief

33. Draftingthe Project Brief (End ofstage 1) A Project Brief provides a concise and clear summary of the initial project design Why is UN-Habitat now requiring project briefs: • Provides opportunity to check relevance of proposed project to UN-HABITAT’s mandate and linkage to MTSIP focus area and work programme results. • Authority to develop full project document will be granted or denied based on brief. • Resource mobilization can proceed in earnest after clearance of project brief. • Provides opportunities for early intra/inter-divisional and branch dialogue. Martin Steinmeyer

34. Whatinformationbelongsinto Project Brief? Project Name: Project Linkage to MTSIP Focus Area Geographical scope & Project Location: UN-Habitat Lead Division / other divisions / other partners Proposed duration and estimated budget Background and Rationale: What is the problem, and why do we need this project? Proposed target group: Who will be immediately and positively affected by the project Project Intervention Logic (Project Objectives, Expected Accomplishment, Outputs and Activities): What is the project designed to do and to achieve? Key assumptions and risks Martin Steinmeyer

35. ? Project Brief: Quality assessmentcriteria • Relevance relates to whether the project addresses the real problems of the intended beneficiaries. • Feasibility relates to whether the project objectives can be effectively achieved. • Sustainability relates to whether project benefits will continue to flow after the external support has ended. Martin Steinmeyer

36. The Project Cycle – The „Life of a UN-Habitat Project“ Knowledge Management & Programming Project Identification (Stage 1) Project Brief IMPACT Project Preparation and Formulation (Stage 2) Project Preparation and Formulation (Stage 2) Evaluation Project Document Monitoring+ Evaluation Presentation & Approval Project Implementation 36 Martin Steinmeyer

37. Planning of Resources: (People, Material, Equipment, Money) Develop a schedule Refine scope, balancing Time, Costs and Quality Develop Indicators and M&E system Project Preparation & Formulation (Stage 2)Overview Ensure approval of plans by relevant stakeholders Draft Logical Framework Matrix Write Project Document

38. The Logical Framework Approach (LFA) • Origin in late 1960‘s to assist USAID to improve project planning and evaluation system. • Today used by most multilateral and bilateral aid agencies, international NGOs and by many partner governments. • Analytical, planning and management tool. • ‘Aid for thinking‘ - allows information to be analysed and organised in a structured way • Logical Framework Matrix (LFM or “Log-frame”). • Core tool used within PCM. Martin Steinmeyer

39. Project Cycle Management and LFA How PCM and LFA connect Project Cycle Management: The decision making process as defined by the organisation Logical Framework Approach: Project management method and tools Martin Steinmeyer

40. The Logical Framework Matrix (LogFrame) Sources of Verification InterventionLogic Assumptions (Risks) Indicators Overall Goal / Objective Expected Accomplishment Outputs Activities Means Cost Pre-condi-tions ‘... IF results are delivered, AND assumptions hold true, THEN the project purpose will be achieved ...’ Martin Steinmeyer

41. Workplan Budget Budget Workplan Budget Workplan 5500 1750 4250 750 400 1100 3100 5500 1750 4250 750 400 1100 3100 Salaries Allowances Vehicle Op. Office Tel/Fax Seeds Fertiliser 5000 5500 1250 1750 3750 4250 750 750 400 400 850 1100 2300 3100 LogFrame: Planning & Management Tool Activity and resource scheduling LogFrame Results-based workplans & budgets Martin Steinmeyer

42. Developing Indicators What is an Indicator Quantitative or qualitative factor or variable that provides simple and reliable means to measure achievement, to reflect changes connected to an intervention, or to help assess performance of an actor. Example: Change of # of qualified and experienced teachers per 1000 children of primary-school age in area X in one year Martin Steinmeyer

43. What makes a good indicator? • It must beverifiablebytheevaluatorand a thirdparty • It must belinkedtotheresultsintendedortosignificantchanges in thesituation • It must bemanageabletocollect, presentandtotrackover time Some also wantindicatorstobe „S.M.A.R.T“: Specific, Measureable, Achievable, Relevant, Timebound Martin Steinmeyer

44. S.M.A.R.T Indicators • Specific: Indicator is clearly stated, focused on result to be measured and described as “change” • Measurable / Monitorable: possible to collect information to decide if Indicator has been achieved • Achievable: Indicator correlates to target that can be attained by project • Relevant: Indicator represents a result in intervention logic • Time-bound: Achievement indicator target is linked to expected date of accomplishment Martin Steinmeyer

45. Implications of Indicator Selection Conceivable Indicators for “access to qualified teachers” … which tools you will have to use to gather data! influences… … how costly your monitoring system will be! influences… … what skills you will need in your team! influences… … what the monitoring data (findings) can be used for! influences… Change in total # of trained teachers (in country X; city Y) “# of teachers trained per year “# of trained teachers per 1000 children“ “% of teachers (per school) that have received training / have at least a Masters Degree “% of students who indicate that they have a “trained teacher” “% of teacher who are proficient in core curriculum of country X” “Teacher qualification index”; i.e. taking into account “% of underqualified teachers”; % of beginning teachers” per school. Martin Steinmeyer

46. The LogFrame throughout the Project Cycle Use of LFA in later stages IMPLEMENTATION PHASE COMPLETION/EVALUATION • Indicators which provide management information (monitoring and regular review) • Assumptions which support risk management • Updated activity schedules linked to results • Updated resource schedules and budgets linked to results • A clear situation/problem analysis to help evaluate relevance • Objective structure and indicators against which to evaluate effectiveness and impact • Activity and resource schedules to assist in evaluating efficiency Martin Steinmeyer

47. Exercise: Develop a set of indicators for your project In your groups, please: • Develop a set of indicators for the different levels of your intervention logic (LogFrame) • Identify the “Sources of Verification” for each of the indicators, i.e. where and how you will obtain the data. • Enter the information in the logical framework matrix (LogFrame) for your project Martin Steinmeyer

48. The Project Cycle – The „Life of a UN-Habitat Project“ Knowledge Management & Programming Project Identification (Stage 1) Project Brief IMPACT Project Preparation and Formulation (Stage 2) Evaluation Evaluation Project Document Monitoring+ Evaluation Presentation & Approval Project Implementation Project Implementation 48 Martin Steinmeyer

49. Monitoring and Evaluation Setting up an M&E System and drawing conclusions from data Martin Steinmeyer

50. Information Accountability Monitoringand Evaluation Learning Legitimacy The Purpose of Monitoring and Evaluation Stockmann/CEval Martin Steinmeyer