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Monitoring & Evaluation Officer’s Handbook Government of AJK, Planning & Development Department

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PART-I Monitoring and Evaluation
ABOUT THE HANDBOOK Introduction
This handbook deals with the basics of setting up and using a monitoring and evaluation system for a project or an organization. It clarifies what monitoring and evaluation are, how you plan to do them, how you design a system that helps you monitor and an evaluation process that brings it all together usefully. It looks at how you collect the information you need and then how you save yourself from drowning in data by analyzing the information in a relatively straightforward way. Finally it raises, and attempts to address, some of the issues to do with taking action on the basis of what you have learned.

Need of Having Handbook on monitoring and evaluation
If you don’t care about how well you are doing or about what impact you are having, why bother to do it at all? Monitoring and evaluation enable you to assess the quality and impact of your work, against your action plans and your strategic plan. In order for monitoring and evaluation to be really valuable, you do need to have planned well. Planning is dealt with in detail in other toolkits on this website.

Application of the Handbook
The Handbook can helpful in following events: • To set up systems for data collection during the planning phases of a project or organization. • • • To analyze data collected through the monitoring process. To know how efficiently and how effectively you are working. To evaluate what impact the project is having at any stage.

In fact, monitoring and evaluation are invaluable internal management tools. If you don’t assess how well you are doing against targets and indicators, you may go on using resources to no useful end, without changing the situation you have identified as a problem at all. Monitoring and evaluation enable you to make that assessment.

Prepared by Lt Col ( R) Khalid Hussain Chohan, M&E Expert Public Sector Capacity Building Project in AJK

Monitoring & Evaluation Officer’s Handbook Government of AJK, Planning & Development Department

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CHAPTER-1
BASIC CONCEPT OF MONITORING & EVALUATION Monitoring is the systematic collection and analysis of information as a project
progresses. It is aimed at improving the efficiency and effectiveness of a project or organization. It is based on targets set and activities planned during the planning phases of work. It helps to keep the work on track, and can let management know when things are going wrong. If done properly, it is an invaluable tool for good management, and it provides a useful base for evaluation. It enables you to determine whether the resources you have available are sufficient and are being well used, whether the capacity you have is sufficient and appropriate, and whether you are doing what you planned to do.

Evaluation is the comparison of actual project impacts against the agreed strategic plans.
It looks at what you set out to do, at what you have accomplished, and how you accomplished it. It can be formative (taking place during the life of a project or organization, with the intention of improving the strategy or way of functioning of the project or organization). It can also be summative (drawing learnings from a completed project or an organization that is no longer functioning). What monitoring and evaluation have in common is that they are geared towards learning from what you are doing and how you are doing it, by focusing on: • • • Efficiency Effectiveness Impact

Efficiency tells you that the input into the work is appropriate in terms of the output.
This could be input in terms of money, time, staff, equipment and so on. When you run a project and are concerned about its replicability or about going to scale, then it is very important to get the efficiency element right.

Effectiveness is a measure of the extent to which a development project achieves the
specific objectives it set. If, for example, we set out to improve the qualifications of all the high school teachers in a particular area, did we succeed?

Impact tells you whether or not what you did made a difference to the problem situation
you were trying to address. In other words, was your strategy useful? Did ensuring that teachers were better qualified improve the pass rate in the final year of school? Before you decide to get bigger, or to replicate the project elsewhere, you need to be sure that what you are doing makes sense in terms of the impact you want to achieve.

Need Of Monitoring & Evaluation
Monitoring and evaluation enable you to check the “bottom line” of development work: Not “are we making a profit?” but “are we making a difference?” Through monitoring and evaluation, you can: Prepared by Lt Col ( R) Khalid Hussain Chohan, M&E Expert Public Sector Capacity Building Project in AJK

Monitoring & Evaluation Officer’s Handbook Government of AJK, Planning & Development Department • Review progress; • Identify problems in planning and/or implementation; • Make adjustments so that you are more likely to “make a difference”.

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In many organizations, “monitoring and evaluation” is something that that is seen as a donor requirement rather than a management tool. Donors are certainly entitled to know whether their money is being properly spent, and whether it is being well spent. But the primary (most important) use of monitoring and evaluation should be for the organization or project itself to see how it is doing against objectives, whether it is having an impact, whether it is working efficiently, and to learn how to do it better. Plans are essential but they are not set in concrete (totally fixed). If they are not working, or if the circumstances change, then plans need to change too. Monitoring and evaluation are both tools which help a project or organization know when plans are not working, and when circumstances have changed. They give management the information it needs to make decisions about the project or organization, about changes that are necessary in strategy or plans. Through this, the constants remain the pillars of the strategic framework: the problem analysis, the vision, and the values of the project or organization. Everything else is negotiable. Getting something wrong is not a crime but failing to learn from past mistakes because you are not monitoring and evaluating, is. It is important to recognize that monitoring and evaluation are not magic wands that can be waved to make problems disappear, or to cure them, or to miraculously make changes without a lot of hard work being put in by the project or organization. In themselves, they are not a solution, but they are valuable tools. Monitoring and evaluation can: • • • • • • • Help you identify problems and their causes; Suggest possible solutions to problems; Raise questions about assumptions and strategy; Push you to reflect on where you are going and how you are getting there; Provide you with information and insight; Encourage you to act on the information and insight; Increase the likelihood that you will make a positive development difference.

The effect of monitoring and evaluation can be seen in the following cycle. Note that you will monitor and adjust several times before you are ready to evaluate and replan.

Prepared by Lt Col ( R) Khalid Hussain Chohan, M&E Expert Public Sector Capacity Building Project in AJK

This may mean project staff and beneficiaries working together on the evaluation. • External evaluation: This is an evaluation done by a carefully chosen outsider or outsider team. The intention is to involve as many people with a direct stake in the work as possible. games. There are many different ways of doing an evaluation. effectiveness and impact. not an evaluator. It is semi-structured and carried out by an interdisciplinary team over a short time. in fact. 4 Evaluation involves: • Looking at what the project or organization intended to achieve – what difference did it want to make? What impact did it want to make? • Assessing its progress towards what it wanted to achieve. direct observation. It is flexible and interactive. but it can be an important learning experience. Was there an efficient use of resources? What were the opportunity costs of the way it chose to work? How sustainable is the way in which the project or organization works? What are the implications for the various stakeholders in the way the organization works? In an evaluation. In an evaluation context. useful way to gather information. Prepared by Lt Col ( R) Khalid Hussain Chohan. semi-structured interviews. • Interactive evaluation: This involves a very active interaction between an outside evaluator or evaluation team and the organization or project being evaluated.Monitoring & Evaluation Officer’s Handbook Government of AJK. If an outsider is called in. It takes a very self-reflective and honest organization to do this effectively. • Looking at the strategy of the project or organization. Monitoring is an internal function in any project or organization. diagrams. This is a qualitative way of doing evaluations. key informants. • Analyzing the information. Did it have a strategy? Was it effective in following its strategy? Did the strategy work? If not. the same methodology can. It involves the use of secondary data review. effectiveness and impact. Some of the more common terms you may have come across are: • Self-evaluation: This involves an organization or project holding up a mirror to itself and assessing how it is doing. it allows one to get valuable input from those who are supposed to be benefiting from the development work. M&E Expert Public Sector Capacity Building Project in AJK . it is to act as a facilitator of the process. • Setting up systems to collect information relating to these indicators. as a way of learning and improving practice. Planning & Development Department EVALUATION Monitoring involves: • Establishing indicators of efficiency. cheap. group interviews. its impact targets. • Using the information to inform day-to-day management. • Collecting and recording the information. why not? • Looking at how it worked. be applied in most communities. we look at efficiency. • Participatory evaluation: This is a form of internal evaluation. maps and calendars. It is used as a starting point for understanding a local situation and is a quick. • Rapid Participatory Appraisal: Originally used in rural areas.

External evaluation can be very costly. the organizational culture and the aims and objectives. Someone from outside the organization or project may not understand the culture or even what the work is trying to achieve Those directly involved may feel threatened by outsiders and be less likely to talk openly and cooperate in the process. may prefer an external evaluation. 5 INTERNAL VS EXTERNAL EVALUATIONS Advantages Disadvantages The evaluation team may have a vested interest in reaching positive conclusions about the work or organization. An external evaluator may misunderstand what you want from the evaluation and not give you what you need Prepared by Lt Col ( R) Khalid Hussain Chohan. The evaluators should have a range of evaluation skills and experience. This may make it easier for those involved to accept findings and criticisms. Sometimes people are more willing to speak to insiders than to outsiders. Internal Evaluation The evaluators are very familiar with the work. Planning & Development Department Sometimes an insider may be included in the evaluation team. The evaluation will take up a considerable amount of organizational time. For this reason. M&E Expert Public Sector Capacity Building Project in AJK . a way of self-correcting. such as donors. An internal evaluation will cost less than an external evaluation. the opportunity costs may be high. and much less threatening than an external evaluation. Sometimes people are more willing to speak to outsiders than to insiders.Monitoring & Evaluation Officer’s Handbook Government of AJK. An internal evaluation is very clearly a management tool. The team may not be specifically skilled or trained in evaluation. External evaluation (done by a team or person with no vested interest in the project) The evaluation is likely to be more objective as the evaluators will have some distance from the work. particularly positive findings. other stakeholders. It may cost less than an external evaluation. Using an outside evaluator gives greater credibility to findings.

Ability to communicate verbally and in writing.Selecting An External Evaluator or Evaluation Team Qualities to look for in an external evaluator or evaluation team: • • • • • • • • • • • • • • • • • • • • • An understanding of development issues. Ask for a work plan with outputs and timelines. Objectivity. honesty and fairness. Values that are compatible with those of the organization. Reasonable rates (fees). his/her opinions must be clearly stated as such. S/he will have opinions and ideas – you are not looking for someone who is a blank page! However. Check his/her/their references. Maintain contact – ask for interim reports as part of the contract Build in formal feedback times. Negotiate a contract which makes provision for what will happen if output expectations are not met. and must not be disguised as “facts”. When you decide to use an external Evaluator: Do not expect any evaluator to be completely objective. Logic and the ability to operate systematically. A commitment to deadlines. Meet with the evaluators before making a final decision. measured against the going rates. Experience in evaluating development projects. Research skills. Communicate what you want clearly – good Terms of Reference Terms) are the foundation of a good contractual relationship. It is also useful to have some idea of his/ her (or their) approach to evaluation. A good track record with previous clients. . A commitment to quality. programs or organizations. An understanding of organizational issues. A style and approach that fits with your organization.

process. However an organization can ask for a particular emphasis but should not exclude findings that make use of a different approach . Assessing range of options related to the Is the project project context effective? Should it inputs. Critical review based How does an outside on experience. finding ways to measure indicators. and continue? How might product.DIFFERENT APPROACHES TO EVALUATION Approach Goal-based Major purpose Typical focus questions Likely methodology Comparing baseline (see Glossary of Terms) and progress data (see Glossary of Terms). intended and What are all the to judge project unintended. professional rate this informal surveying. Establishing it be modified? some kind of decision-making consensus. Efficiently? Were they the right Decision Making Providing information. Qualitative value do they have? and quantitative techniques to uncover any possible results. Assessing Were the goals achievement of goals achieved? and objectives. outcomes? What worth. Goal-free Independent Assessing the full determination of range of project needs and standards effects. project? and subjective insights. A combination of all these approaches is recommended as the best option. Expert judgement Use of expertise.

When you do your planning process. take place when you do your needs assessment (see the toolkit on overview of planning. This will give you the information you need against which to assess improvements over time. In this section we look at: • • • • What do we want to know? This includes looking at indicators for both internal issues and external issues. what we think is important is linked to our values. Empowering the disadvantaged. The ideas included in the toolkits on overview of planning. Most work in civil society organizations is underpinned by a value framework. in fact. How will we get information? Who should be involved? There is not one set way of planning for monitoring and evaluation. It is this framework that determines the standards of acceptability in the work we do. . You need to begin gathering information about performance and in relation to targets from the word go. strategic planning and action planning will help you to develop a useful framework for your monitoring and evaluation system. Efficient use of resources. this approach lends itself well to planning a monitoring and evaluation system. you will set indicators (see Glossary of Terms). In development work. Sustainability. not just helping individuals. Different kinds of information. If you are familiar with logical framework analysis and already use it in your planning. They tell you what you want to know and the kinds of information it will be useful to collect. It is very difficult to go back and set up monitoring and evaluation systems once things have begun to happen. These indicators provide the framework for your monitoring and evaluation system. The central values on which most development work is built are: • • • • • Serving the disadvantaged. Changing society.CHAPTER-II PLANNING FOR MONITORING AND EVALUATION Monitoring and evaluation should be part of your planning process. WHAT DO WE WANT TO KNOW? What we want to know is linked to what we think is important. the section on doing the ground work). The first information gathering should.

and nutritional status and birth weights. the first thing we need to know is: Is what we are doing and how we are doing it meeting the requirements of these values? In order to answer this question. for example. the extent of potable (drinkable) water available and so on. What Do You Want To Know? Indicators Indicators are also dealt with in overview of planning. or will the impact of our work cease when we leave? • Are we getting optimum outputs for the least possible amount of inputs? Do we want to know about the process or the product? Should development work be evaluated in terms of the process (the way in which the work is done) or the product (what the work produces)? Often. If one were interested in the gender impact of. then you could use “increased time for involvement in development projects available to women” as an indicator. Common indicators for something like overall health in a community are the infant/child/maternal mortality rate. We said we’d sink a well and we did” is not enough. then sinking a well without the transfer of skills for maintaining and managing the well is not enough. Indicators are measurable or tangible signs that something has been done or that something has been achieved. An indicator of community empowerment might be an increased frequency of community members speaking at community meetings. an increased number of television aerials in a community has been used as an indicator that the standard of living in that community has improved. But neither is: “It doesn’t matter that the well hasn’t happened yet. for example. What we achieve and how we achieve it are often the very same thing. If the goal is development. this debate is more about excusing inadequate performance than it is about a real issue. But how do we make process and product and values measurable? The answer lies in the setting of indicators and this is dealt with in the sub-section that follows. What’s important is that the people have been empowered. drilling a well in a village.So. Process and product are not separate in development work. . Saying: “It was taking too long that way. We couldn’t wait for them to sort themselves out. our monitoring and evaluation system must give us information about: • Who is benefiting from what we do? How much are they benefiting? • Are beneficiaries passive recipients or does the process enable them to have some control over their lives? • Are there lessons in what we are doing that have a broader impact than just what is happening on our project? • Can what we are doing be sustained in some way for the long-term. the birth rate. in the section on monitoring and evaluation.” Both process and product should be part of your monitoring and evaluation system. based on development values. In some studies. You could also look at less direct indicators such as the extent of immunization.

low incomes etc) Social situation (housing. low Political or organizational situation (ineffective local government. within a project it is possible to identify other variables and take them into account. health. Has the infant mortality rate gone down? Do fewer women die during child-birth? Has the HIV/AIDS infection . then you can use health indicators to measure how well you are doing. What will tell you that the vision has been achieved? What signs will you see that you can measure that will “prove” that the vision has been achieved? For example. then your strategy is not working and needs to be rethought. DEVELOPING INDICATORS Step 1: Identify the problem situation you are trying to address. This will give you impact indicators. education etc) Cultural or religious situation (not using traditional languages. Community members may be participating more in meetings because a number of new people with activist backgrounds have come to live in the area. The following might be problems: • • • • Economic situation (unemployment. It is also important to note that. Through the indicators you can ask and answer questions such as: • • • • Who? How many? How often? How much? But you need to decide early on what your indicators are going to be so that you can begin collecting the information immediately. Women may have more time for development projects because the men of the village have been attending a gender workshop and have made a decision to share the traditionally female tasks. Some people argue that the problem with measuring indicators is that other variables (or factors) may have impacted on them as well. if there is no improvement in the measurement of the key indicators identified.Indicators are an essential part of a monitoring and evaluation system because they are what you measure and/or monitor. You cannot use the number of television aerials in a community as a sign of improved standard of living if you don’t know how many there were at the beginning of the process. While this may be true. if your vision was that the people in your community would be healthy. faction fighting etc) attendance at religious services etc) Step 2: Develop a vision for how you would like the problem areas to be/ look. if nothing is changing. And so on.

and so on. you want success to be achieved through community efforts and participation. For example.50 per participant. With this framework in place. Here you can set indicators such as: planned workshops are run within the stated timeframe. If. if you believe that you can increase the secondary school pass rate by upgrading teachers. then your process vision might include things like community health workers from the community trained and offering a competent service used by all. no more than 160 hours in total of staff time to be spent on organizing a conference.g. compared with a baseline survey. effectiveness and impact. costs for workshops are kept to a maximum of US$ 2. Step 4: Develop indicators for effectiveness. community organizes clean-up events on a regular basis. for example. . Step 5: Develop indicators for your efficiency targets. no complaints about conference organization etc.rate been reduced? If you can answer “yes” to these questions then progress is being made. then you need indicators that show you have been effective in upgrading the teachers e. you are in a position to monitor and evaluate efficiency. This will give you process indicators. evidence from a survey in the schools. Step 3: Develop a process vision for how you want things to be achieved.

DIFFERENT KINDS OF INFORMATION (QUANTITATIVE AND QUALITATIVE) Information used in monitoring and evaluation can be classified as: • • Quantitative Qualitative Quantitative measurement tells you “how much or how many”. It requires just as much interpretation in order to make it meaningful as does qualitative information. not quantitative information. you would need to go out and ask questions – to get qualitative information. It may be a “fact” that enrolment of girls at schools in some developing countries is dropping – counting can tell us that. how far people have to walk to get water or firewood. How many people attended a workshop. interpreting. Qualitative measurement tells you how people feel about a situation or about how things are done or how people behave. One way or another. observing. for example. For example. how much a publication cost. So. . you get quantitative (number) information by counting or measuring. Quantitative measurement can be expressed in absolute numbers (3 241 women in the sample are infected) or as a percentage (50% of households in the area have television aerials). In this case. this is still qualitative information. as well as why parents do or do not send their children to school. Researchers choose to measure school enrolment figures for girls because they believe that this tells them something about how women in a society are treated or viewed. In order to know that. You get qualitative information by asking. It can also be expressed as a ratio (one doctor for every 30 000 people). how many people were infected with HIV. how many people passed their final examinations. we need to know what the school enrolment figures for girls are. the higher enrolment of girls does not necessarily indicate higher regard for girls. They find qualitative information unconvincing and “subjective”. but it tells us nothing about why this drop is taking place. Some people find quantitative information comforting – it seems solid and reliable and “objective”. Perhaps enrolment figures are higher for boys than for girls because a particular community sees schooling as a luxury and prefers to train boys to do traditional and practical tasks such taking care of animals. The monitoring and evaluation process requires a combination of quantitative and qualitative information in order to be comprehensive. although you might discover that 50% of the teachers in a school are unhappy about the assessment criteria used. Choice of indicators is also subjective. whether you use quantitative or qualitative methods to do the actual measuring. It is a mistake to say that “quantitative information speaks for itself”. and so on.

financial statements that are part of your work anyway as a source of monitoring and evaluation information. The information you collect must mean something: don’t collect information to keep busy. Some of the more common ones are: • • • • • • • • • Case studies Recorded observation Diaries Recording and analysis of important incidents (called “critical incident analysis”) Structured questionnaires One-on-one interviews Focus groups Sample surveys Systematic review of relevant official statistics. attendance registers. without overloading anyone. WHO SHOULD BE INVOLVED? Almost everyone in the organization or project will be involved in some way in collecting information that can be used in monitoring and evaluation. However.HOW WILL WE GET INFORMATION? This is dealt with in some detail in the toolkit on action planning. This includes: • The administrator who takes minutes at a meeting or prepares and circulates the attendance register. • The fieldworkers who writes reports on visits to the field. . minutes. only do it to find out what you want to know. sometimes you need to use special tools that are simple but useful to add to the basic information collected in the natural course of your work. You should be aiming to have a steady stream of information flowing into the project or organisation about the work and how it is done. • The bookkeeper who records income and expenditure. Usually you can use the reports. and then make sure that you store the information in such a way that it is easy to access. in the section on monitoring. Your methods for information collecting need to be built into your action planning. collecting information as you go along.

if you want to know about community participation in activities. For example.) • Prepare recording formats that include measurement. then make sure that your bookkeeping records reflect the relevant information. For example. and which elements of it cost the most. • Record information in such a way that it is possible to work out what you need to know. the project or organization needs to: • Prepare reporting formats that include measurement. For example. It is a useful principle to look at every activity and say: What do we need to know about this activity. if you want to know how many men and how many women attended a meeting. (Look at the fieldworker report format given later in this toolkit. backing up observations with facts. include a gender column on your attendance list. of important indicators. either quantitative or qualitative. or women’s participation specifically. structure the fieldworkers reporting format so that s/he has to comment on this. either quantitative or qualitative. if you need to know whether a project is sustainable financially. of important indicators.In order to maximize their efforts. both process (how it is being done) and product (what it is meant to achieve). and what is the easiest way to find it out and record it as we go along? .

For a case study of how an organization went about designing a monitoring system. MONITORING When you design a monitoring system. do you want to be able to link the age of a teacher with his/her qualifications in order to answer the question: Are older teachers more or less likely to have higher qualifications? • Clarify what information the project or organization is already collecting. and the example given of designing a monitoring system. . DESIGNING A MONITORING SYSTEM Below is a step-by-step process you could use in order to design a monitoring system for your organization or project. Under evaluation we look at: • • • Purpose Key evaluation questions Methodology.CHAPTER-III DESIGNING A MONITORING AND/OR EVALUATION PROCESS As there are differences between the design of a monitoring system and that of an evaluation process. • Generate a list of indicators for each of the three aspects. Under monitoring we look at the process an organization could go through to design a monitoring system. go to the section with examples. • Explain that a monitoring system needs to cover all three. Step 1: At a workshop with appropriate staff and/or volunteers. we deal with them separately here. On the next page. effectiveness and impact. go to examples. you are taking a formative view point and establishing a system that will provide useful information on an ongoing basis so that you can improve what you do and how you do it. for example. For a case study of how an organization went about designing a monitoring system. • Clarify what variables need to be linked. you will find a suggested process for designing a monitoring system. and run by you or a consultant:Introduce the concepts of efficiency. So.

you may decide to go for a computerized data base or a manual one. participants. So. schools. parent involvement. for example. you may need to go the computer route. effectiveness and impact that have been prioritized. Depending on how complex your requirements are. By keeping the right information you will be able to answer questions . do young people in richer areas respond better or worse to the message or does it make no difference? • Does the number of workshops attended make a difference to the impact? Age Gender Religion Urban/rural Economic category Family environment Length of exposure to your project’s initiative Number of workshops attended. If you want to be able to link many variables across many cases (e. you can probably do it manually. urban/rural etc). resources. You will then choose the variables that will help you answer the questions you think are important. you might have an indicator of impact which is that “safer sex options are chosen” as an indicator that “young people are now making informed and mature lifestyle choices”. From the workshop you will know what you want to monitor. You will have the indicators of efficiency. and what your capacity is. If you have a few variables. Linking and analysis can take place later.g. The variables that might affect the indicator include: • • • • • • • • such as: • • Does age make a difference to the way our message is received? Does economic category i. The important thing is to begin by knowing what variables you are interested in and to keep data on these variables.e.Step 2: Turn the input from the workshop into a brief for the questions your monitoring system must be able to answer.

• Key evaluation questions: What the central questions are that the evaluation must address. what you do. The main sections in Terms of Reference for an evaluation process usually include: • Background: This is background to the project or organization. internal and/or external. Answers to questions such as: • • • the evenings? • Does it cost less to run a workshop in the community.Answers to these kinds of questions enable a project or organization to make decisions about what they do and how they do it. Step 5: EVALUATION Designing an evaluation process means being able to develop Terms of Reference for such a process (if you are the project or organization) or being able to draw up a sensible proposal to meet the needs of the project or organization (if you are a consultant). • Purpose: Here you would say what it is the organization or project wants the evaluation to achieve. how long you have existed. and to measure their impact and effectiveness. for example. Collect. you want the evaluation to address. So. to make informed changes to programs. in manual files). report. or to bring people to our training centre to run the workshop? Do more people attend sessions that are organized well in advance? Do more schools participate when there is no charge? Do more young people attend when sessions are over weekends or in Step 3: Step 4: Decide how you will collect the information you need (see collecting information) and where it will be kept (on computer. you might want the evaluation to include a . • Specific objectives: What specific areas. Decide how often you will analyze the information – this means putting it together and trying to answer the questions you think are important. why you have decided to do an evaluation. something about the problem identified. analyze.

Raises many additional questions. . at most. It has two parts: • • What you want evaluated.review of finances. • Methodology: here you might give broad parameters of the kind of approach you favor in evaluation (see the section on more about monitoring and evaluation). Examples of an evaluation purpose could be: • To provide the organization with information needed to make decisions about the future of the project. Focuses inquiry and reflection. A useful evaluation question is: • • • • Thought provoking Challenges assumptions. They are not simple questions. • To assess whether the organization/ project is having the planned impact in order to decide whether or not to replicate the model elsewhere. a paragraph. • To assess the program in terms of effectiveness. The purpose gives some focus to the broad evaluation process. costing. You can seldom answer “yes” or “no” them. You might also suggest the kinds of techniques you would like the evaluation team to use. It is usually a sentence or. impact on the target group. requirements of team composition and so on. Key Evaluation Questions The key evaluation questions are the central questions you want the evaluation process to answer. efficiency and sustainability in order to improve its functioning. To what end you want it done. or to include certain specific program sites. Purpose The purpose of an evaluation is the reason why you are doing it. • Logistical issues: These would include timing. It goes beyond what you want to know to why you want to know it.

primary or secondary: reports. it produces far more interesting insights than simply impact are we having? Methodology of Evaluation “Methodology” as opposed to “methods” deals more with the kind of approach you use in your evaluation process. . when an evaluation process is designed with such questions in mind. data sheets. if so/if not. You could. Our experience has shown us that. many examples. on what What would improve the efficiency. (See also more about monitoring and evaluation earlier in the toolkit). for example.Some examples of key evaluation questions related to a project purpose: The purpose of the evaluation is to assess how efficient the project is in delivering benefits to the identified community in order to inform Board decisions about continuity and replicability. commission or do an evaluation process that looked almost entirely at written sources. there could be many. Other examples of evaluation questions might be: • • • What are the most effective ways in which a project of this kind can To what extent does the internal functioning and structure of the organization basis is this claim justified? address the problem identified? impact positively on the program work? What learning from this project would have applicability across the full development spectrum? Clearly. Most would require the evaluation team to deal with a range of project or organizational elements in order to answer them. Key evaluation questions: • • • • Who is currently benefiting from the project and in what ways? Do the inputs (in money and time) justify the outputs and. effectiveness and impact of the current project? What are the lessons that can be learned from this project in terms of replicability? Note that none of these questions deals with a specific element or area of the internal or external functioning of the project or organization.

minutes and so on. Here too one would expect to find some indication of reporting formats: Will all reporting be written? Will the team report to management. Through key informants. Most terms of reference will ask for some combination of these but they may also specify how they want the evaluation team to get input from stakeholder groups for example: • • • Through a survey. or to staff and Board and beneficiaries? Will there be interim reports or only a final report? What sort of evidence does the organization or project require to back up evaluator opinions? Who will be involved in analysis? The methodology section of Terms of Reference should provide a broad framework for how the project or organization wants the work of the evaluation done. Or you could ask for an evaluation process that involved getting input from all the key stakeholder groups. or to all staff. Through focus groups. .

) Here we look in detail at: • • Baselines and damage control. history. If you are working in a particular geographical area. number of children per classroom and so . or visiting schools. you will have baseline data. you may need to do some information gathering yourselves.CHAPTER-IV COLLECTING INFORMATION (This is also dealt with in the toolkit on action planning. BASELINES AND DAMAGE CONTROL Ideally. Baseline data is the information you have about the situation before you do anything. school enrolment by gender. number of people employed. either comprehensively or using sampling (see the section after this on methods). It is very difficult to measure the impact of your initiative if you do not know what the situation was when you began it. infant mortality rates. This might involve house-to-house surveying. for families (or business enterprises or schools or whatever units you are working with) you may want specific information about income. in the section on monitoring. if you have done your planning well and collected information about the situation at the beginning of your intervention. for example. collecting information as you go along.) You need baseline data that is relevant to the indicators you have decided will help you measure the impact of your work. By damage control we mean what you need to do if you failed to get baseline information when you started out. Different Levels of Baseline Data: • General information about the situation. If it is not available in official statistics. then you need information for that area. hospitals etc. Methods. you will need specific information about those people or families. • If you have decided to measure impact through a sample of people or families with whom you are working. often available in official statistics e. It is the information on which your problem analysis is based. Focus on your indicators of impact when you collect this information. the section on doing the ground work. unemployment rates. literacy rates and so on.g. So. (See also the toolkit on overview of planning.

that has not had input from your project or organization but are. For example: You have been working with groups of school children around the country in order to build their self-esteem and knowledge as a way of combating the spread of HIV/AIDS and preventing teenage pregnancies. For example. you should try to ensure that: • The profiles of the control groups are very similar to those of the groups you have worked with. you should be able to tell whether or not your work has made any difference. But what if you didn’t collect this information at the beginning of the process? There are ways of doing damage control. current levels of education. Control groups are groups of people. for each individual participant. businesses. name and so on. It is very difficult to go back and get this kind of baseline information after you have begun work and the situation has changed. amount of time spent on leisure activities. One useful way of making meaningful comparisons where you do not have baseline information is through using control groups. you will probably get the information from a combination of interviewing and filling in of basic questionnaires. in the same geographical area. You may not even have decided what your important indicators are when you began your work. reports and so on. age groups. You will have to work it out “backwards”. where you have not worked. sexual behavior and so on. with the same kinds of profiles. For example. current income. After a few years. you want to measure what impact you have had on these children. and the children at the schools where you have not worked. it might be schools that serve the same economic group. gender. But you did not do any baseline study with them.on. ambitions and so on. When you set up control groups. Again. Again. the same sorts of questions about self-esteem. and then try to get information about the situation related to those indicators when you started out. very similar to those you are working with. in addition to age. By asking both the children at those schools you have worked at. remember to focus on the indicators which you have decided are important for your work. You will probably get this information from a combination of interviewing and filling in of basic questionnaires. amount of money spent on leisure activities. You are going to run a series of focus groups (see methods) with the children at the schools where you have worked. employment status. • If you are working with individuals. with the same gender ratio. in most other ways. look at records and other written sources such as minutes. You can speak to people. How will you know what difference you have made? You could set up a control groups at schools in the same areas. You can get anecdotal information (see Glossary of Terms) from those who were involved at the beginning and you can ask participants if they remember what the situation was when the project began. families or whatever unit you are focusing on. ethnic . and you should focus on the indicators which you think are important. then you need “intake” information – documented information about their situation at the time you began working with them. you might want to know.

Sampling is not really a tool in itself. • • It is also usually best to use triangulation (See Glossary of Terms). For practical purposes you are more likely to.) Stratified sampling (e. You usually look for confirmation from a number of sources saying the same thing.g. but used with other tools it is very useful. Usually. This is a fancy word that means that one set of data or information is confirmed by another. only those people who have been on the project for at least two years).or racial mix. Do not plan to do a comprehensive survey of 100 000 households if you have two weeks and very little money! Use sampling in this case. however. include in a focus group etc? It is a way of narrowing down the number of possible respondents to make it manageable and affordable. This sort of random sampling is very difficult to use in the kind of work we are talking about. The idea is that there is no bias in the selection. Sometimes it is necessary to be comprehensive. In an evaluation. For example. Sampling answers the question: Who do we survey. • There are no other very clear variables that could affect the findings or comparisons. You need to select methods that suit your purposes and your resources. every third household in the lower income bracket) Cluster sampling (e. You want a situation as close to what the situation was. are tumbled around and then the required number are drawn out. This means getting to every possible household. unless numbers are very small. this school would not be a good place to establish a control group.with the beneficiaries of your project when you started out. Sampling is another important concept when using various tools for a monitoring or evaluation process. Sampling techniques include: • Random sampling (In theory random sampling means doing the sampling on a sort of lottery basis where.g. or school or teacher or clinic etc. interview. has been involved with the school. for in-depth exploration you will use a sample. . for example all the names go into a container. doing similar work. you might well use all the information collected in every case during the monitoring process in an overall analysis. every seventh household in the upper income bracket. METHODS In this section we are going to give you a “shopping list” of the different kinds of methods that can be used to collect information for monitoring and evaluation purposes. select every seventh household or every third person on the list. for example. if another project.

They involve asking specific questions Can be done in person or aimed at getting on the telephone or even information that will by e-mail. . Questions can be Very flexible open-ended or closed (yes/no answers). Requires some skill in the interviewer.Tool Interviews Description Usefulness Disadvantages These can be Can be used with almost structured. anyone who has some semi-structured or involvement with the unstructured. project. enable indicators to be measured.

because it has been at the micro (small) said by a key level. Tool Description Usefulness Disadvantages Key informant Interviews Needs a skilled As these key informants interviewer with a These are interviews often have little to do good with the project or that understanding of the are carried out with organization. They can or turn something into someone who may provide something of the an picture” where be able to shed a “big absolute truth (cannot people more involved particular light on be challenged) may focus the process. Be careful not specialists in a topic quite objective and offer to useful insights.Can be a source of qualitative and quantitative information. informant. they can be topic. .

Questionnaires must be piloted to ensure that questions can be understood and cannot be misunderstood. it gives people a feeling when analysed. will are of anonymity and theyQuestionnaires enable indicators to may say things theyalso over-used and be measured. responses which.Questionnaires Tool With people who do not read and write. would not say to anpeople get tired of completing them. This tool can save lots of With questionnaires. If the questionnaire is complex and will need computerised analysis. time if it is it is not possible to These are written self-completing. Done in this way further. enabling explore what people questions that are you to get to many are saying any used to get written people. someone has to go through the questionnaire with them which means no time is saved and the numbers one can reach are limited. you need expert help in Description Usefulness Disadvantages . interviewer.

It is also a way of problems. In a focus group. interviewer/ way of getting opinions If possible. situations on involving beneficiariesRelies are put for input to directly in an evaluationworkers help in measuring process. and then transcribed. facilitator. giving them adisciplined indicators. May require breaking into small groups followed by plenary sessions when everyone comes together again. should be recorded interview schedule. Questions are Difficult to facilitate – usually focused requires a very around a specific experienced topic or issue. They are useful to have at critical points in community projects. process. Community meetings This involves a Community meetings are gathering of a fairly useful for getting a broad large group of response from many beneficiaries to people on specific issues. focus facilitator with afrom quite a large groups interviews carefully structuredsample of people. whom questions. sense of ownership of theinsightful. field being and Tool Description Usefulness Disadvantages . a Sometimes people group of about six to influence one another 12 people are either to say interviewed together something or to keep by a skilledThis can be a useful quiet about something.Focus Group It is quite difficult to do random sampling for focus groups and this means findings may not be generalized.

movies. or as a useful etc. Very useful to use together with other tools. what they think is as part of an interview most useful. If they misunderstand. so cheap recorded. separate session. pictures can be used. least questionnaire. an extension of and answersnormal work. tapes. role plays. most schedule or important. Tool Description Usefulness Disadvantages . particularly with people who cannot read or write. andand not time-consuming. This involves It can be used with getting people to say individuals and groups. Ranking Visual/audio stimuli These include pictures.Structured report forms that ensure Field Worker that indicator-related Report questions are askedFlexible. your data can be completely distorted. Ranking is quite a difficult concept to get across and requires very careful explanation as well as testing to ensure that people understand what you are asking. You have to have appropriate stimuli and the facilitator needs to be skilled in using such stimuli. Where people cannot read and write. photographs. used to illustrate problems or issues or past events or even future events. observations recorded on every visit. stories.

Rating Scale

This technique makes use of a continuum, along which people are expected to place their own feelings, observations etc. People are usually asked to say whether they agree strongly, agree, don’t know, disagree, disagree strongly with a statement. You can use pictures and symbols in this technique if people cannot read and write.

It is useful to measure attitudes, opinions, perceptions.

You need to test the statements very carefully to make sure that there is no possibility of misunderstanding. A common problem is when two concepts are included in the statement and you cannot be sure whether an opinion is being given on one or the other or both.

focusing with Critical event/ interviews individuals or incident groups on Analysis particular events or incidents. The purpose of doing this is to get a very full picture of what actually happened.

Very useful when something problematic has occurred and people feel strongly about it. If all those involved are included, it should help the evaluation team to get a picture that is reasonably close to what actually happened and to be able to diagnose what went wrong.

The evaluation team can end up submerged in a vast amount of contradictory detail and lots of “he said/she said”. It can be difficult not to take sides and to remain objective.

Tool

Description

Usefulness

Disadvantages

Participant Observation

This involves direct observation of events, processes, relationships and behaviours. “ Participant” here implies that the observer gets involved in activities rather than maintaining a distance.

can be a useful way of confirming, or otherwise, information provided in other ways.

It is difficult to observe and participate. The process is very time-consuming.

Self-drawings

This involves getting participants Can be very useful, to draw pictures, particularly with younger usually of how children. they feel or think Can be difficult to about something. explain and interpret.

INTERVIEWING SKILLS Some do’s and don’ts for interviewing:
• • • • • • • • • • • • • • • DO test the interview schedule beforehand for clarity, and to make sure questions cannot be misunderstood. DO state clearly what the purpose of the interview is. DO assure the interviewee that what is said will be treated in confidence. DO ask if the interviewee minds if you take notes or tape record the interview. DO record the exact words of the interviewee as far as possible. DO keep talking as you write. DO keep the interview to the point. DO cover the full schedule of questions. DO watch for answers that are vague and probe for more information. DO be flexible and note down everything interesting that is said, even if it isn’t on the schedule. DON’T offend the interviewee in any way. DON’T say things that are judgmental. DON’T interrupt in mid-sentence. DON’T put words into the interviewee’s mouth. DON’T show what you are thinking through changed tone of voice.

at some point you are going to find yourself with a large amount of information and you will have to decide how to make sense of it or to analyze it. it will be up to this team to do the analysis. the organization or project. Analysis is the process of turning the detailed information into an understanding of patterns. you. If you are using an external evaluation team. So. The starting point for analysis in a project or organizational context is quite often very unscientific. structuring and organizing it. sometimes in evaluation. trends. it becomes possible to work through the information. The next step is to write up your analysis of the findings as a basis for reaching conclusions. interpretations. Once you have the key themes. It is your intuitive understanding of the key themes that come out of the information gathering process.CHAPTER-V ANALYSING INFORMATION Whether you are looking at monitoring or evaluation. and certainly in monitoring. your process looks something like this: . have to do the analysis. and making recommendations. but.

Make effective decisions about how to move forward. you need to: Report to your stakeholders. Once you have the findings. sometimes verbally and. This reporting process follows the stage of analysing information. slides and videos. there will be a reporting process. You will report to different stakeholders in different ways. • • • REPORTING Whether you are monitoring or evaluating. increasingly. at some point. or even among other stakeholders. • Deal with resistance to the necessary changes within the organization or project. sometimes in written form. making use of tools such as PowerPoint presentations. . if necessary. conclusions and recommendations from your monitoring and evaluation process. or points.Taking action Monitoring and evaluation have little value if the organisation or project does not act on the information that comes out of the analysis of data collected. Learn from the overall process. and.

presented verbally by evaluation team and followed by in-depth discussion of relevant recommendations at departmental and team levels. suggesting different reporting mechanisms that might be appropriate for different stakeholders and at different times in project cycles. using appropriate tables. seminars. focused on donor concerns and interests. based on monitoring analysis Evaluation Written report Written report. websites. Written report. and verbal presentation from the evaluation team. presented verbally by the evaluation team. go to the toolkit on effective writing for organizations. Written and verbal presentation at departmental and team levels.charts. based on Management Team monitoring analysis Evaluation Interim. Written report. at Interim. visuals and audio-visuals. but only at significant points. conferences. Staff Beneficiaries Interim. For writing tips. Verbal presentation.Below is a table. with an Executive Summary. Target group Stage of project cycle Appropriate format Board Interim. Fullwritten report with executive summary or a special version. This is particularly important if the organization or project is contemplating a major change that will impact on beneficiaries. and evaluation Donors Interim. backed up by summarized document. discussed management team meeting. Journal articles. based on monitoring Evaluation Written report. Summarized in a written report. based on monitoring Evaluation Wider development community Evaluation OUTLINE OF AN EVALUATION REPORT .

possibly a map of the area and so on. or should be. Here you would include Terms of Reference. as project or organization . you. background to the evaluation. PREFACE CONTENTS PAGE SECTION 1: INTRODUCTION SECTION 2: FINDINGS: Usually deals with background to the project/ organization.as a summary here. SECTION 3: CONCLUSIONS: Here you would draw conclusions from the findings – the interpretation. Here you would have sections dealing with the important areas of findings. the brief to the evaluation team. questionnaires used. the actual process and any problems that occurred. efficiency. but a good place to thank people and make a broad comment about the process. By learning what works and what does not. the methodology. Not essential. to help people find their way around the report. e. With page numbers. This would give specific ideas for a way forward in terms of addressing weaknesses and building on strengths. findings etc. or the themes that have emerged.EXECUTIVE SUMMARY Usually not more than five pages – the shorter the better – intended to provide enough information for busy people.g. list of people interviewed. SECTION 4: RECOMMENDATIONS: APPENDICES: LEARNING Learning is. It is quite useful to use a SWOT Analysis – explained in Glossary of Terms . what they mean. effectiveness and impact. the main reason why a project or organization monitors its work or does an evaluation. what you are doing right and what you are doing wrong. but also to tease people’s appetite so that they want to read the full report.

So. to make conscious. • Analyze the information you get from monitoring and evaluation and work out what it is telling you. if it really wanted to help community radio stations. (See the diagram in the section on why do monitoring and evaluation?) The purpose of learning is to make changes where necessary. The steps involved in the whole process are: Plan properly – know what you are trying to achieve and how you intend to achieve it • Implement • Monitor and evaluate. when projects or organizations feel they “have got it right”. that the needs of project beneficiaries may change. Learning also helps you to understand. the community radio stations began to produce their own programs and what they really wanted was for the organization to send someone to their stations to help them workshop ideas and to give them feedback on the work they were doing. This is part of a cycle of action reflection. They forget that situations change. Once you realize this. and that strategies need to be reconsidered and revised. Being in a constant mode of action-reflection-action also helps to make you less complacent. you will probably view your interactions with these schools differently. The process of rigorous monitoring and evaluation forces organizations and projects to keep learning . an organization provided training and programs for community radio stations.management. it invited stations to send presenters to its training centre for training in how to present the programs it (the organization) was producing. EFFECTIVE DECISION-MAKING As project or organization management. perhaps you assumed that children at more affluent schools would have benefited less from your intervention than those from less affluent schools. The success of the process is dependent on the ability of those with management responsibilities to make decisions and take action. it needed to change its strategy. So. It developed an excellent reputation for high quality training and production. stagnate. Because it had excellent equipment and an excellent production studio. for example. Organizations and projects that don’t learn. and to identify and build on strengths where they exist. This came out in an evaluation process and organization realized that it had become a bit smug in the comfort zone of what it was good at. Your monitoring data might show you that this assumption was wrong. are empowered to act in an informed and constructive way. without questioning whether they are still getting it right. they settle back and do things the same way. Sometimes. you need the conclusions and recommendations that come out of monitoring and evaluation to help you make decisions about your work and the way you do it. however. • Look at the potential consequences to your plans of what you have learned from • . Over time.and growing. for example. assumptions you have. but that.

• Get a mandate (usually from a Board. if necessary. • Draw up a list of options for action. • Look at the options critically in terms of which are likely to be the most effective. but possibly also from donors and beneficiaries) to do it. • . • Agree as a management team. • Share adjustments and plans with the rest of the organization and. understand the implications of what you have learned. The key steps for effective decision making are: As a management team. • Work out what needs to be done and have clear motivations for why it needs to be done. • Implement. • Monitor and evaluate.the analysis of your monitoring and evaluation data. • Generate options for how to do it. • Do it. • Get consensus on what you should do and a mandate to take action. your donors and beneficiaries. • Get organizational/ project consensus on what needs to be done and how it needs to be done.

• Help people see the whole picture – beyond their little bit to the overall impact on the problem analyzed. • Focus on the key issues – we have to do something about this! • Recognize anger.DEALING WITH RESISTANCE Not everyone will be pleased about any changes in plans you decide need to be made. • People don’t have a “big picture”. People often resist change. • Pace change so that people can deal with it. • Emphasize the importance of everyone being committed to making it work. . fear. that it releases productive energy. • Find common ground – things that they also want to see changed. How can you help people accept changes? • Make the reasons why change is needed very clear – take people through the findings and conclusions of the monitoring and evaluation processes. that it frees people from doing things that are not working so they can try new things that are likely to work. • People don’t like to rush into change – how do we know that something different will be better? They spend so long thinking about it that it is too late for useful changes to be made. and resistance. • People feel they can’t cope – they have to keep doing what they are doing but also • Work at bringing about change. • People worry that any changes will lessen their levels of productivity – they feel judged by what they do and how much they do. • People don’t have a long term commitment to the project or the organization – they see it as a stepping stone on their career path. They know what they are doing and they can see it is working. • Encourage a feeling that change is exciting. give them the opportunity to express frustration and other emotions. involve them in decision-making. Listen to people.to discuss what is happening and how it is going. It’s all too much. and don’t want to take the time out necessary to change plans or ways of doing things. Some of the reasons for this include: • People are comfortable with things the way they are – they don’t want to be pushed out of their comfort zones. so they can’t see any reason to change anything at all. • Create conditions for regular interaction – anything from a seminar to graffiti on a notice board . They don’t want change because it will delay the items they want to be able to tick off on their CV.

by age group Unemployment. especially for measuring impact. by age group. by gender Government employment Earned income levels Average length of unemployment period Default rates on loans Ratio of home owners to renters Per capita income Average annual family income % people below the poverty line Ratio of seasonal to permanent employment Growth rate of small businesses Value of residential construction and/or renovation Social Development Indicators • • • • • • • • • • • • Death rate Life expectancy at birth Infant mortality rates Causes of death Number of doctors per capita Number of hospital beds per capita Number of nurses per capita Literacy rates. by occupation. Economic Development Indicators • • • • • • • • • • • • • • • • Average annual household income Average weekly/monthly wages Employment.CHAPTER-VI BEST PRACTICE EXAMPLES OF INDICATORS Please note that these are just examples – they may or may not suit your needs but they should give you some idea of the kind of indicators you can use. by gender Employment. by age and gender Student: teacher ratios Retention rate by school level School completion rates by exit points Public spending per student .

by age and gender Political/ Organizational Development Indicators • • • • • • • • • • • • • Number of community organizations Types of organized sport Number of tournaments and games Participation levels in organized sport Number of youth groups Participation in youth groups Participation in women’s groups Participation in groups for the elderly Number of groups for the elderly Structure of political leadership. by age and gender Participation rate in elections.Number of suicides Causes of accidents Dwellings with running water Dwellings with electricity Number of homeless Number of violent crimes Birth rate Fertility rate Gini distribution of income (see Glossary of Terms) Infant mortality rate Rates of hospitalization Rates of HIV infection Rates of AIDS deaths Number of movie theatres/swimming pools per 1000 residents Number of radios/televisions per capita Availability of books in traditional languages Traditional languages taught in schools Time spent on listening to radio/watching television by gender • Number of programs on television and radio in traditional languages and/or dealing with traditional customs • Church participation. by age and gender Number of public meetings held Participation in public meetings. by age and gender • • • • • • • • • • • • • • • • • • .

facilitated by consultants. It needed to be made “computer friendly”. At an initial workshop with staff. with different “products” (scripts) being appropriate at different levels. To this end. but the monitoring system would require a substantial upgrading and the development of data base software specific to the organization’s needs. The organization made a decision to go for a computerized monitoring system. how cost effectively and with what use of resources the services of the organization were offered. This pilot project would work with about 60 schools. Puppets against AIDS needed some kind of a brief for what was required so that it could be costed. especially those lifeskills to do with sexuality.g. and what difference it made.DESIGNING A MONITORING SYSTEM – CASE STUDY What follows is a description of a process that a South African organization called Puppets against AIDS went through in order to develop a monitoring system which would feed into monitoring and evaluation processes. The organization works with a range of age groups. Effectiveness Here what needed to be assessed was getting results in terms of the strategy and shorter-term impact. including donors. services provided and so on). For example. effectiveness and impact of its operations. it wanted to develop a data base that: • Provided all the basic information the organization needed about clients and services given. Puppets against AIDS wanted to develop a monitoring and evaluation system that provided useful information on the efficiency. using different scripts each year. partners and even schools. how they did it. schools. about the impact of the work. in relation to their work. In order to raise the money needed for this process. at schools. The terms were defined as follows: Efficiency Here what needed to be assessed was how quickly. • Produced reports that enabled the organization to inform itself and other stakeholders. Much of the day-to-day information needed by the organization was already on a computerized data base (e. Much of this information was already collected and was contained in reports which reflected planning against achievement. and what affected the impact of the work. were the puppet shows an effective means of communicating messages about . the staff generated a list of indicators for efficiency. across the country. These were the things staff wanted to know from the system about what they did. over a period of three years. but with the intention of extending it to all the work over time. The main work of the organization is presenting workshopped plays and/or puppet shows related to lifeskill issues. The organization also made the decision to develop a system initially for a pilot project. regions. how correctly. effectiveness and impact.

So. The organization indicated that it wanted the system to generate reports that would enable it to know: • What difference is there between the indicator ratings on the impact objective at the beginning and end of the process? • What difference is there between teacher attitudes at the beginning and end of . Forms/questionnaires were developed to measure impact indicators before the first intervention (to provide baseline information) and then at various points in the process. and “Most of the people I know like the real me”. The consultants and a senior staff member then developed measurable indicators of impact and a tabulation of important variables which included: • • • • • • • • Gender and age profile of proposed age cohort Economic profile of school Religious profile of the school Teacher profile at the school Approach to discipline at the school Which scripts were used Which acting teams presented the scripts And so on. statements to do with an increase in student self-esteem included “When I look in a mirror. but wanted to be able to measure this more scientifically and to be able to look at what variables made impact more or less likely.sexuality? Again. With the student questionnaire. for example. this information was already being collected and just needed to be adapted to fit the computerized system. Impact Here what needed to be assessed was whether the strategy worked in that it had an impact on changing behavior in individuals (in this case the students) and that that change in behavior impacted positively on the society of which the individuals are a part. as well as to categories such concepts as “teacher profile”. Staff generated a list of the different variables that they thought might be important in assessing and accounting for differences of impact. or affected the degree of impact. The questionnaire took the form of a series of statements with which students were asked to agree/disagree/strongly agree/strongly disagree etc. I like what I see”. The monitoring system would need to link information on impact to these variables. The intention was to provide both qualitative and quantitative information. it was designed in such a way to make it possible to aggregate a score which could be compared when the questionnaire was administered at different stages in the process. The organization had a strong intuitive feeling that it was working.

The process was slow and demanding but eventually the system was in place and it is currently being tested. .the process? • What variables to do with the school and school environment impact on the degree of difference between indicators at the beginning and end of the process? • What variables to do with the way in which the shows are presented impact on the degree of difference at the beginning and end of the process? All this was written up as a brief which was given to software experts who then came up with a system that would meet the necessary requirements.

Payments up-to-date. List self-made equipment visible in the school: . Records up-to-date. List the skills used by the teachers in the time period of your visit to the school: 2. FIE LD VISIT REPORT Date: Name of school: Information obtained from: Report completed by: Field visit number:____ -------------------------------------------------------------------------------------------1.FIELDWORKER REPORTING FORMAT This format was used by an early childhood development learning centre to measure the following indicators in the informal schools with which it worked: • • • • • Increasingly skilled educate teachers. Increased amount of self-made equipment. Attendance at committee meetings.

Comments on this visit: 9. Average attendance at committee meetings over past two months: 8. Record-keeping assessment: Up-to-date Not up -to. Number of payments outstanding for longer than two months: 7. List the fundraising activities the school committee is currently involved in: 4.Not attempted but not date very accurate Kind of Record Bookkeeping Petty cash Filing Correspondence Stock control Registers Up-to-date and accurate 5.3. Comparison with previous field visit: . Number of children registered: Average attendance over past two months: 6.

Manpower. Physical Planning & Housing. institutional/ organizational/ managerial. and finally the viability of project It is mandatory for the Project Authorities to undertake project appraisal or atleast give details of financial. a judgment is reached as to whether the project is technically sound.PART-II CHAPTER-VII METHODOLOGY OF PROJECT APPRAISAL Appraisal involves a careful checking of the basic data. an in-depth review of the work plan. financial and economic point of view depending on nature of the project. The techniques of project appraisal can be divided under two heads:• Undiscounted o Pay back period . On the basis of such an assessment. commercial. organizational and managerial aspects. while the Economic Appraisal Section carries out the pre-sanction appraisal of the development projects from the financial and economic points of view. Whereas financial analysis deals with only costs and returns to project participants. economic analysis deals with costs and returns to society as a whole. wherever necessary. These projects are examined in the Planning and Development Division from the technical. The concerned Technical Section in consultation with other technical sections i. an assessment of the project's organizational and management aspects. cost estimates and proposed financing. there is a division of labor in the appraisal of projects prepared by the concerned Executing Agencies. financially justified and viable from the point of view of the economy as a whole.e. Governance and Environment sections undertake the technical appraisal. In the Planning and Development Division. Economic appraisal of a project is concerned with the desirability of carrying out the project from the standpoint of its contribution to the development of the national economy. assumptions and methodology used in project preparation. The rationale behind the project appraisal is to provide the decision-makers with financial and economic yardsticks for the selection/ rejection of projects from among competing alternative proposals for investment. economic and social benefits and suitably incorporate it in the PC-I. This covers engineering.

it is very important to measure all costs and benefits as the difference between what these variables would be if no project (without project) were undertaken and what they will be should the project be implemented (with project). the rate at which capital is obtained is used. in fact. considerable care must be taken in defining a “base case” which realistically sets out the profile of costs and benefits expected if no additional investment is undertaken. the financial analysis is carried out on the weighted average cost of capital (WACC) for each project.o Profit & Loss account • Discounted o Net Present Value (NPV) o Benefit Cost Ratio (BCR) o Internal Rate of Return (IRR) o Sensitivity Analysis (treatment of uncertainty) o Domestic Resource Cost (Modified Bruno Ratio) Different investment appraisal criteria are given at Appendix-I. If the project is financed through foreign grants. However.e. in case of financial analysis. the economic analysis is undertaken at 12% discount rate. they are not. In case the project is funded by more than one source. Many investment projects are addition to existing facilities/ activities and thus benefits and costs relevant to the new project are those that are incremental to what would have occurred if the new project had not been added. However. During the operating life of a project. Economic viability of the project is invariably judged at 12 percent discount rate/ opportunity cost of capital. Hence. For the government-funded projects. the financial analysis is undertaken at zero discount rate. It is very common error to assume that all costs and benefits are incremental to the new project when. the actual rate of interest i. the discount rate is fixed by the Budget Wing of the Finance Division for development loans and advances on yearly basis. • Practical Examples o Production Sector o Infrastructure Sector o Social Sector Appendix-II Appendix-III Appendix-IV .

.Appendix-I Investment Appraisal Criteria • Discounted measures o Financial Analysis (undertaken at market prices)      Net Present Value (NPV) Benefit-Cost Ratio (BCR) Financial Internal Rate of Return (FIRR) Return on Equity (ROE) after taxes Unit Cost Analysis o Economic Analysis (undertaken at shadow/economic prices)     Net Present Value (NPV) Benefit-Cost Ratio (BCR) Economic Internal Rate of Return (EIRR) Modified Bruno Ratio o Sensitivity Analysis*   Assuming cost over-run Delay in realization of benefits • Undiscounted Measures o Profit & Loss Account o Break-even analysis o Pay back period -------------------------------------------------------------------------------------------*Sensitivity analysis is undertaken under both financial and economic analyses.

60 173.Production Sector Project The Project: The objective of the project is to establish of a Soda Ash plant to meet the domestic demand of the country.28 716. Training Ph.88 Total: 716.00 67.C Million Rs. Procurement Transfer of technology Erection Exp.15 10.85 35.10 9.00 • Break down of capital cost Serial 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 Items Land Civil Works Machinery (L) Machinery (F) Transport Duty & Taxes Insurance & Frreight.20 12.E.80 13.00 28. The salient features of the project are as under: • Capital Cost: o Local Cost o F.22 46. 517.61 163.contingencies Price contingencies PMU IDC Total: .00 Cost ( Rs in million) 25.40 2.78 33.12 198.Appendix-II Example .00 43.00 52.

13 2.62 3.31 6.50 4.474 Million 34 % 76 % • Terms & conditions of the loan oInterest rate 11% per annum oRepayment period 10 years.45 0.8 3.• Sources of financing o Equity o Loan Rs.25 2. oInterest during construction to be paid • O & M Cost Serial Items / Year Cost (Rs in Million) Year 1 Year 2 Year 3 Year4-10 7.5 3.86 34.32 5.48 1.50 2.92 5.73 6.02 2.47 3.75 2.79 0.25 10.9 2.36 0.91 4.5 1.50 6.26 4.50 4.24 4. 242 Million Rs.50 11. oTen annual equal installments with no grace period.93 9.08 2.92 1.19 VARIABLE COST 1 Sea Salt 2 Lime Stone 3 Ammonia 4 Caustic 5 Hydrochloric Acid 6 Gas 7 Coke 8 Electricity 9 Water 10 Sales Tax 11 Packing material .50 0.22 35.28 0.12 6.50 5.15 24 27.83 0.50 3.70 3.31 0.89 0.

5 7.5 5.50 2.00 3.75 3.A Annex-B .00 7.50 3.00 7.28% 10.e.5 4.5 2.79 5. Capacity utilization with annual production of soda ash is as under: oYear 1 oYear 2 oYear 3 = 58.06% Results are obtained by using Microsoft Excel i.0% = 83.3% = 75. Price of the output is Rs. Life of the project to be 10 years after completion.63 111.12 13 14 FIXED 1 2 Freight Marketing expenses Wages COST Wages Insurance Total: 3.69 84.46 4. o Project Financing o Breakdown of capital cost Annex.00 Weightage 2.95 68.37 4.78% 7.5 7.47500 per ton. • Financial Analysis: The following analyses have been undertaken in the financial analysis.50 4.3% oYear 4-10 = 100% • Weighted Average Cost of capital (WACC) is calculated as under: Rs in Million Equity Loan Total 242 474 716 % Share 34% 66% 100 Interest rate (%) 8. by using the icon ‘fx” on computer Toolbar.00 4.00 104.50 • • • • Implementation period of the project 3 years.22 11.00 5.3 3.50 5.

In Economic Analysis.909.o Loan re-payment schedule o O & M cost o Depreciation schedule o Salvage value o Profit and Loss Account o Financial Analysis (NPV. BCR & FIRR) o Return on equity o Break even analyses o Pay back period • Economic Analysis: o o o Annex-C Annex-D Annex-E Annex-F Annex-G Annex-H Annex-J Annex-K Annex-L Annex-M Annex-N Economic Prices of the output is taken as Rs. R & S . BCR & FIRR) o Sensitivity Analysis Cost Delay (NPV. the following analyses have been undertaken:  Conversion of capital cost into economic cost Annex-O & P Conversion of O&M cost into economic cost Annex. The financial capital cost and O&M cost of traded items has been The non – traded costs have been converted into economic cost by converted into economic cost by deducting taxes and duties. BCR & EIRR) o Sensitivity Analysis Cost overrun (NPV. using standard conversion factor of 0.Q.35000 per tons.

Annex- A To Appendix-II FINANCING OF THE PROJECT Source 1. Equity 2. Loan Total Interest during construction Amount (Rs in Million) Year 0 Year 1 Year 2 Total 112.00 130.00 0.00 242.00 124.00 350.00 474.00 112.00 254.00 350.00 716.00 13.64 53.64 67.280

% 34.00 66.00

Annex- B To Appendix-II BREAKDOWN OF CAPITAL COST

Items 1. Land 2. Civil Works 3. Machinery (L) 4. Machinery (F) 5 Transport 6. Duty & Taxes 7. Insurance & Fr. 8. Procurement 9. Technology Transfer 10. Erection Exp. 11.Training Sub-total base cost 12. Ph. Contingencies 5% 13 Price contingencies 6.5% 14 PMU 15. IDC * Total

Amount (Rs in Million) Year 0 Year 1 Year 2 25 0 0
6.54 17.44 26.09 69.26 24.47 65.24 1.35 7.65 7.83 20.88 1.92 5.12 2.12 5.52 5.79 12.70 0.00 11.20 0.30 0.80 101.41 215.81 19.62 78.26 73.40 0.00 23.49 5.76 6.21 17.29 22.20 0.90 247.13

Total 25 43.6 173.61 163.11 9 52.2 12.8 13.85 35.78 33.4 2 564.35 28.22 46.15 10.00 67.28 716.00

5.07 10.79
0 14.03 1.50 4.00 0 13.64

12.36
32.13 4.50

107.98 258.27

53.64 349.75

.

00 124 0 124.00 350.00 0.00 474.00 11% yearly • • • Nominal interest rate Repayment in 10 equal installments No grace period Years / Items 0 Loan received at the beginning of the year Outstanding debt at the end of year Interest accrued during the year Annual repayment installment (a) Interest (b) Principal Outstanding debt at the end of year 1 124.51 393.51 0.00 0.00 393.51 11 393.00 393.00 0.51 8 393.00 393.00 0.00 0.00 0.49 393.00 0.00 0.51 0.49 0.00 0.00 393.00 0.00 393.51 0.00 393.C To Appendix-II Loan Repayment Schedule Terms & Conditions of loan • Loan amount o Year 0 o Year 1 o Year 2 Total 0 124.00 393.00 0.51 9 393.00 80.00 0.Annex.00 2 350.00 0.00 80.00 0.00 0.00 0.00 0.51 0.00 0.51 0.51 0.00 0.00 0.00 0.00 393.00 0.51 4 393.00 3 474.00 474.51 393.00 0.51 0.00 0.51 12 393.51 10 393.00 0.51 0.00 0.51 .00 393.00 0.00 474.00 0.00 0.51 0.00 0.00 0.51 Amount (Rs in Million) 5 6 7 393.00 0.

24 0.25 0.13 6.12 0.5 4.73 4. Insurance Total Amount (Rs in Million) Year 1 Year 2 Year 3 Year4-10 7.31 6.00 10.15 34.50 0.19 5.91 6. Gas 7. Wages 2.5 4.50 4.79 5.69 9. Freight 13 Marketing expenses 14.62 2.36 0.95 104.50 3.5 5. Caustic 5.02 3.50 11. Ammonia s4.83 2.22 35.50 5.93 2.28 3.48 1.08 5.89 0. Hydrochloric Acid 6.63 111.79 24 0.9 2.75 4.25 2.00 7.50 5.47 3.45 1.50 7.32 5.50 4.E .50 3.3 68.92 3.Annex. Packing material 12.92 27.00 Annex. Sea Salt 2.5 2.8 2.50 2. Sales Tax 11.70 3.75 3.5 84.00 4.50 4.31 0.50 7.26 3.37 4.5 3. Electricity 9.86 1. Water 10.5 2. Lime Stone 3.50 6.46 4.D To Appendix-II O & M COST Items / Year VARIABLE COST 1. Coke 8.00 7. Wages FIXED COST 1.00 3.

60 484.80 0.20 2. Training 6. (Rs in Mn) 0.00 28.Contingencies Total Cost (Rs in Mn) 25. Land 2. Machinery 4.To Appendix-II Depreciation Schedule Items 1.5% 2.00 43. Civil works 3.0% 10.00 2.48 1.0% 10.75 9. Transport 5.0% 20.84 .5% 10.57 Life 40 40 10 5 10 10 Rate 2. Ph.82 53.63 1.09 48.22 592.0% Annual dep.

78 1.F To Appendix-II Salvage Value Items Amount Cost Rate (Rs in Million) 0.60 75% 3.00 25. Transport 9.75 15% 4.Annex.25 0.Contingencies 28. Machinery 486. Ph. Land 25. Training 2.82 135.00 32. Civil works 43.22 10% Total 626.70 73.00 0% 6.65 .01 2.00 2.00 25% 5.00 100% 2.

00 79.26 43.00 0.80 75.00 0.00 53.16 6.00 0.00 5.00 53.26 43.00 0.64 2010 5000 47500 237.00 5.00 4.00 4.09 322.00 0.Annex.00 53.26 43.84 79.00 53.16 6.00 0.19 3.G To Appendix-II FINANCIAL ANALYSIS OF AN INDUSTRIAL PROJECT (PROFIT AND LOSS ACCOUNT) ITEMS Sales (Tons) Selling Price (Rs.00 174.00 0.00 0.00 106.00 53.00 5.16 6.00 53.00 174.00 106.00 53.93 6000 47500 285.00 106./Tons) Income Cost of Production Marketing expenses Gross profit Financing Charges I)Principal ii) Interest Depreciation Profit before Taxes Worker's Participation Fund (5%) Income Tax (35% of profit) Profit after Taxes Cumulative Profit 2008 3500 47500 166.27 0.09 547.84 125.84 83.00 106.49 80.00 0.00 0.2 5 65.00 106.00 0.00 -33.00 0.84 125.84 125.80 75.00 53.00 0.16 6.09 622.00 0.56 80.75 80.00 174.40 2017 6000 47500 285.80 75.21 2015 6000 47500 285.00 5.00 174.80 75.19 96.00 106.00 0.50 133.49 .16 6.00 53.26 43.80 75.65 4.84 125.00 0.16 6.00 0.00 0.91 0.84 125.00 106.09 247.00 0.84 125.00 0.00 5.91 46.00 0.00 5.09 171.50 97.26 43.00 0.00 53.80 75.30 2016 6000 47500 285.75 0.84 -33.49 0.50 100.18 29.09 472.00 0.16 6.00 0.83 Amount (Rs in Million) 2011 2012 2013 2014 6000 47500 285.26 43.00 5.00 129.84 125.00 174.80 75.09 397.00 0.00 174.27 -33.00 0.11 6000 47500 285.00 0.00 0.27 2009 4500 47500 213.02 6000 47500 285.26 43.00 174.28 50.

00 165.00 111.60 2 263.98 0.78 1034.00 111.00 111.Annex.H To Appendix-II FINANCIAL ANALYSIS OF AN INDUSTRIAL PROJECT Amount (Rs in Million) Years Capital Cost O&M Cost Total Cost T.00 68.00 174.00 111. 266. Benefits Net Benefits 0 107.00 111.52 Results at 10.00 285.00 111.00 111.00 285.00 213.00 -135.00 174.00 84.00 -107.60 0.78 0.98 1 230.00 -263.99 0.50 1102.00 12 0.00 84.00 6 0.00 111.4 4 (Rs in Million) 1274.76% * Replacement cost of vehicle .78 Total 475.75 5 0.00 285.00 174.25 97.69 166.00 7 * 9.69 68.00 13 -135.06% discount rate • • • • • Present Value of Cost (PVC) : Present Value of Benefits (PVB) : Net Present Value (NPV) : Benefit Cost Ratio (BCR) : 1008.99 0.00 111.50 (Rs in Million) 1.56 4 0.00 111.26 : 1 Financial Internal Rate of Return (FIRR) : 17.50 133.00 285.00 230.50 237.00 -230.00 104.9 3 (Rs in Million).00 9 0.00 285.00 174.60 0.00 107.00 111.00 10 0.99 3 0.20 1509.00 285.00 263.00 8 0.78 0.98 2612.00 120.98 0.00 174.00 285.00 11 0.00 135.00 111.75 129.50 104.00 111.00 174.

10 174.00 174.00 0.00 9.Annex.00 174.00 0.75 104.78 253.44 (Rs in Million) 1274.00 111.00 0.49 (Rs in Million) 1.00 164.66 -290.00 285.75 133.00 1034.25 84.00 -135.36 Results at 10.66 290.00 111.00 -135.78 0.00 68.00 0.00 174.94 0.00 285.00 111.00 68.82% * Replacement cost of vehicles .66 0.00 120.50 237.00 0.14 2612.78 0.78 -253.00 0.78 1041.50 -118.00 174.00 213.00 111.00 0.90 285.06% discount rate • • • • • Present Value of Cost : Present Value of Benefits : Net Present Value (NPV) : Benefit Cost Ratio (BCR) : 1062.69 84.39 0.00 290.56 129.00 285.00 111.00 135.39 97.39 0.00 253.00 111.J To Appendix-II FINANCIAL ANALYSIS OF AN INDUSTRIAL PROJECT (SENSITIVITY ANALYSIS) Year COST OVER-RUN BY 10% (Rs in Million) Capital Cost O&M Cost Total Cost Benefit Net Benefits 0 1 2 3 4 5 6 7* 8 9 10 11 12 13 Total 118.00 285.00 111.50 111.93 (Rs in Million) 212.00 111.00 111.50 111.00 111.00 0.20 118.00 104.78 536.00 285.00 0.20: 1 Financial Internal Rate of Return (FIRR) : 15.00 285.90 0.00 111.00 174.69 166.00 1571.00 0.

00 120.50 111.00 285.06% discount rate • • • • • Present Value of Cost (PVC) : • 965.99 0.00 0.00 111.75 104.60 0.00 0.00 9.78 0.00 111.00 111.60 -263.00 165.00 -135.00 0.00 174.00 285.78 475.78 0.00 0.69 84.00 174.00 0.98 230.00 111.00 111.00 285.00 213.00 285.One year delay in benefits) Year (Rs in Million) Capital Cost O&M Cost Total Cost Benefit Net Benefits 0 1 2 3 4 5 6 7 8 * 9 10 11 12 13 14 Total 107.00 0.00 111.20 Present Value of Benefits (PVB) : 1158.52 Results at 10.50 111.78 1102.20 107.98 -230.00 174.00 1034.00 263.20: 1 • Financial Internal Rate of Return (FIRR) : (Rs inMillion) (Rs inMillion) (Rs inMillion) 14.00 135.40 • Net Present Value (NPV) : 193.00 111.00 -135.00 0.75 133.00 1509.Annex.00 285.00 174.00 0.00 68.00 68.00 0.98 2612.99 0.00 0.00 0.00 174.K To Appendix-II FINANCIAL ANALYSIS OF AN INDUSTRIAL PROJECT (SENSITIVITY ANALYSIS.00 97.00 174.00 0.99 0.98 0.56 129.00 0.00 285.20 • Benefit Cost Ratio (BCR) : 1.00 0.00 111.25 84.00 111.50 237.00 230.00 104.50 -107.60 263.69 166.00 111.00 111.00 285.00 0.96% * Replacement cost of vehicle .

00 0.09 53.94 128.84 79.78 918.2% Net Flow -112.00 0.00 0.84 50.00 6 0.94 135.09 53.84 75.00 9 0.57 133.00 13 -135.00 0.00 2 0.00 7 0.91 53.84 75.19 53.43 27.27 53.00 3 0.00 -33.00 0.09 53.84 75.03 128.84 75.Annex.00 -130.92 Return on Equity = .00 622.09 53.00 20.00 10 0.00 11 0.94 128.00 8 0.00 1 130.94 128.L To Appendix-II FINANCIAL ANALYSIS OF AN INDUSTRIAL PROJECT (RETURN ON EQUITY) (Profit after Tax) Year Equity 0 112.00 5 0.78 Total 242.84 75.94 128.09 53.09 53.00 4 0.00 0.84 75.75 104.00 • (Rs in Million) Profit after Taxes Depreciation 0.09 53.00 0.49 538.94 128.94 128.00 12 0.84 75.84 0.

Sales Tax 5.8% . Water 4.84 4.87 FIXED COST (Rs in Million) 1. Depreciation 53. Freight 5.63 3.49 Charges 147.79 13 Marketing expenses 5. Insurance 5.46 C) Marginal Income = Sales . Electricity 4.Management 7. Caustic 6. Lime Salt 3.50 2.13 Break Even Point = Fixed Cost /Marginal Income *100 = 78.48 6.70 2. Sea Salt 11.00 14 Wages 4.50 9. Financial 80.31 4. Gas 1. Coke 35.Variable Cost 187. Ammonia 3.00 Total: 97. Hydrochloric Acid 0.M To Appendix-II BREAK EVEN ANALYSIS (100% CAPACITY UTILIZATION) A) SALES 285.22 7.19 12.89 5.32 10.50 11.47 3.50 8.Annex.00 (Rs in Million) B) COST VARIABLE COST (Rs in Million) 1. Pack material 6.

00 970.60 263.00 O &M cost 0.69 671.76 111.76 Year 0 1 2 3 4 5 6 7 8 Capital Cost 107.00 237.60 338.00 Benefits Cumulative Benefits 0.00 0.98 230.00 0.99 0.50 111.76 120.00 9.00 0.50 617.50 859.58 263.N ( Rs in Million) Cumulativ Total Cost e Costs 107.00 111.00 0.50 285.00 0.00 0.00 755.Annex.99 602.26 104.00 1187.50 285.00 1201.00 111.25 166.00 1090.00 0.75 380.25 213.00 0.98 107.00 0.69 84.00 1472.57 68.50 285.00 68.26 84.00 166.00 0.98 230.76 111.00 0.50 To Appendix-II PAY BACK PERIOD • Pay back period of the project is about seven years .00 902.00 104.

.

00 5.85 5.50 0. Erection Exp.00 0.50 0 107.13 1.13 1.01 0.00 0.00 0.46 5 20% 30% 30% 25% 0 10% 20% 10% 15% 0% 0% 0% 0% 0% 1.909 3.55 0.98 Traded Cost Taxes % % 3 0% 30% 100% 100% 100% 0 100% 50% 100% 50% 100% 30% 0% 0% 0% 7.00 0.00 0.26 17.00 1.83 1.00 1. 6+9) 10 25.909 0.00 1.00 0.909 0.00 0.5% 14 PMU 15.00 0.00 0.00 3.06 5.16 0.52 Total Economic Cost (Col.00 64.00 1.00 1.00 30.36 0.83 0.00 6. IDC * Total 7 25.92 1.30 1.58 NonTraded Cost Standard Conversion Factor Economic cost (nontraded items) (Rs in Million) 9 25.00 1.79 0.73 18.85 5.52 0. 11.00 0.21 0.00 0. Technology transfer 10.35 7.52 0.12 5.73 0.73 0.00 0.00 1.00 0.21 0. Civil Works 3 Machinery (L) 4.00 43.00 0. Procurement 9.57 18.30 1.73 * IDC & Price contingencies are not treated as a cost in discounted analysis.06 0.60 Economic cost (traded items) 6 0. Machinery (F) 5.00 0.00 0.92 2.Annex.47 1.00 7.01 0. Transport 6.00 78. Duty & Taxes 7.00 1. 8.00 0.00 0.54 26.09 24.35 0.58 0.00 1. Insurance & Fr.07 0. Contingencies 5% 13 Price contingencies 6.26 17. Ph.00 47.79 0.96 26.30 5.52 8 1 0.00 0.11 Item 1 1.60 Actual 4 0.30 1.00 0.52 0. .00 0.00 1.Training 12.O To Appendix-II CONVERSION OF FINANCIAL COST INTO ECONOMIC COST CAPITAL COST-Y 0 (Rs in Million) Financial Cost (Rs in Million) 2 25.Land 2.00 4.00 4.00 0.09 24.00 0.47 1.36 0.

909 3. IDC * Total 3 0% 30% 100% 100% 100% 0 100% 50% 100% 50% 100% 30% 0% 0% 0% 7.14 NonTraded Cost 7 0.62 78. Erection Exp.48 0.73 Economic Standard cost (nonConversion traded Factor items) 8 1 0.09 0.29 11.72 0.50 53.00 164.76 3.00 0.00 0.00 0.13 4.00 5.00 0.00 0.71 0.00 0.00 148.64 349.38 0.00 0.00 4.4 0 23.75 Traded Cost % 1 1.40 0.00 3.00 0.00 0.76 6.00 4.909 * IDC & Price contingencies are not treated as a cost in discounted analysis.78 51.00 0.73 0. Ph.89 78.5% 14 PMU 15.48 15. .00 0.10 0.00 5.71 0.71 0. 11.19 54.2 0.60 Actual 4 0. Transport 6.78 51.Training 12.00 0.00 5. Technology transfer 10.909 9 0.11 17.00 4. Civil Works 3 Machinery (L) 4.26 73.Land 2.13 4.10 0.44 0.00 16.00 23.71 54.09 0.60 Economic cost (traded items) 6 0.00 11.Annex. Duty & Taxes 7.00 17. 6+9) 10 0.64 150.57 Total Economic Cost (Col.26 73.18 2.00 0.00 199.49 0.21 17.00 0.49 5.36 32.41 Taxes % 5 20% 30% 30% 25% 0 10% 20% 10% 15% 0% 0% 0% 0% 0% 1.00 0.48 15.00 0.18 2.9 12.29 22.00 8.50 53. Contingencies 5% 13 Price contingencies 6. Procurement 9.00 5.90 3.65 32.56 9.38 0. Machinery (F) 5.00 0.00 0.00 12.90 3.P To Appendix-II CONVERSION OF FINANCIAL COST INTO ECONOMIC COST CAPITAL COST-Y 2 (Rs in Million) Item Financial Cost 2 0 19.00 0.00 0. 8.11 0.56 9.44 0.00 13.90 3.35 0. Insurance & Fr.

909 0.19 0.31 0.Annex.00 2.Q To Appendix-II CONVERSION OF FINANCIAL O&M COST INTO ECONOMIC COST O & M COST.24 1.79 24 0. Electricity 9.00 1.00 1.92 3.71 3.50 7.48 1.88 1.68 0.93 2.00 16.50 5.909 9 7.05 0.78 2.06 1 VARIABLE COST 1.00 0.31 0.76 Total Economic Cost (Col 6+9) 10 7. Caustic 5.5 4.00 0.90 2.909 0.25 0.909 1 1 1 12.8 2.58 2.50 2.55 FIXED COST 1.5% 0 0 0 40% 0 32% 0 0 0 1.50 7.00 0.21 2. Coke 8.50 2.00 0.00 0.88 1.50 2.00 0.5 2.00 23.58 0.00 0.00 0.00 0.75 2. Sea Salt 2.30 7 7. Water 10.70 1.88 1.60 0.00 0.24 0.69 Traded Cost Taxes % 5 0 0 30% 25% 20% 0 32.25 0.59 2.9 2.Year1 (Rs in Million) Item Financial Cost 2 7.Management 2.00 0.00 0. Packing material 12. Lime Stone 3.63 1.25 1.50 2.60 0.54 2 1 2 0 0. Insurance Total .50 7.00 3.80 Economic Economic NonStandard cost (noncost Traded Conversion traded (traded Cost Factor items) items) 6 0.5 2.5 7.16 8 0. Freight 13 Marketing expenses 14 Wages % 3 0 0 100% 100% 100% 0 100% 0 0 0 50% 50% 50% 0% 0% 0 - Actual 4 0.3 68.00 0.46 1.30 34. Sales Tax 11.50 2.00 0.00 0.00 0.909 0.05 0.30 58.93 2.00 0.24 0.00 0.68 0. Ammonia 4.00 24.79 0.00 33.5 2.75 0.80 2. Gas 7.58 16.00 0.30 35.63 1.46 1. Hydrochloric Acid 6.20 0.50 5.25 0.00 2.20 0.00 0.21 2.75 3.

909 0.07 Total Economic Cost (Col 6+9) 10 8.00 1.00 0. Electricity 9.38 0.00 3.62 0.00 0.52 0.75 3.37 4.00 27. Sea Salt 2.50 3.50 69.09 0.89 2 1 2 0 0.00 7.86 0.86 1.82 3.00 0.50 84.00 1.25 2.18 2.50 4.00 0.909 0.00 28.00 41.R To Appendix-II CONVERSION OF FINANCIAL O&M COST INTO ECONOMIC COST O & M COST.32 3.50 3.41 2.61 1. Freight 13 Marketing expenses 14 Wages % 3 0 0 100% 100% 100% 0 100% 0 0 0 50% 50% 50% 0% 0% 0 - Actual 4 0.05 Economic Economic NonStandard cost (noncost Traded Conversion traded (traded Cost Factor items) items) 6 0.73 4.50 6.99 1. Ammonia 4.65 7 9.00 0.909 0.00 1.00 2.62 3.84 0.18 3.50 3.50 2.00 0.00 0.50 3.00 18.81 0.50 42. Insurance Total .00 2.92 0. Sales Tax 11.25 2. Lime Stone 3.00 3.26 3.50 5.00 7.Management 2.29 1.00 Traded Cost Taxes % 5 0 0 30% 25% 20% 0 32.18 2.00 0.92 27.29 0. Caustic 5.909 9 8.12 0.Annex.00 0.41 2.72 1.36 0.00 1.81 1.11 8 0.00 7.36 0.00 0.00 0.00 1.36 0.00 0.87 2.38 1.50 3.55 FIXED COST 1.50 4. Water 10.00 0. Coke 8.00 4.26 3.909 1 1 1 12.00 0.75 3.00 0. Gas 7. Hydrochloric Acid 6.00 2.00 0.00 7.Year 2 (Rs in Million) Item Financial Cost 2 9.50 3.64 1. Packing material 12.09 0.62 2.52 0.50 41.5% 0 0 0 40% 25% 32% 0 0 0 2.72 1 VARIABLE COST 1.50 6.87 2.12 0.84 18.

50 3.50 1 VARIABLE COST 1.63 54. Insurance Total .32 5.5% 0 0 0 40% 0 32% 0 0 0 1.89 0.50 5.00 2.16 2.47 0.96 0. Hydrochloric Acid 6.19 5.17 0.909 9 10.44 23.00 0.97 4.63 3. Electricity 9.38 0.63 111.31 6.70 3.32 5.Year 4 (Rs in Million) Item Financial Cost 2 11.50 6. Freight 13 Marketing expenses 14 Wages % 3 0 0 100% 100% 100% 0 100% 0 0 0 50% 50% 50% 0% 0% 0 - Actual 4 0. Gas 7.55 FIXED COST 1.00 4.50 8.10 2.50 5.86 2.00 0.00 3.00 0.53 3.89 2.S To Appendix-II CONVERSION OF FINANCIAL O&M COST INTO ECONOMIC COST O & M COST.63 2. Lime Stone 3.50 4.63 56. Packing material 12.00 35.00 0.89 0.00 7.89 2. Water 10.00 0.00 7.909 0.50 5.00 0.00 4.22 Total Economic Cost (Col 6+9) 10 10. Sea Salt 2.79 5.50 4.00 0.63 92.50 0.89 1.909 1 1 1 12.44 0.909 0.00 1.32 5.00 0.50 0.47 3.00 2.70 0.17 0.70 3.80 Economic Economic NonStandard cost (noncost Traded Conversion traded (traded Cost Factor items) items) 6 0. Coke 8.10 2.00 3.38 2. Ammonia 4.28 7 11.96 4.63 3.00 4.22 0.48 0.33 8 0.81 2.50 4.00 0.00 7.64 0.50 8.67 5.00 0.00 4.50 5.00 23.16 0.00 0.67 2 1 2 0 0.32 5.909 0.00 2.00 54.22 35.00 Traded Cost Taxes % 5 0 0 30% 25% 20% 0 32.Management 2.50 4.00 38.00 0.64 0.00 1. Caustic 5.Annex.48 1. Sales Tax 11.00 0.00 0.31 6.27 4.00 7.

The following statistical information has been collected to undertake financial/ economic appraisal of the project: Year-wise Phasing of Capital Cost: Year 1 2 Total • • • • • • Annual Recurring Cost: Implementation Period: Source of Financing: Distance without project: Distance With Project: Average Daily Traffic (ADT) Serial 1 2 3 4 5 6 (Rs in Million) 603.Appendix-III Example .M Mode of Transport Motor Cycle Car/ Jeep Mini Bus/ Pickup Bus Tractor Trolleys Trucks ADT (Base Year) 100 3950 1525 403 500 187 • Traffic Growth: Traffic growth rate per annum of 2 % during construction period and 5%. 2nd.50 691. 3rd and 4th five years respectively over the life of the project has been assumed. Based on the above growth rates. 4%. .M 20 K. 3% and 2% for the first.00 1 % of capital cost 24 months Federal PSDP 25 K. the traffic projections are given at Annex-A.50 1295.Infrastructure Sector Project Economic/ Financial Analysis (ROAD PROJECT): The project is designed to construct 20 KMs Road.

the revenues are also given at Annex-A • • • • • Life of the Project: 20 Years after completion. Result of financial analysis: The financial analysis of the project has been undertaken and are paced in the following annexes:o Financial Analysis(FIRR. • Economic Benefits: Per vehicle economic benefits have been worked out and given at Annex-G.00 30. The value of savings in travel time. VOC and reduction in distance have been assumed as under: . 10% cost over-run (FIRR.• Proposed Toll Tax Serial 1 2 3 4 Mode of Transport Car/Jeep Mini Bus/Pickup Bus Trucks Proposed Toll Tax (Rs) 20.00 100. Opportunity cost of capital: 12% Financial Benefits: Average daily projected traffic into proposed toll rates. Replacement Cost: Five times of the O.00 Based on the above toll.M Cost after every five years. NPV & BCR) o Sensitivity Analysis.00 80. NPV & BCR) o Break-even toll tax • Annex-E Annex-D Annex-B Annex-C Economic cost: The financial cost has been converted into economic cost by deducting taxes and duties from the traded cost and the non-traded cost has been multiplied by the standard conversion factor (SCF). NPV & BCR) o Sensitivity Analysis. Benefits delayed (FIRR. Details are given at Annex-F.

Benefits delayed (EIRR.J.10 Truck (All Types) The details of savings in VOC for are given at Annex.40 1.28 Wagon 35 19.A .76 2.68 60 8.79 55 17. NPV & BCR) Annex-N Annex-L Annex-M Annex. o Savings in Vehicles Operating Cost (VOC): Without Project With Project Savings Vehicle Speed VOC Speed VOC (Rs/ Type (km/hr (Rs/ (km/hr (Rs/ km) ) km) ) km) Car 50 11.50 1.03 Bus 30 20. (The benefits on account of Motor Cycle and Tractor Trolleys have not been taken into account being a traffic hazard) o Benefits on account of 5 kms reduction in distance: (Annex-K) • Result of Economic Analysis: The economic analysis of the project has been carried out and are given in the following annexes:o Economic Analysis(EIRR. Time Annex-H.o Savings in Travel Time: Serial 1 2 3 4 5 6 The Rupees/ Hour Car 150 Pickup/ wagon 120 Bus 350 Truck (Light) 120 Truck (Medium) 150 Truck (Heavy) 175 details of the benefits on account of savings in Travel Time are given at Mode of Transport Value of T.00 40 9.71 2.81 50 18. NPV & BCR) o Sensitivity Analysis.50 70 10.NPV & BCR) o Sensitivity Analysis. 10% cost over-run (EIRR.

00 132.60 106.56 92.56 77.0 187 191 195 204 214 225 236 248 258 269 279 290 302 311 321 330 340 350 357 364 372 379 387 Total (Numbers) 6065 6186 6310 6626 6957 7305 7670 8053 8376 8711 9059 9421 9798 10092 10395 10707 11028 11359 11586 11818 12054 12295 12541 Traffic Cars Equivalent 6717636 6851989 6989028 7338480 7705404 8090674 8495208 8919968 9276767 9647838 10033751 10435101 10852505 11178080 11513423 11858825 12214590 12581028 12832648 13089301 13351087 13618109 13890471 Toll Revenues (Rs in Million) 70.10 122.05 73.0 403 411 419 440 462 485 510 535 557 579 602 626 651 671 691 711 733 755 770 785 801 817 833 Trucks (All types) 4.0 3950 4029 4110 4315 4531 4757 4995 5245 5455 5673 5900 6136 6381 6573 6770 6973 7182 7398 7546 7697 7850 8008 8168 Pickup/ Wagons 1.91 113.60 120.10 85.45 130.71 109.20 116.60 Annex.95 127.To Appendix – III PROJECTION OF DAILY TRAFFIC COUNT (ADT) CONSTRUCTION OF 20 KM ROAD Cars YEAR Cars Equivalent Base Year Construction Constructions 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 1.B .23 81.10 95.50 124.15 88.78 99.5 1525 1556 1587 1666 1749 1837 1929 2025 2106 2190 2278 2369 2464 2538 2614 2692 2773 2856 2913 2971 3031 3092 3153 Buses 3.61 103.

00 12.95 0.00 132.95 12.75 0.00 12.95 12.10 95.95 12.71 -578.65 55.00 691.R.00 12.95 12.36 RESULTS AT 8.85 93.10 122.00 12.95 12.60 2070.95 0.76 NET BENEFITS -603.50 57.95 0.95 0.83 86.76 96.00 12.95 12.96 100.95 0.15 20.50 117.00 12.C.50 0.95 12.10 85.95 0.20 116.00 70.95 0.50 124. OF BENEFITS (Rs in Million) • N.00 64.95 12.00 12.P.95 12.95 0.00 0.07% Annex.00 12.60 120.59:1 2.95 12.95 0.95 1295.05 119.95 12.75 64.To Appendix – III FINANCIAL ANALYSIS CONSTRUCTION OF 20 KM ROAD (Rs in Million) YEAR 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 TOTAL: CAPITAL O & M TOTAL COST COST COST 603.95 0.95 0.00 64.00 603.00 12.75 64.61 79.55 112.95 0.00 12. • F.67 847.15 88.61 103.95 12. 1426.R.22% DISCOUNT RATE • P.40 75.35 109.78 99.00 12.10 60.25 103.60 106.V (Rs in Million) • B.65 361.50 0.91 113.00 12.66 38.95 0.95 12.95 127.56 77.50 -691.40 1709.50 691.71 109.00 114.95 0.40 BENEFITS (Toll Revenue) 0.50 0.61 64.56 92.45 130.V.96 0.75 0.R.00 414.C To Appendix – III FINANCIAL ANALYSIS .95 0.75 64.95 12.15 82.00 12.00 12.28 68.00 12.95 12.95 12.V.00 64.75 0. OF TOTAL COST (Rs in Million) • P.95 0.I.23 81.95 12.05 73.00 12.00 12.

45 1825.95 12.95 12.76 96.95 12.66 38.23 81.65 55.05 119.15 88.00 12.71 109.95 12.65 112.00 12. • E.95 12.00 0.25 103.V.00 663.83 86.95 12.50 401.00 12.95 127.28 68. 1550.95 12.22% DISCOUNT RATE • P.P.05 73.95 BENEFITS 0. OF BENEFITS (Rs in Million) • N.95 0.85 93.95 12.00 12.85 760.95 12.00 12.95 12.65 0.00 64.00 760.D To Appendix – III FINANCIAL ANALYSIS CONSTRUCTION OF 20 KM ROAD .75 64.95 0.V.V (Rs in Million) • B.95 12.00 114.95 12.78 99.21 RESULTS AT 8.95 12.00 12.60 1938.00 12.95 12.95 0.00 132.95 0.75 0.R.95 0.95 0.50 117.95 0.15 82.10 122.I.21 0.35 109.25% Annex.60 106.R.00 12.00 12.00 12.55 112.00 12.92 847.00 64.95 0.CONSTRUCTION OF 20 KM ROAD SENSITIVITY ANALYSIS (10% COST OVER-RUN (Rs in Million) YEAR 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 TOTAL: CAPITAL O & M TOTAL COST COST COST 663.96 100.95 12.10 95.65 0.00 12.61 103.R.91 113.61 79.56 92.65 57.10 60.20 116.56 77.95 12.75 0.00 64.15 20.00 12.75 0.55:1 1. OF TOTAL COST (Rs in Million) • P.95 1424.00 12.85 -760.95 0.85 0.00 12.C.95 0.95 12.00 12.50 124.95 0.95 0.10 85.71 -703.40 75.95 0.16 NET BENEFITS -663.75 64.00 12.95 0.95 0.95 0.00 70.61 64.45 130.75 64.60 120.

95 64.R.75 12.V (Rs in Million) • B.95 12.00 0.35 72.66 RESULTS AT 8.00 0.95 64.95 0.Benefits delayed by one year (Rs in Million) YEAR 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 TOTAL: CAPITAL COST 603. OF BENEFITS (Rs in Million) • N.00 0.65 93.75 12.00 0.16 NET BENEFITS -603.R.50 -691. • F.I.61 0.96 100.95 12.61 760.95 12.50 BENEFITS 0.15 88. 1415.95 12.00 12.60 106.95 12.00 0.50 0.61 79.60 120.95 12.78 99.95 12.15 82.95 12.00 0.V.95 12.50 124.00 0.85 107.50 691.95 12.25 51.00 0.00 12.00 0.00 O&M COST 0.95 12.56 77.76 96.05 132.61 64.00 132.00 0.75 12.83 34.61 103.SENSITIVITY ANALYSIS .00 0.95 12.95 12.00 0.45 130.50 117.00 0.10 60.00 0.V.P.50 0.00 0.95 12.95 12.95 12.91 113.20 75.45 TOTAL COST 603.15 109.R.28 16.05 73.50 0.95 12.56 92.00 0.10 122.00 0.54:1 1.71 109.60 1808.36% Annex.50 691. OF TOTAL COST (Rs in Million) • P.00 0.95 12.95 12.10 85.86 90.55 112.95 64.00 0.00 57.60 124.95 12.10 95.00 114.75 12.95 401.E To Appendix – III FINANCIAL ANALYSIS (BREAK-EVEN TOLL TAX) .95 12.20 116.00 1295.95 12.00 0.95 12.00 0.95 64.95 12.75 12.00 -655.22% DISCOUNT RATE • P.95 64.C.95 127.75 12.95 12.00 0.00 0.95 64.00 0.23 81.00 70.00 1683.

OF TOTAL COST (Rs in Million) TOTAL AADT (Cars Equivallent .75 64.95 6063392 0.95 6184660 1295.00 12.95 12.48 184.00 12.95 5944502 0.95 4467476 0.00 12.95 12.E To Appendix – III FINANCIAL ANALYSIS (BREAK-EVEN TOLL TAX) .95 4976982 0.00 12.00 691.40 96583954 (Rs in Million) RESULTS AT 8.75 64.95 5438483 0.67 39538902 ContAnnex.95 12.75 4832022 0.50 0.20 1426.95 12.V.95 3267420 0.95 3602331 0.00 12.95 12.00 12.95 12.95 12.95 5713670 0.00 12. OF COST (Rs in Million) P.00 603.95 3430791 0.00 12.00 12.95 5827943 0.95 4646175 0.95 5280080 0.95 12.00 12.00 12.V.50 0.00 691.95 12.95 12.Numbers) 1242.95 12.95 3782447 0. OF O&M COST (Rs in Million) P.95 12.00 0.00 12.75 3971569 0.40 1709.95 12.50 0.00 12.00 12.75 64.95 12.00 64.00 12.00 64.00 12.95 5126292 0.95 4130432 0.00 12.95 4295650 0.CONSTRUCTION OF 20 KM ROAD YEAR 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 TOTAL: • • • • Traffic Cars CAPITAL O & M TOTAL Equivalent COST COST COST 603.V.50 0.00 414.75 5601637 0.22% DISCOUNT RATE P.00 64.95 12.95 12.95 12.

25 Truck (Rs) 125.00 16.70 18.08 20.66 36.12 80.12 108.00 44.42 4.CONSTRUCTION OF 20 KM ROAD Cost/ Breakeven toll tax Per Vehicle at 8.27 6.33 Items Capital Cost O&M Cost Total Cost Proposed toll rate Subsidy Cars (Rs) 31.99 13.00 28.63 144.08 .00 24.14 94.33 100.25 30.98 54.22 % Discount Rate Wagon Bus (Rs) (Rs) 47.

27 25.1 0 0 0.000 0 2.43 374. Physical Contingencies 7.00 0.00 0.50 28.909 0.40 328. Consultancies 20.000 30% 4. Project Managemnt 5.50 0.909 .909 0.F To Appendix – III CONVERSION OF FINANCIAL COST INTO ECONOMIC COST CAPITAL COST .25 0 0 0 140.00 0.00 280.00 0. Land 150.000 0.00 160.00 120.1 0.00 0.00 9.Annex.05 836. Physical Contingencies 7.00 20.Year 1 (Rs in Million) 1.00 0.91 0.45 1165.25 0.50 0.909 0.909 0.000 0.00 461.00 374.00 126.500 Grand total 1295.00 2.27 25. Land 0.00 0.00 0.00 2.00 0.909 Economic cost (nontraded items) 9 150.5 28.53 254.00 4.00 0.00 114.00 0.00 2.500 0 6.15 0 0. Consultancies 20.00 20.00 2.50 CAPITAL COST .000 0 8.00 280.000 30% 3.50 444.91 0.000 0 8.50 Taxes (%) 5 25% 15% 0 10% 10% 0 0 10% Economic cost (traded items) 6 0 0 120 18 2. Price Contingencies 48.909 0.Year 0 (Rs in Million) Traded Cost Financial Item Cost % Actual 2 3 1.50 905.50 0.909 0.500 0 6.90 120.909 0.909 0.50 0.52 0.70 0.00 45.00 2.52 18.00 120. Project Managemnt 5. Resettlement 0.25 0.00 341. Price Contingencies 0.00 2.00 254.52 25.909 0 0.91 0.82 404.1 1 0.00 2.50 Standard Conversion Factor 8 1 0.909 0 0.40 0. Road Construction 400.00 0.25 0.52 0.00 54.95 0.00 432. Toll Plaza 0.000 1 4 0.00 2. Road Construction 400.000 1 5.000 100% 5.00 0. Resettlement 180.07 592.3 3.52 25.65 NonTraded Cost 7 150.00 2.00 0.75 Total Economic Cost (Col 6+9) 10 150.00 142.25 188.00 4.00 572.000 0.000 0 2. Toll Plaza 10.50 199.000 0.25 Total 691.52 18.50 0.50 28.3 4.000 25% Total 603.00 6.00 7.000 50% 28.91 0.00 18.

00 17.00 12.03 2.14 PICKUP/ WAGONS (Rs) 40 60 1.04 26.50 35.28 32.00 25 KM 20 KM 5 KM BUSES TRUCKS (Rs) (Rs) 35 30 55 50 2.00 25.00 122.86 32.73 75.50 21.G To Appendix – III CALCULATIONS OF ECONOMIC BENEFITS Details SPEED W / O PROJECT SPEED WITH PROJECT SAVING IN VOC(RS/KM) Total savings on VOC TIME SAVINGS (MINUTES) VALUE OF TIME SAVING(RS) • • • Distance without project Distance with project Reduction in distance Cars (Rs) 50 70 1.Annex.83 .10 50.75 52.

26 31.64 25.96 28.87 148.83 23.04 30.39 35.350 /hr 19.87 9.94 31.71 21.81 58.28 Buses Rs.60 61.21 161.49 35.30 92.46 24.49 40.87 77.26 86.J To Appendix – III .28 22.36 8.78 170.81 34.04 29.53 90.93 25.16 55.82 33.87 26.69 9.14 Annex.55 6.10 30.09 10.39 34.61 8.73 8.22 37.96 38.33 143.49 10.81 84.00 66.12 173.72 39.42 33.01 138.53 184.22 71.43 7.15 7.99 180.52 176.42 36.04 8. 120/ hr 21.15 107.72 20.49 37.33 Trucks Rs.63 157.82 Pickup/ Wagons Rs.99 74.89 10.175/ hr 5.Annex.16 30.98 29.25 112.97 24. 150/ hr 50.25 122.56 69.98 127.28 102.95 95.94 6.65 5.53 64.62 53.47 32.79 88.92 166.60 37.62 118.18 35.74 22.29 10.23 6.70 Total 97.90 133.87 7.93 26.87 32.90 27.43 81.11 79.18 152.41 9.H To Appendix – III BENEFITS ON ACCOUNT OF TRAVEL TIME SAVING CONSTRUCTION OF 20 KM ROAD (Rs in Million) YEAR Time Value 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Cars Rs.35 23.88 36.10 93.14 9.

85 34.26 131.60 5.15 3.99 4.99 27.53 12.78 30.99 17 70.91 70.11 15.56 4.41 134.15 93.1.63 31.24 13 63.34 20.10 1 39.03 Rs.79 6.18 6.60 10.57 6.98 126.71 14.54 32.45 3 43. 1.64 35.72 5.77 24.35 96.90 2 41.52 118.32 78.14 111.12 129.44 7.39 13.53 82.64 12.46 8.84 7.15 5.58 10.53 36.47 18 71.44 13.33 114.45 8.41 21.50 33.94 9 55.60 11.67 11.00 12 61.36 13.71 121.00 Rs.95 89.65 9.76 86.42 5.07 36.63 7 51.22 8 53.40 14.84 26.82 10 58.98 29.08 5 47.23 34.44 4.55 6.91 4.98 6.58 14 65.13 7.26 6.23 28.77 25.85 123.01 15 67.55 16 68.K To Appendix – III BENEFITS ON ACCOUNT OF FIVE KM REDUCTION IN DISTNACE .43 8.18 6 49.58 22.BENEFITS ON ACCOUNT OF SAVING IN VOC CONSTRUCTION OF 20 KM ROAD (Rs in Million) Pickup/ Total Cars Buses Trucks Wagons Benefits Savings/ Km Rs.21 YEAR Annex.57 100. 2.11 74.86 23.03 14.79 104.96 108.00 Rs.53 9. 2.17 4 45.00 19 73.06 5.78 12.85 11 59.31 4.57 20 74.37 19.83 15.

26 13.49 28.27 43.40 266.54 232.59 38.71 30.99 26.47 212.81 181.85 22.84 104.93 14.45 17.50 90.46 27.83 32.82 128.91 239.29 35.54 28.77 19.38 47.42 Pickup/ Total Buses Trucks Wagons Benefits (Rs in Mn) (Rs in Mn) (Rs in Mn) (Rs in Mn) 9.20 20.86 40.10 50.26 158.06 171.41 8.90 16.78 133.35 150.81 29.11 261.06 123.84 256.69 271.53 164.53 8.90 7.10 14.58 55.33 9.83 24.79 20.27 51.08 146.55 158.43 15.69 20.10 9.CONSTRUCTION OF 20 KM ROAD YEAR Savings/ Km(Rs.17 225.61 11.) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Cars (Rs in Mn) 11.98 166.91 .76 168.38 34.09 99.22 11.80 13.56 25.57 251.61 29.61 196.44 44.74 155.15 150.36 161.24 21.51 14.74 10.61 37.30 246.51 11.93 137.43 174.70 8.81 46.41 41.52 23.35 54.14 48.76 143.22 53.07 18.46 27.03 204.90 10.20 52.47 12.48 119.84 110.68 19.95 12.56 95.20 188.08 114.36 13.69 12.17 24.95 142.82 218.65 30.

00 0.45 300.65 161.04 534.65 58.67 2691.65 58.16 474.55 555.15 74.20 409.65 11.58 232.27 166.65 122.98 89.68 590.59 11.61 545.29 58.35 11.27 11.33 578.58 11.68 567.03 578.87 104.65 133.27 11.65 11.65 184.92 519.90 93.77 402.99 489.00 0.14 11.25 78.18 108.L To Appendix – III ECONOMIC ANALYSIS CAPITAL COST 572.01 239.65 97.92 118.38 11.00 0.65 170.20 11.42 461.65 138.90 143.00 0.65 11.18 174.65 152.38 11.40 O&M COST 0.87 YEAR 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 TOTAL: Total 0 0 311.65 11.62 82.94 196.27 11.15 349.65 11.00 0.27 CONSTRUCTION OF 20 KM ROAD BENEFITS TOTAL Reduction Time COST VOC of Savings Distance 572.38 476.04 394.24 225.00 0.17 158.00 1165.24 503.34 477.00 0.65 112.12 123.00 0.00 11.34 533.54 .08 166.45 150.44 11.65 176.60 7100.65 11.33 100.22 11.21 271.10 58.89 463.00 0.38 Net Benefits -572.00 0.86 11.65 361.65 157.65 173.65 11.97 426.45 0 0 0 11.65 148.27 11.21 567.65 11.65 11.27 58.77 382.Annex.18 315.22 188.65 11.81 11.82 204.85 212.21 114.84 327.99 379.65 127.45 0.99 129.43 343.51 1961.00 0.00 0.65 3974.25 86.65 102.91 1526.00 0.80 360.00 0.78 121.95 -592.00 0.63 181.99 251.00 0.28 70.57 266.65 544.27 118.34 320.55 246.47 256.63 111.27 143.30 556.65 107.27 507.65 11.00 0.53 131.83 11.31 414.55 398.65 180.41 11.01 96.65 58.77 332.61 11.59 492.95 0 0 0 592.00 261.00 0.52 126.95 592.25 8627.00 0.71 431.14 134.65 11.37 443.00 0.00 218.65 11.65 11.

22:1 26.V.V ( Rs in Million) B.27 2721.L To Appendix – III ECONOMIC ANALYSIS CONSTRUCTION OF 20 KM ROAD RESULTS AT 12% DISCOUNT RATE • • • • • P.I.P.17 2. E.54% .C. 1224. OF TOTAL COST ( Rs in Million) P.R. OF BENEFITS ( Rs in Million) N.R.R.43 1497.ContAnnex.V.

22 96.58 271.65 11.70 300.53 184.27 11.60 TOTAL: 1281.27 212.83 158.65 11.00 0.38 476.99 180.00 0.65 11.70 0.63 157.65 58.00 0.65 58.44 218.00 0.34 477.25 122.41 204.24 651.01 121.20 409.65 58.03 578.00 0.58 118.M To Appendix – III ECONOMIC ANALYSIS CONSTRUCTION OF 20 KM ROAD SENSITIVITY ANALYSIS -10% increase in cost ( Rs In Mn) BENEFITS CAPITAL O&M TOTAL Reduction YEAR Time COST COST COST VOC of Savings Distance 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 630.51 1961.63 93.65 11.27 11.65 11.65 11.92 166.94 361.78 170.43 343.65 11.33 143.04 534.89 463.52 176.00 0.24 651.14 0 0 70.00 0.65 0 0 97.65 11.42 461.04 394.62 118.15 107.65 58.68 590.65 11.65 11.17 82.21 567.27 11.98 127.82 104.65 11.15 349.55 555.00 0.38 232.65 11.97 426.45 78.00 111.01 138.65 11.00 0.27 11.18 152.00 0.94 100.86 196.21 2691.00 0.34 320.65 11.38 166.30 556.87 148.33 .27 251.24 503.77 332.14 239.65 630.38 8627.Annex.80 360.65 11.00 0.27 11.27 1643.65 3974.12 173.92 519.35 266.24 114.61 545.90 74.90 133.65 150.99 489.65 11.65 11.24 -651.65 544.37 443.65 11.00 0.85 108.27 507.21 0 0 143.55 123.55 398.57 134.70 11.00 0.00 0.18 315.10 246.65 11.08 86.22 261.00 0.27 11.77 402.59 188.00 0.84 327.20 256.91 Total 0 0 311.25 Net Benefits -630.65 11.00 0.65 11.34 533.28 102.00 131.61 181.77 382.65 58.65 11.99 379.00 0.65 11.00 0.65 58.21 161.65 11.59 492.99 126.18 89.33 578.65 11.16 474.31 414.25 112.71 431.54 6984.00 0.68 567.00 11.81 225.65 11.47 129.29 174.

OF TOTAL COST ( Rs in Million) P.M To Appendix – III ECONOMIC ANALYSIS CONSTRUCTION OF 20 KM ROAD RESULTS AT 12% DISCOUNT RATE • • • • • P.97 2. 1334. OF BENEFITS ( Rs in Million) N.51% .V. E.V ( Rs in Million) B.46 2721.R.I.C.43 1386.04:1 24.P.V.R.ContAnnex.R.

38 15 0.00 11.47 256.2 1515.21 271.92 519.27 161.90 93.04 394.03 578.00 11.25 78.00 0.94 196.71 431.00 11.85 212.27 507.65 173.65 152.65 97.44 13 0.92 118.65 11.65 118.00 11.00 11.12 123.00 11.91 TOTAL: 1165.65 544.25 86.60 184.25 8627.34 477.22 188.65 166.17 158.14 134.00 11.27 11.45 0 0 0 2 0.00 11.59 9 0.27 18 0.65 11.29 7 0.42 461.37 443.31 414.77 382.00 261.38 7 5 Total 0 0 0.27 11.77 402.00 3 0.Annex.5 4 Net Benefits -572.45 150.08 166.59 492.27 11.24 503.24 225.65 11.00 11.38 6 0.43 343.58 232.82 204.52 .57 266.00 11.33 100.68 567.98 89.00 11.61 545.01 239.N To Appendix – III ECONOMIC ANALYSIS CONSTRUCTION OF 20 KM ROAD SENSITIVITY ANALYSIS (Benefits delayed by one year – Rs in Mn) BENEFITS O& CAPITAL TOTAL VOC Reduction YEAR M Time COST COST of COST Savings Distance 0 572.99 129.40 361.16 474.00 11.65 102.65 11.00 572.00 11.00 592.27 112.65 122.34 533.01 96.00 0.65 11.58 22 0.65 170.02 2691.65 58.95 0 0 0 1 592.86 10 0.6 3974.27 12 0.28 70.84 327.00 0.60 180.81 14 0.14 16 0.00 58.61 8 0.20 409.52 126.34 320.65 148.45 0.51 1961.95 0.04 534.65 11.80 360.84 315.00 0 0.62 82.18 174.65 143.77 332.65 11.38 476.65 11.65 176.00 11.30 556.55 555.41 11 0.95 -592.00 11.00 11.65 4 0.63 111.10 17 0.33 578.45 0.78 121.27 138.99 379.15 349.65 58.65 107.87 104.65 11.55 398.65 133.63 181.99 489.99 251.83 5 0.65 7112.20 19 0.35 21 0.55 246.00 218.00 58.00 311.22 20 0.60 11.65 11.90 143.65 11.65 127.65 11.65 11.68 590.97 426.15 74.65 58.65 157.21 114.21 567.00 311.18 108.89 463.00 58.53 131.00 11.

I. E.R.V.N To Appendix – III ECONOMIC ANALYSIS CONSTRUCTION OF 20 KM ROAD RESULTS AT 12% DISCOUNT RATE • • • • • P.49% 93 .P.ContAnnex.V.93 2429. OF TOTAL COST ( Rs in Million) P.R.R. OF BENEFITS ( Rs in Million) N.V ( Rs in Million) B.C.85 1226.00:1 22.99 2. 1215.

00 nd 1 Year 0.) Number of Students (Year/Faculty wise Enrolment): Field Bachelor (Computer) 4 years Master (Computer) 2 years Total Students Ist Year 100 100 200 2nd Year 200 200 400 3rd Year 300 200 500 4th Year 400 200 600 • Income on the Basis of Following Fee Structure: Source of Income Admission Fee (Once) Tuition Fee (Per month) Other Charges (Per month) Total Fee Details / Year Admission Fee Tuition Fee/month Amount (Rs.00 3500.Appendix-IV Example – Social Sector Project Establishment of a Computer Institute: M/S ABC has planned to establish a Computer Institute.00 2000.00 0.T education to the students.00 0.00 0. etc.00 0. utility and repair & maintenance charges.330 38.170 45.) 1000.00 500. The project is designed to impart I.250 75. 30 million (including pay of teaching.00 0.673 48 months Rs.923 199.00 Annual Revenue 2 Year 3rd Year 4th Year 0.00 st 94 .00 0. The statistical data provided by the sponsors and used in undertaking the Unit Cost analysis is as follows: • Capital Cost Years 1 2 3 4 Total • • • • Implementation Period: Annual Recurring Cost: Source of Financing: Capital Cost (Rs in Million) 40. admin and Federal PSDP supporting staff.

Other charges/month Total: • • Life of the Project: 40 years.430 4.00 0.00 0.785 0.00 0. 0.22 % Note: conditions.000 5 2.315 10. under 'with' and 'without' project 95 .000 0.700 10 Total: Replacement Cost After 5 Years Replacement Cost After 10 Years • Discount Rate: 8.797 Replacement Cost (Rs in Mn) 18.212 0.000 3.00 0.00 0.000 40 72.000 18.000 1.908 2.908 26.000 40 4.00 Calculation of Salvage Value and Replacement Cost: Items Equipments Land Civil Work Vehicles Furniture Books Cost (Rs in Mn) Life (Years) Salvage Value % 15 100 25 25 10 10 (Rs in Mn) 3.100 10 10.000 1.120 5 2. In case of projects for strengthening/ expansion of existing institutions the data analysis may be provided on incremental basis i.e.00 0.123 22.270 32.00 0.000 0.

PART-III CHAPTER-VIII MONITERING & EVALUATION PROFORMAS 96 .

Drainage & Flood Control 97 .Revised 2005 PC-1 FORM GOVERNMENT OF PAKISTAN PLANNING COMMISSION PROFORMA FOR DEVELOPMENT PROJECTS (INFRASTRUCTURE SECTORS) • Transport & Communication • Telecommunication • Information Technology • Energy (Fuel & Power) • Housing. Government Buildings & Town Planning • Irrigation.

300 million and above) Capital cost estimates Annual operating and maintenance cost after completion of the Project Demand and supply analysis Financial plan and mode of financing Project benefits and analysis i) Financial ii) Economic iii) Social benefits with indicators iv) Employment generation (direct and indirect) v) Environmental impact vi) Impact of delays on project cost and viability a) Implementation schedule b) Result Based Monitoring (RBM) Indicators 98 4. Execution iii. justification. 3. 2. 8. technical parameters and technology transfer aspects (enclose feasibility study for projects costing Rs. 10. Sponsoring ii. Name of the project Location Authorities responsible for: i. . 6. Operation and maintenance iv. 9. 12. Concerned federal ministry Plan provision Project objectives and its relationship with sector objectives Description.Revised 2005 GOVERNMENT OF PAKISTAN PLANNING COMMISSION PC-1 FORM (INFRASTRUCTURE SECTORS) 1. 5. 7. 11.

Designation & Phone # 99 . Designation & Phone # Approved by _______________________ Name. 14. Management structure and manpower requirements including specialized skills during construction and operational phases Additional projects/decisions required to maximize socio-economic benefits from the proposed project Certified that the project proposal has been prepared on the basis of instructions provided by the Planning Commission for the preparation of PC-I for Infrastructure sector projects. Designation & Phone # Checked by _______________________ Name. 15. Prepared by _______________________ Name.13.

operation and maintenance. 6. (a) Plan provision • • • Total block provision (b) 5. name of the concerned federal ministry be provided. Provide technical parameters i.e. specify actual allocation. what warrants its inclusion and how is it now proposed to be accommodated. If the project is included in the medium term/five year plan. 3. If the project is proposed to be financed out of block provision. Attach a map of the area. Indicate objectives of the project and develop a linkage between the proposed project and sectoral objectives. machinery and other physical facilities required for the project. execution. clearly indicating the project location. 2.)    Describe the project and indicate existing facilities in the area and justify the establishment of the Project. `Also discuss technological aspect of the project. Provide details of civil works.300 million & above. indicate: Amount already committed Amount proposed for this project Balance available Provision in the current year PSDP/ADP Project Objectives • The objectives of the sector/sub sector as indicated in the medium term/five year plan be reproduced. equipment. If not included in the current plan. 4. Location • • Provide name of the district/province. input and output of the project. For provincial projects. Authorities responsible for Indicate name of the agency responsible for sponsoring. indicate objectives of the project if different from original PC-I.Revised 2005 GOVERNMENT OF PAKISTAN PLANNING COMMISSION Instructions to Fill-in PC-I Proforma(Infrastructure Sectors) 1. • In case of revised Projects. 100 . Name of the Project Indicate name of the project. Description and Justification of Project (enclose feasibility study for projects costing Rs.

e. • Information Technology • • • • Provide Hardware specification Attach Networking/LAN diagram Software requirements Availability of services (DSL. items and structure. Brief information regarding traffic and pavement width etc. the following sector specific information be provided Transport & Communication • • • • • • • Provide technical parameters i. For bridges provide location. 101 . In addition to above. Telecommunication • Mention alternate means of providing the same facilities (for example microwaves verses optic fiber cable. Dial-ups. For roads. traffic capacity of road in terms of passenger car units per day. Design speed. wireless) Energy (Fuel & Power) Fuel • Detailed description of major equipments. pavement width. Saving in distance for diverted traffic. • Provide basis of design of the project. In case of improvement within the urban areas. number of spans with length of each span. • Indicate alternate technology alongwith the selected one with justification. geometric and pavement design including formation width. separate traffic counts within that area should be given. provide information regarding land width. selected design features and capacity of the proposed facilities alongwith alternates available. total length of bridge. Land classification for bridges and culverts. in adjoining sections should also be given. width roadway and footpath.) and the cost of each of the alternatives means. Average daily traffic of motor vehicles by category as well as the car units be provided. Indicate governance issues of the sector relevant to the project and strategy to resolve them. • For exploration projects give details of previously work undertaken. underground cable versus overhead cable etc. Thickness/width of road way on bridges and culverts. type of sub and superstructure and load classification.

• For transmission and distribution system: Basis of design voltage drop allowance system stability. base load or peak load plant. Indicate whether the project is in consonance with the master plan of the city. • Indicate whether maintenance facilities are available. Housing. • Engineering projects be supported by technical background data and each distinct segment of the project be described separately. • For Hydroelectric projects: Give information regarding geological investigations. number of circuits. yields etc. Irrigation. type of transformers and major circuit breakers. keeping in view the income levels. • In case of new projects. Rainfall record. Town Planning and covered area parameters/space standards applied in determining land and flood area requirements. reliability. loading conditions of sub stations be provided.) • For multipurpose projects. irrigation. 102 . comparison of available technology and rationale/criteria for selection of specified technology. drainage and flood control • Provide project areas characteristics in terms of population. provide details/plans for maintenance facilities. • For sub-stations and switching stations: Give location and purpose of each station KVA voltage. calorific value. ground water. If not. family size of the population to be served alongwith weather conditions etc. • Load conditions of the existing facilities. drainage and agriculture (crops. stream flow calculation. flow duration curve.Power • Give detailed description of major equipment and structure. in case of extention facilities. • Give a comprehensive. operating voltage. average span length and conductor size. water storage. hydrograph and other available water data alongwith siltation problems be provided. provide basis of allocation of costs between different purposes. Mention the nature and size of land available and indicate whether the design ensures the most economical use of space.e. type of spacing. government buildings & town planning • • • • • Provide alternate designs and proposed design features of the project. • Load flow studies for the year in which plant is proposed to be commissioned and five years thereafter. geology. heat rate price (with custom duties and taxes shown separately) and disposal of ash and effluents. • Provide analysis of adopted technology with respect to existing system. policy regarding reserves. type and structure. • For thermal projects: Give information on sources and availability of cooling water and fuel. climate. soil. design and material to be used for supporting structure. Specifications of the civil works. estimated monthly kilowatt hours generation under minimum and average flow conditions and the flow conditions assumed in the project and operational regime i.

B. C. C. It includes market survey.7. year-wise PSDP allocation. provide History of project approval. • Capacity of the projects being implemented in public/private sector. • Designed capacity and output of the proposed project. schedule rates. • Basis of determining the capital cost be provided. Item-wise annual operating cost based on proposed capacity utilization be worked out for 5 years and sources of its financing. year-wise actual expenditure and Physical progress. • Exchange rate used to work out FEC in the original and revised PC-I’s. • Item-wise. • Unit Year-I Year-II Year-III Phasing of capital cost be worked out on the basis of each item of work as stated above and provide as per following: Year-wise/component-wise financial phasing (Million Rs) Item A. releases and expenditure. 10. estimation on the basis of previous work done etc. Demand and supply analysis • Existing capacity of services and its supply/demand • Projected demand for 10 years. Capital cost estimates • Indicate date of estimation of Project cost. • Supply – demand gap. 9. • Provide year-wise estimation of physical activities as per following: Year-wise/component-wise physical activities Items A. • Justification for revision of PC-I and variation in scope of project if applicable. Annual Operating Cost • 8. • Item-wise comparison of revised cost with the approved cost and give reasons for variation. B. Financial Plan Sources of financing 103 . Year-I Total Local Year-II FEC Year-III FEC Total Local Total FEC Total Local Total Local FEC Total In case of revised projects.

Benefits of the project and analysis • • • • Financial: Economic: Social: Income to the Project alongwith assumptions Benefit to the economy alongwith assumptions Benefits with indicators Environmental impact assessment negative/positive Environmental: Financial/Economic Analysis(wih assumptions) • • • • • • • • • Financial analysis Quantifiable output of the project Profit and loss account and Cash Flow statement Net present value (NPV) and Benefit Cost Ratio Internal financial rate of return (IFRR) Unit cost analysis Break even Point (BEP) Payback period Return on equity (ROE) 104 . interest rate.(a) source Equity: Indicate the amount of equity to be financed from each • • • • • • • • Sponsors own resources Federal government Provincial government DFI's/banks General public Foreign equity NGO’s/beneficiaries Others b) Debt Indicate the local & foreign debt. grace period and repayment period for each loan separately. The loan repayment schedule be also annexed. c) d) Grants along with sources Weighted cost of capital 11.

b) Result Based Monitoring (RBM) Indicators • 13. . age and salary of each post be provided. Impact of delays on project cost and viability a) Implementation Schedule • Indicate starting and completion date of the project Outcome Targets after Baseline Completion of Indicator Project Targeted Impact S. • Input Output Item-wise/year-wise implementation schedule in line chart correlated with the phasing of physical activities. experience. Indicate Result Based Monitoring (RBM) framework indicators in quantifiable terms in the following table. The manpower requirements by skills during execution and operation of the project be provided. . Management Structure and Manpower Requirements • • • Administrative arrangements for implementation of project. 105 .• • • • Economic analysis Provide taxes & duties separately in the capital and operating cost Net present value (NPV) and benefit cost ratio (BCR) Internal economic rate of Return (IERR) • Employment analysis • Employment generation (direct and indirect) • Sensitivity analysis • 12.No 1 2 3 4 5 . qualification. . . The job description.

Additional projects/decisions required • Indicate additional projects/decisions required to optimize the investment being undertaken on the project 15. It may also be confirmed that PC-I has been prepared as per guidelines issued by the Planning Commission for the preparation of PC-I for Infrastructure Sector projects. designation and Phone # of the officer responsible for preparing and checking be provided. The PC-I alongwith certificate must be signed by the Principal Accounting Officer to ensure its ownership. Certificate • The name.14. • 106 .

Family Planning & Social Welfare • Science & Technology • Water Supply & Sewerage • Culture.Revised 2005 PC-1 FORM GOVERNMENT OF PAKISTAN PLANNING COMMISSION PROFORMA FOR DEVELOPMENT PROJECTS (SOCIAL SECTORS) • Education. Training and Manpower • Health. Sports. Nutrition. Tourism & Youth • Mass Media • Governance • Research 107 .

8. iv. 6. 10. 4. v. Sponsoring Execution Operation and maintenance Concerned federal ministry Plan Provision Project objectives and its relationship with Sectoral objectives Description. Financial Social benefits with indicators Employment generation (direct and indirect) Environmental impact Impact of delays on project cost and viability 12. viii. iii. 5.Revised 2005 GOVERNMENT OF PAKISTAN PLANNING COMMISSION PC-1 FORM (SOCIAL SECTORS) 1. a) Implementation schedule b) Result Based Monitoring (RBM) Indicators. 13. Management structure and manpower requirements including Specialized skills during execution and operational phases 108 . 9. vii. vi. 3. Name of the Project Location Authority responsible for: v. justification and technical parameters Capital cost estimates Annual operating and maintenance cost after completion of the project Demand and supply analysis Financial Plan and mode of financing Project benefits and analysis i. 2. 7. ii. 11.

Designation & Phone# Checked by _________________________ Name. Designation & Phone# Approved by _________________________ Name. Prepared by _________________________ Name. Designation & Phone# 109 . 15. Additional projects/decisions required to maximize socio-economic benefits from the proposed project Certified that the project proposal has been prepared on the basis of instructions provided by the Planning Commission for the preparation of PC-I for Social Sector projects.14.

For provincial projects. machinery and other physical facilities required for the project. If the project is included in the medium term/five year plan. Name of the Project Indicate name of the project. what warrants its inclusion and how is it now proposed to be accommodated. 4. clearly indicating the project location. indicate objectives of the project. indicate: Amount already committed Amount proposed for this project Balance available Provision in the current year PSDP/ADP Project objectives • The objectives of the sector/sub sector as indicated in the medium term/five year plan be reproduced. (a) Plan provision • • • Total block provision (c) 5. Indicate governance issues of the sector relevant to the project and strategy to resolve them. If the project is proposed to be financed out of block provision. Provide technical parameters and discuss technology aspect of the Project. 2. Location • Provide name of District/Province. • In case of revised Projects. Description and justification of project     Describe the project and indicate existing facilities in the area and justify the establishment of the Project. 6. • Attach a map of the area.Revised 2005 GOVERNMENT OF PAKISTAN PLANNING COMMISSION Instructions to Fill-in PC-I Proforma(Social Sectors) 1. execution. 110 . operation and maintenance. if different from original PC-I. name of the concerned federal ministry be provided. Authorities responsible for Indicate name of the agency responsible for sponsoring. If not included in the current plan. Provide details of civil works. Indicate objectives of the project and develop a linkage between the proposed project and sectoral objectives. 3. specify actual allocation. equipment.

b) Nutrition • • • Indicate the infrastructure and mechanism required for the project. the following sector specific information be provided Education. indicate number of scholarships to be awarded each year alongwith selection criteria . Net improvement in the nutritional status of target groups in quantitative terms. family planning and social welfare a) Health projects • • Indicate whether the proposed facilities are preventive or curative. training and manpower • • • • • • Give student-teacher ratio for the project and the national average for the proposed level of education. • Indicate present and proposed per capita water supply in the project area. comparison be made with water supply in similar localities. If so. Year-wise proposed enrolment of the institution for 5 years. provide present and future disposal requirements. Indicate the extent of library and laboratory facilities available in case of secondary. Provide details of technical staff required for operation & maintenance of laboratories. c) Family planning • • • Provide information relating to motivation and distribution sub-system. in case of expansion of facilities. Culture. For scholarship projects. 111 • • • . Provide faculty strength in relevant discipline.In addition to above. sports. Measures taken for involvement and participation of the community. tourism & youth • Existing and projected flow of tourists in the country/project area. • Indicate whether the proposed project is a part of the master plan. Indicate source and water availability (mgd) during next 5. college and university education. out door and department-wise. Health. Give benchmark data and targets relating to number of couples to be approached and number of contraceptives and other devices to be distributed. nutrition.10. Bifurcate the facilities between indoor. gaps if any and proposed treatment methods and capacity. Mode/mechanism of advocacy and awareness Water supply & sewerage Present and projected population and water availability/ demand. provide details.20 years. For waste water/sewerage.

C. year-wise actual expenditure and Physical progress. Relationship of archaeological projects with internal and foreign tourism. research. B. releases and expenditure. 9. • Mention number of studies/papers to be produced. It includes market survey.  Item-wise. 112 . • Indicate whether these studies would result in commercial application of the process developed (if applicable). Annual operating cost  Item-wise annual operating cost for 5 years and sources of financing . Research • Indicate benefits of the research to the economy.  Justification for revision of PC-I and variation in scope of the project if applicable. Phasing of Capital cost be worked out on the basis of each item of work as stated above and provide information as per following. 7. Year-wise/component-wise financial phasing (Million Rs) Item Year-I Year-II Year-III Total Tota Loc FE Tota Loc FEC Tot Loc FE Tot Loc FE l al C l al al al C al al C • A.  Basis of determining the capital cost be provided. C. Mass media • Indicate area and population to be covered with proposed project.  Item-wise comparison of revised cost with the approved cost and give reasons for variation. estimation on the basis of previous work done etc. Provide  Projects approval history. year-wise physical activities Items Unit Year-I Year-II Year-III A.  Indicate exchange rate used to work out FEC in the original and revised PCI. B.  Provide year-wise estimates of Physical activities by main components as per following: Component-wise. 8. schedule rates. year wise PSDP allocations.• • Capacity of existing departments to maintain archaeological sites/museums. Demand supply analysis (excluding science & technology. Total In case of revised Projects. Capital cost estimates  Indicate date of estimation of Project cost.

(b) Project analysis  Quantifiable output of the project  Unit cost analysis  Employment generation (direct and indirect)  Impact of delays on project cost and viability 12.No 1 2 3 113 Input Output Baseline Indicator Outcome Targets after Completion of Project Financial: Social: Environmental: Targeted Impact . S. Financial plan Sources of financing (a) Equity: Indicate the amount of equity to be financed from each source  Sponsors own resources  Federal government  Provincial government  DFI's/banks  General public  Foreign equity (indicate partner agency)  NGO’s/beneficiaries  Others b) Debt Indicate the local & foreign debt. grace period and repayment period for each loan separately. sports & tourism sectors • Existing capacity of services and its supply • Projected demand for ten years • Capacity of projects being implemented both in the public & private sector • Supply – demand gap • Designed capacity & output of the proposed project 10. • • • (a) Grants along with sources Weighted cost of capital Project benefits and analysis Income to the project alongwith assumptions. Result Based Monitoring (RBM) Indicators  Indicate Result Based Monitoring (RBM) framework indicators in quantifiable terms in the following table. interest rate. Quantify benefit to the target group Environmental impact assessment negative/ positive. The loan repayment schedule be also annexed.governance & culture. a) Implementation of the project  Indicate starting and completion date of the project  Item-wise/year-wise implementation schedule in line chart co.related with the phasing of physical activities. c) d) 11.

 Job description. age and salary of each job be provided. Additional projects/decisions required    15. It may also be confirmed that PC-I has been prepared as per instructions for the preparation of PC-I for social sector projects. The PC-I alongwith certificate must be signed by the Principal Accounting Officer to ensure its ownership. Management structure and manpower requirements Administrative arrangements for implementation of the project. qualification. preparing and checking be provided. 14.4 13. • 114 . experience. designation and phone # of the officer responsible for . Indicate additional projects/decisions required to optimize the investment being undertaken on the project. Certificate • The name. Manpower requirements during execution and operation of the project be provided by skills/profession.

Commerce And Minerals 115 .Revised 2005 PC-1 FORM GOVERNMENT OF PAKISTAN PLANNING COMMISSION PROFORMA FOR DEVELOPMENT PROJECTS (PRODUCTION SECTORS) • Agriculture Production • Agriculture Extension • Industries.

Concerned federal ministry Plan provision Project objectives and its relationship with sector objectives Description. Execution xi. Sponsoring x. 9. 2. 14. Name of the project Location Authorities responsible for: ix. 3. 12. 11. justification. 15. Management structure and manpower requirements including specialized skills during construction and operational phases Additional projects/decisions required to maximize socio-economic benefits from the proposed project Certified that the project proposal has been prepared on the basis of Instructions provided by the Planning Commission for the preparation of PC-I for production sector projects Prepared by ______________________ Name. 8. 7. technical parameters and technology transfer aspects (enclose feasibility study for projects costing Rs 300 million and above) Capital cost estimates Annual operating and maintenance cost after completion of the Project Demand and supply analysis Financial plan and mode of financing Project benefits and analysis i) Financial ii) Economic iii) Social benefits with indicators iv) Employment generation (direct and indirect) v) Environmental impact vi) Impact of delays on project cost and viability a) Implementation schedule b) Result Based Monitoring (RBM) Indicators. 13. Designation & Phone # Checked by _______________________ Name. 5. Operation and maintenance xii. 6. 10.Revised 2005 GOVERNMENT OF PAKISTAN PLANNING COMMISSION PC-1 FORM (PRODUCTION SECTORS) 1. . Designation & Phone # 116 4.

Designation & Phone # 117 .Approved by _______________________ Name.

Also discuss the technology aspect of the project.e. 4. what warrants its inclusion and how is it now proposed to be accommodated. execution. equipment. Authorities responsible for • Indicate name of the agency responsible for sponsoring. Name of the Project Indicate name of the project. give their component-wise responsibility. the availability of trawlers. Agriculture Production For fisheries projects: Give area for fishing and the legal rights to that area. Location • Provide name of district and province. input and output of the project in quantitative terms. 5. Description and Justification of Project Describe the project and indicate existing facilities in the area and justify the establishment of the project. indicate objectives of the project if different from original PC-I. Plan provision • If the project is included in the medium term/five year plan.  Provide technical parameters i.  Indicate governance issues of the sector relevant to the project and strategy to resolve them. 6. (a) ) • In case of revised project. • For forestry projects: Indicate nature and state of existing forests their growth rate and any problems connected therewith. In addition to above the following sector specific information be provided.  Provide details of civil works. name of the concerned federal ministry be provided. Give details of species. • Attach a map of the area. clearly indicating the projects location.Revised 2005 GOVERNMENT OF PAKISTAN PLANNING COMMISSION Instructions to Fill-in PC-I Proforma (Production Sector) 1. 4.  118 . machinery and other physical facilities required for the project. indicate: Total block Amount already Amount proposed for Balance provision committed this project available Provision in the current year PSDP/ADP. 2. specify actual allocation. For provincial projects. Project objectives The objectives of the sector/sub sector as indicated in the medium term/five year plan be reproduced. • If not included in the current Plan. Indicate objectives of the project and a linkage between the proposed project and the sectoral objectives. amount and type of fish likely to be available. operation and maintenance • In case of more than one agency. • If the project is proposed to be financed out of block provision.

• Provide year-wise estimation of physical activities as per following: Year wise/component wise physical activities Quantities Items Unit Year I Year II Year III A B C • Phasing of capital cost be worked out on the basis of each item of work as stated above and provide as per following: Year-wise/Component-wise financial phasing (Million Rs) Year-I Year-II Year-III Total Items Total Local FEC Total Local FEC Total Local FEC Total Local A B C 119 • FEC . proposed expansion and available technologies. • Basis of determining the capital cost be provided. provide (i) transport. Capital cost estimates • Indicate date of estimation of project cost estimates. land use pattern technological intervention and the basis for calculation of the future output. e. • For agriculture production projects: Give present and future crop yield. • For livestock projects: Give the livestock situation of the country and mention any problems connected therewith.rotation and anticipated rotation and volume yield. • For all agriculture production sector projects. Industry. Agriculture extension  Provide history of extension work in and around project area and justify the extension work. • Whether the output is meant for (i) import substitution (ii) meeting domestic demand or (iii) export oriented. equipment and field machinery etc available with the department. give likely markets and their size. competitive prices and cost of production to justify the project. • In case of exports. • Provide all information under with and without project conditions in case of BMR & expansion projects..g. schedule rates. cropping intensity. equipment & field machinery available with the department (ii) effect • on farm income and basis for pricing of outputs (iii) farm gate and international prices. It includes market survey. Indicate availability of complementary services. 7.  Provide transport. saw mills etc. their species age characteristics and production capacity. estimation on the basis of previous work done etc. access roads. Commerce and Minerals Provide installed capacity. Present and future herd size. the selected technology and reason for its selection.

Item-wise annual operating cost based on proposed capacity utilization for 5 years. Grants alongwith source Weighted cost of capital 8.Total • In case of revised projects. • Proposed year-wise production and unit price of the product. The loan repayment schedule be also annexed. c) d) 11. • Justification for revision of PC-I and variation in scope of project if applicable. • Existing and proposed arrangements for marketing. • Demand/Supply alongwith unit price for the last five years • Imports/Exports for the last five years alongwith unit price (if applicable) • Projected demand/supply for 10 years. Demand and supply analysis(for Industrial and Agricultural Production Projects) • Description of product/services. 10. Annual Operating Cost Benefits of the project and analysis • Financial: Income to the project alongwith assumptions • Economic: Benefit to the economy alongwith assumptions 120 . • Exchange rate used to work out FEC in the original and revised PC-I’s. provide • Project approved history alongwith PSDP allocations. year-wise actual expenditure and Physical progress. releases and expenditure. 9. • Item-wise. • Item-wise comparison of revised cost with the approved cost and give reasons for variation. Financial Plan Sources of financing (a) Equity: Indicate the amount of equity to be financed from each source • Sponsors own resources • Federal government • Provincial government • DFI's/banks • General public • Foreign Equity (indicate partner agency) • NGO’s/Beneficiaries • Others b) Debt Indicate the local & foreign debt. grace period and repayment period for each loan separately. interest rate.

13. Result Based Monitoring (RBM) Indicators • Indicate Result Based Monitoring (RBM) framework indicators quantifiable terms in the following table. a) Implementation Schedule o Indicate starting and completion date of the project o Item-wise/year-wise implementation schedule in line chart co-related with the phasing of physical activities.No 1 2 3 4 5 . • Management structure and manpower requirements Administrative arrangements for implementation of project 121 Input Output Outcome Targets after Baseline Completion of Indicator Project Targeted Impact in . S.• • Social: Environmental: Benefits with indicators Environmental impact assessment negative/positive Financial/Economic Analysis(with assumptions) Financial analysis • Quantifiable output of the project • Profit and loss account and cash flow statement • Net present value (NPV) and benefit cost ratio (BCR) • Internal financial rate of return (IFRR) • Unit cost analysis • Break even Point (BEP) • Payback period • Return on equity (ROE) Economic analysis • Provide taxes & duties separately in the capital and operating cost • Net present value (NPV) and benefit cost ratio (BCR) • Internal economic rate of return (IERR) • Foreign exchange rate of the project (Bruno's Ratio) for import substitute and export oriented projects Employment analysis • Employment generation (direct and indirect) Sensitivity analysis • Impact of delays on project cost and viability 12.

• •

The manpower requirements by skills/profession during execution and operation of the Project. The job description, qualification, experience, age and salary of each job may be provided. 14. Additional projects/decisions required Indicate additional projects/decisions required to optimize the investment being undertaken on the project 15. Certificate • The name, designation and phone # of the officer responsible for preparing and checking be provided. It may also be confirmed that PC-I has been prepared as per instructions issued by the Planning Commission for the preparation of PC-I for Production Sector projects. The PC-I alongwith certificate must be signed by the Principal Accounting Officer to ensure its ownership.

122

Revised 2005

PC-II FORM

GOVERNMENT OF PAKISTAN PLANNING COMMISSION

PROFORMA FOR DEVELOPMENT PROJECTS (SURVEY AND FEASIBILITY STUDIES)

123

Revised 2005 GOVERNMENT OF PAKISTAN PLANNING COMMISSION
PC-1I FORM

PROFORMA FOR DEVELOPMENT PROJECTS (SURVEY AND FEASIBILITY STUDIES)
. 1) Name by which survey/ feasibility will be identified 2) Administrative authorities responsible for i) ii) Sponsoring Execution

3) Details of survey/feasibility study i. General description and justification ii. Implementation period iii. Year wise estimated cost iv. Manpower requirements v. Financial plan 4) Expected outcome of the survey feasibility study and details of projects likely to be submitted after the survey. Prepared by _______________________ Name, Designation & Phone # Checked by _______________________ Name, Designation & Phone # Approved by _______________________ Name, Designation & Phone #

124

administrative. professional. Name of the Project Please indicate the name by which survey/feasibility study will be undertaken. technical. others alongwith their terms of reference. unskilled. provide details. experience and the terms of their appointment. Indicate duration of study and proposed months of commencement and completion of the study. Expected outcome • Indicate the expected outcome of the survey/feasibility study in quantifiable terms. Provide item-wise/year-wise capital cost estimate of the study broken down between local and foreign exchange.e. Provide justification for undertaking the survey/feasibility Study. Sources of financing the capital cost be provided Indicate requirements separately for local and foreign personnel i. skilled. Administrative authority Indicate name of the agency responsible for sponsoring and execution of the project. 125 . Indicate whether previous studies in the field have been undertaken. If so. 3. It may also be indicated whether any project will be prepared after the survey. Provide a general description of the aims. objectives and coverage of the survey/feasibility Study. 2.Revised 2005 GOVERNMENT OF PAKISTAN PLANNING COMMISSION Instructions to fill in PC-II Proforma 1. clerical. Indicate the period of contract of both the local and foreign consultants alongwith qualifications. Details of survey/feasibility study • • • • • • • • 4. Indicate date on which cost estimates were prepared and the basis of these estimates.

PC-III (a) Form (Revised – 2005) Government of Pakistan Planning Commission Implementation of Development Projects (Physical Targets based on PSDP allocation) To be furnished by 1st July of each year 1. Total 6.Quarterly work plan based on annual work plan: Item Unit 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter 7. 5. Output indicators: To be determined by project director on the basis of indicators given in the PC-I. Actual (Million Rs) Accrued Total (Million Rs) Local FEC 4. Cash Plan: (Rs Millions) 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter 8. Name of the Project: (Million Rs) Approved Capital Cost: 3. Expenditure up to the end of last Financial Year: PSDP allocations for the Current year: Annual Work Plan: Item Unit Achievements Target for Quantities upto the end current year of last year As per PC-I 2. (Revised 2005) 126 .

Approved capital cost: Provide approved capital cost by the competent forum. Expenditure upto the end of last financial year: Provide the actual and accrued expenditure upto end of last financial year. Cash Plan: Indicate the finances required to achieve the quarterly work plan targets as indicated at 6 above. Quarterly Work Plan: The quarterly work plan be prepared on the basis of annual work plan. In such projects the recurring cost is capitalized and the project start yielding results during its implementation. Name of the Project: Indicate name of the project.Government of Pakistan Planning Commission Instructions to fill-in PC-III (a) Proforma 1.  Actual physical achievements upto the end of last financial year against the scope of work indicated in PC-I. Indicate quantifiable outcome of the projects for the current year. 8.  Physical targets for the year be determined on the basis of activity chart/work plan to be prepared each year on the basis of PSDP allocations. 5. Annual Work Plan:  Provide scope of work as indicated in the PC-I by major items of work. PSDP allocations for the current year: Provide allocations for the project as shown in the PSDP/ADP. 2. . (Blank activity chart/work plan for major items of works enclosed). The Proforma alongwith activity chart/work plan has to be furnished by 1st July of each financial year. PC-III (B) Form (Revised – 2005) 127 6. 3. 4. Output indicators: A number of projects start yielding results during its implementation. 7.

5. 2. Physical Status Physical achievements during the month under report Item Unit Quantities 4.) Financial Status ((Million Rs) • PSDP allocations for the Current year (Million Rs) • Current quarter requirements as per cash plan (Million Rs) • Releases during the month (Million Rs) • Expenditure during the month 3.Government of Pakistan Planning Commission Implementation of Development Projects To be furnished by 5th day of each month 1. Name of project: (Million Rs. Output Indicators Issues/Bottlenecks in Projects Implementation (Revised 2005) Government of Pakistan 128 .

The PC-III (B) be furnished by 5th day of each month reflecting the progress of the project during the last reporting month. 5.  According to latest instructions of ministry of finance. 2. Output indicators:  Provide the output of the project during the month under report against the output targets.Planning Commission Instructions to fill-in PC-III(B) Proforma 1. AGPR has been directed to release PSDP allocations in the 1st week of each quarter. variations in releases are expected.  Provide actual expenditure incurred on the project during the month under report. Physical status:  Provide actual physical achievements during the month against targets for the quarter. 4.. Issues/Bottlenecks:  Indicate the major issues responsible for delay in implementation of Project at policy and operational level. Name of the Project: Indicate name of the project. However in practice. The executing agency may therefore provide released amount during the month under report. Financial status:  Indicate PSDP allocations for the current year and quarter. Revised 2005 PC-IV FORM 129 . 3.

Name of the Project: Implementation period: 130 .GOVERNMENT OF PAKISTAN PLANNING COMMISSION PROFORMA FOR DEVELOPMENT PROJECTS (PROJECT COMPLETION REPORT) Government of Pakistan From PC-IV Revised 2005 Planning Commission To be furnished immediately after completion of Project regardless of whether or not the accounts of the Project have been closed. 1. 2.

Commencement a) As per PC-I: Completion 131 .

4. releases & expenditure: Year 1. Capital cost: Planned Actual Rs in Million 4. Quantifiable benefits of the Project: a) b) c) d) Financial Economic Social Employment generated . PC-I phasing/allocations. Item-wise physical targets and achievements: Item Unit PC-I estimates Actual achievements Phasing as per PC-I PSDP allocations Releases (Million Rs) Expenditure 6.b) As per actual: 3. 2. 3. 5. Item-wise planned & actual expenditure: Item PC-I estimates Total Local FEC (Million Rs) Actual expenditure Total Local FEC 7.

Financial/Economic results based on actual cost: a) Financial Net present worth Benefit cost ratio Internal financial rate of return Unit cost analysis b) Economic Net present worth Benefit cost ratio Internal economic rate of return For Social Sectors: Provide only unit cost analysis 9. Impact of the Project on target group: Lessons learned in: a) b) c) d) e) Project identification Project preparation Project approval Project financing Project implementation 12. Whether the Project has been implemented as per approved scope of the project. Suggestions for planning & implementation of similar projects: . If not provide details justification of variation.8. 11. 10.

b. 6. d. PSDP allocations as reflected in PSDP/ADP. 8. The benefits of the project may also be calculated on prevailing prices and output. 3. Year-wise releases made to the project. Name of the project: Indicate name of the project. commencement and completion date alongwith actual ones. Capital cost: Provide capital cost of the project as approved by the competent forum and actual expenditure incurred on the project till preparation of PC-IV. Social benefits to target group alongwith indicators. PC-I phasing. unit cost analysis may only be provided. 7. Item-wise physical targets and achievements: a) Provide item-wise quantifiable physical targets as given in the approved PC-I. 5. Provide quantifiable financial benefits of the project alongwith assumptions/parameters. Implementation period: Indicate planned . c. . Quantifiable benefits to the economy alongwith assumptions/ parameters. b. 4. b) Actual physical achievements against physical targets be provided. Item-wise planned and actual expenditure: a) Provide item-wise allocations as per approved PC-I. releases & expenditure: a. allocations. d. b) Item-wise actual expenditure incurred on the project be provided. Provide PC-I phasing as per approved PC-I.(Revised 2005) Government of Pakistan Planning Commission Instructions to fill in PC-IV Proforma 1. Quantifiable benefits of the project: a. unit cost and economic analysis based on actual capital and recurring cost. 2. Planned and actual employment generated by category Financial/Economic results based on actual cost: a) Undertake financial. Year-wise actual expenditure incurred on the project. c. b) In case of social sector projects.

reasons be provided. 11. Suggestions: a) Suggestions for planning & implementation of similar nature of projects. Lessons learned: a) Provide lesson’s learned during identification. approval. 12. Project impact: a) Provide impact of the project on the target group/area. In case of variation. Project implementation: a) Indicate whether project has been implemented as per approved cost. keeping in view the lessons learned in project implementation. financing and implementation of the project. . scope and time. 10. preparation.9.

Revised 2005 PC-V FORM GOVERNMENT OF PAKISTAN PLANNING COMMISSION PROFORMA FOR DEVELOPMENT PROJECTS (ANNUAL PERFORMANCE REPORT AFTER COMPLETION OF PROJECT) .

8. 13. Name of the Project: Objectives & scope of project as per approved PC-I and state as to what extent the objectives have been met: Planned and actual recurring cost of the project. 10. 2. 4. 9. 1. 7. with details: Planned & actual manpower employed: Planned and actual physical output of the project: Planned and actual income of the project: Planned and actual benefits to the economy: Planned and actual social benefits: Planned and actual cost per unit produced/sold: Marketing mechanism: Arrangement for maintenance of building & equipment. Whether output targets as envisaged in the PC-I have been achieved. provide reasons: Lessons learned during the year in: o Operation o Maintenance o Marketing o Management Any change in project management during the year: Suggestions to improve projects performance: 14. 15. 3. 6.From PC-V Revised 2005 Government of Pakistan Planning Commission To be furnished by 31st July of each years for 5 years after completion of Project indicating Projects operational results during the last financial year. If not. 12. 5. . 11.

(Revised 2005) Government of Pakistan Planning Commission Instructions to fill in PC-V Proforma 1. Planned & actual manpower employed: Provide category-wise details of manpower actually employed for the operation of the project as compared to proposed in the PC-I. Planned & actual social benefits: Provide social benefits to the target group as given in the PC-I. 9. Benefits to the economy: Provide quantifiable planned & actual benefits to the economy for the year under report. 2. 6. 11. Maintenance of building & equipment: Provide arrangements made for the maintenance of building & equipment during the last financial year. It may also be indicated that upto what extent the objectives of the project have been met. Market mechanism: Indicate how the output of the project is being marketed. the details may be provided. It may also be indicated whether annual maintenance of building & equipment was carried out in the last financial year. 3. 5. Planned & actual income of the project: Provide income of the project as indicated in the PC-I for the year under report alongwith assumptions and compare it with the actuals for the year. Name of the Project: Indicate name of the project. 8. give reasons. Planned & actual recurring cost: Provide planned (as per PC-I) and actual recurring cost of the project alongwith details for the financial year under report. In case of variation. In case it differs from the PC-I. 12. Planned & actual physical output: Provide output of the project as given in the PC-I for the year under report and compare it with actual output of the project. Output targets: Indicate whether output targets as given in the PC-I for the year under report have been met. Objective & scope of the project: Indicate objectives and scope of the project as stated in the approved PC-I. compare with the year under report and state to what extent the social benefits have been achieved. 7. . 10. Planned & actual cost per unit produced/sold: Provide cost per unit produced and sold at the weighted cost of capital of the project. 4.

suggest measures to improve the projects performance. Change in project management: In case of any change in the senior management of the project.13. Suggestions to improve project performance: Based on the experience gained during last financial year. Management. Marketing iii. . Lessons learned: Provide lessons learned during the year under report i. 15. Operation ii. 14. the details alongwith justification be provided.

In development work. Indicators: Indicators are a measurable or tangible sign that something has been done. a final written report in hard copy and electronic form (specifying program compatibility). Qualitative: Qualitative data or information deals with how people feel about something. rather than with numbers (quantitative data). bottom line refers to the bottom line of your profit and loss report – it tells you whether or not you are making a profit. They do not have scientific validity. a verbal presentation. They can also include interim reports. you give up the opportunity of using the money to buy more text books. This information is very important when you get to monitoring and evaluation as it enables you to assess what difference the intervention has made. Go to scale: Take a project from dealing with small numbers of beneficiaries to dealing with large numbers of beneficiaries. You have to decide which one is the better use of the money. If you spend your money upgrading teachers. Baseline data: Baseline information comes from a study done before an intervention. the “bottom line” is -Are we making a difference to the problem or not? Efficiency. The means of verification (proof) is the officially published list of passes. time. So. Opportunity costs: Opportunity costs are the opportunities you give up when you decide to do one thing rather than another. In other words. Outputs: Outputs here usually include a draft written report. equipment and so on. It provides you with data (information) about the situation before an intervention. Progress data: This is data (information) that you get during the monitoring of the progress of the project. For example. effectiveness. Impact tells you whether or not what you did made a difference to the problem situation you were trying to address. This is how business assesses success. experiences. This could be input in terms of money. for example. but they can provide useful qualitative information. was your strategy useful? Gini distribution of income: The difference between the top end and bottom end of the economic scale in a society. an increase in the number of students passing is an indicator of an improved culture of learning and teaching. Bottom line: In business. impact: Efficiency tells you that the input into the work is appropriate in terms of the output.GLOSSARY OF TERMS Anecdotal information: Anecdotal information is information that comes in the form of stories people remember that are relevant to the indicators you are interested in. staff. opinions. Effectiveness is a measure of the extent to which a development program or project achieves the specific objectives it set. . interview schedules that must be signed off by the client and so on.

if the teachers. SWOT Analysis: Analysis of Strengths. effectiveness and/or impact. Income level of parents in a school is a variable. For example. what the purpose of the evaluation is (why you want it done). Primary data is information collected by you – from other project stakeholders. Structured. the kinds of methodologies you have in mind (again. with the interviewer asking some set questions but adding others in order to follow a line of inquiry that comes up. unstructured interviews do not have any pre-prepared questions and semistructured combine structured and unstructured. . so is location in terms of rural or urban areas. Sampling: Sampling is a way of selecting who to speak to. Weaknesses. who to survey when you are doing an evaluation. organizations. Triangulation: Triangulation is a way of confirming data by using several sources to reflect on/measure the same thing. and cannot cover all the cases that exist. your own observation and so on. They should include: some background to the project and/or organization. Terms of Reference: Terms of Reference form the basis on which you ask for proposals and against which you assess what you are getting. the key evaluation questions you want answered. Opportunities and Threats. and which you want to be able to link to other variables in your indicators. semi-structured or Unstructured interviews: Structured interviews follow a fixed set of questions. open to negotiation). the outputs you expect. collected by other people. the general population. Variable: A variable is a changing element of the situation which may or may not affect efficiency. Secondary data: Secondary data is information that already exists. this information is more likely to be acceptable in an evaluation than if only the teachers said so. the specific aspects you want included (although this should be open to negotiation). If it comes from your own organization it is primary data.Rigorous: Disciplined. learners and parents in a school all praise the principal for being open-minded. the time frame for both submission of proposals and for doing the evaluation. who to interview. thorough and done with honesty and integrity.