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The five phases of PCM

TABLE OF CONTENTS

Programming: The establishment of general guidelines and principles for EC support.

Purpose

The purpose of the programming phase is to assess whether, and in what form, EC development co-operation in water-related activity should be considered and what its role is likely to be within a country’s national water plan. Programming helps to: establish what other assistance is being provided, from what sources and in what Focus Areas; review existing water policy; consider water-related activity across all development sectors; and identify the key Focus Area(s) for water-related projects. The programming exercise indicates ideas for projects and programmes.

Inputs

Sectoral plans and strategy documents; base­line data and situation analysis; evaluations of past projects; demand analysis and resource assessment; economic, financial, social, institutional and environmental analysis.

Activities

Sectoral and country/regional studies; dialogue with stakeholders; programming workshops and missions. A water resources country study may be useful to assess national and/or regional constraints, opportunities and priorities as well as determining the role of the different national and international actors. A standard format for terms of reference for a country study is given in Part III, Chapter 15.

Outcomes

The development or further elaboration of a National or Regional Indicative Programme for water, consistent with development plans and with economic, social and environmental priorities; the identification of necessary supporting policy measures, and of complementary activities required in other sectors.

Identification:The initial formulation of project ideas.

For all phases of the project cycle other than programming, checklists have been prepared in the same format, to allow the user of the Guidelines to examine key issues likely to arise in the preparation and implementation of projects, alongside possible responses.

Issues and responses are grouped according to a set of problem statements within the framework of principles established in the strategic approach, starting with Institutional and Management principles, and proceeding through all categories of principles. In the Identification and Formualtion phases, each programming context is handled separately since issues and responses differ between Focus Areas. In other phases, issues and responses are generic, and the same set of checklists applies in every Focus Area.

Purpose

The purpose of the identification phase is to determine whether it is worth going ahead with a detailed study (feasibility study) to define the project more closely. The need or problem the project is intended to address, and its suitability, will be explored; alternatives considered as well as the fit with other related project plans; base-line data will be reviewed; and thought given to the social, economic and environmental issues on which further research is indicated.

Inputs

National or Regional Indicative Programme (NIP and RIP); evaluation reports and reports from other projects; terms of reference for a pre-feasibility study.

Activities

Stakeholder analysis and consultation, including among proposed beneficiary groups and their representative organisations; identification workshop; pre-feasibility study. A standard format for terms of reference for a pre-feasibility study is given in Part III, Chapter 15.

Outcomes

A pre-feasibility report defining a project concept consistent with sectoral policy; assessment of the project concept for relevance, feasibility and sustainability; if further work on the project appears justified, definition of issues for the feasibility study and drawing up terms of reference.

Formulation: The detailed planning and preparation of the project.

Purpose

The purpose of the project formulation stage is to define all the components of the project in sufficient detail to support an informed decision on whether to proceed further and, if the decision is in favour, to facilitate implementation. During this stage, it will be necessary to revisit the broader picture of the project context and framework to see whether any changes have occurred, and make suitable adjustments based on new information. Estimates will be needed of capital and recurrent costs, and of how these are to be met from all possible sources. The institutional and management framework will have to be identified, and the likely social and environmental impacts.

Inputs

Pre-feasibility report defining key components of the proposed project; terms of reference for feasibility study.

Activities

Stakeholder participation; formulation workshop; feasibility study; supplementary studies (environmental impact assessment, social impact assessment, gender analysis, see Part III. A standard format for terms of reference for a feasibility study is given in Part III, Chapter 15.

Outcomes

Feasibility report; assessment of the project plan described in the feasibility study for relevance, practicality and sustainability; end of appraisal report; project design, technical specification and tender documents; operational plan for project implementation and monitoring; definition of complementary policies or activities which are necessary to support project sustainability.

Financing:Securing of financial agreement for the project.

Purpose

The purpose of the financing stage in the project cycle is to reach an informed decision to implement the project and to secure funding for it through an agreement between the recipient country and the EC (perhaps in co-ordination with other donors). To achieve this, satisfactory answers will be needed to a number of questions, including its relevance, feasibility and prospects of sustainability; the accuracy of costings; and the level of commitment and sense of future ownership by the Government and stakeholders. Demonstration is needed that sufficient funding to complete the project, and maintain any installations in the future, will be available.

Inputs

Feasibility report; results from complementary studies (environmental impact assessment, social impact assessment see Part III, Aids).

Activities

Preparation of a Financing Proposal and supporting documentation; review and decision on the financing proposal.

Outcomes

Financing decision by appropriate EC body, followed by a Financing Agreement confirming project content and modalities; accompanying measures for project implementation and sustainability; definition of conditions for project financing; definition of monitoring indicators (see also Part III).

Implementation & Evaluation:The detailed planning and preparation of the project.

Purpose

Creating the project assets (physical structures, institutional systems) efficiently and effectively in order to yield a sustainable flow of benefits. Before implementation of the project activities, an assessment will be needed as to whether pre-conditions for implementation have been met; whether the schedule is realistic; whether all necessary mechanisms for disbursement are in place; and whether the agents responsible for implementation are well-prepared and performing satisfactorily.

Inputs

Financing Agreement; project implementation plan; detailed designs and tender documents; monitoring systems and indicators (see Part III).

Activities

Dialogue with stakeholders and those administratively responsible; project start-up workshop; project execution; mid-term review, project supervision. A mid-term review can be particularly useful to help reformulate projects to take account of changes and the standard format for terms of reference for an evaluation study, given in Part III, Chapter 15, could be modified for use for a mid–term review.

Outcomes

Project executed as far as possible according to plan; drafting of further plans to ensure that project assets can be operated successfully to maintain a sustainable flow of benefits.


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