Draft Outline by liaoqinmei


									Ethiopian Roads Authority, ERTTP                           Planning, Monitoring & Evaluation Manual

1.1 The Existing Situation
Over 80 percent of the people who live in Ethiopia are currently rural and this population is expected to
grow substantially. Thus the growth of rural population will create a more pressing demand for socio-
economic facilities and services on local government in the future. Currently, local governments face the
enormous challenge of contributing to the transformation of Ethiopia‟s distorted, inequitable settlement

The vast and dispersed settlements in the rural areas have large populations with minimal access to
services and little or no economic base. Most urban areas are also fragmented with great spatial separations
and disparities between towns and townships, resulting in inefficient and costly urban sprawl. Urban and
rural areas are functionally linked. For instance, most rural areas rely on towns for productive economic
activity and service centres.

Almost all rural areas are underdeveloped and experience huge backlogs in transport service and
infrastructure, requiring regional expenditure far in excess of the revenue currently available within the
local government system. On the other hand, the taxable economic resource base in most of the areas is
extremely low.

As a result local governments/Woredas face an enormous challenge to fulfil the developmental mandate
given to them by the Constitution.

1.2 The Ethiopian Planning Context
Planning is a process concerned mainly with the identification of resources and instruments that can be
used for the implementation of policy, and the allocation of those resources and instruments to best effect.
Under this section, the constitutional context, the existing situation, the policy context, decentralisation and
development planning efforts in Ethiopia are discussed.

        The Constitutional Context

The Constitution of the Federal Democratic Republic of Ethiopia (August 1995), Proclamation to Provide
for the Establishment of National/Regional Self Governments (January 1992), and Proclamation to Define
the Powers and Duties of the Central and Regional Executive Organs of the Transitional Government of
Ethiopia (January 1993) provide the primary, over-arching framework within which development and
regional government planning must be conceptualised. The Constitution states in detail the rights,
structure, powers and functions of the state. Points relevant to this Manual are summarised as follows:

The right to development
             People of Ethiopia and people in each nation and nationality have the right to improved
               living standards and to sustainable development;
             Nationals have the right to participate in national development and, in particular, to be
               consulted with respect to polices and projects affecting their community; and
             The basic aim of development activities shall be to enhance the capacity of citizens for
               development and to meet their basic needs.

Rights of Women: Women have the right to full consultation in the formulation of national development
polices, the designing and execution of projects, and particularly in the case of projects affecting the
interests of women.

Structure of the organs of the State: Adequate power shall be granted to the lowest units of government
to enable the people to participate directly in the administration of such units.

Ethiopian Roads Authority, ERTTP                         Planning, Monitoring & Evaluation Manual

Economic Objectives: Government shall at all times promote the participation of the people in the
formulation of national development polices and programmes. It shall also have the duty to support the
initiatives of the people in their development endeavours.

Social Objectives: To the extent the country‟s resources permit, polices shall aim to provide all Ethiopians
access to public health and education, clean water, housing, food and social security.

Environmental Objectives: People have the right to full consultation and the expression of views in the
planning and implementation of environmental polices and projects that affect them directly.

Further, a proclamation to provide for the establishment of National Regional Self Governments provides a
basic administrative hierarchy with the details of the structure of Woreda administration, powers and
duties of the Woreda administration, Woreda Council, the Woreda executive committee, etc.

Although local government is a distinct sphere, it is dependent on, and related to, the regional and federal
spheres. All spheres of government are obliged to observe the principle of co-operative governance put
forward in the Constitution. This means, for example, that federal, and local investments in rural areas of
jurisdiction must be co-ordinated, to ensure that scarce resources are used for maximum impact.

1.3 Nature of the PME Manual
The Planning, Monitoring and Evaluation Manual is intended to be supportive rather than prescriptive in
nature. It aims to build the capacity of those local government bodies, which do not possess the skills and
know-how to undertake the process independently, as well as to provide some ideas, and guidance to those
who might be engaged in this integrated type of planning in addressing their access problems.

The Manual is designed in a modular way. It is envisaged that it would change significantly over time as
more insight is gained and lessons are learnt from real life experience. This edition should be seen as
version one of the publication. Sections could be added to it over time and revisions need to be made
according to responses received from users of the Manual.

The Manual is flexible and adaptable. It is possible to use only those sections, which suit specific
requirements, and to amend or ignore others. Different users can also make use of different sections of the
Manual. Those local government bodies which are already using a different approach can add to their
process a phase(s) or step(s) from this Manual or, where appropriate, use individual tools which will assist
them in their WIDP process.

1.4 Structure of the Manual
The Manual is divided into two parts. Part I presents the general overview and procedures of PME in a
normal project cycle sequence. Part II presents guidance on the most important elements of the PME
process discussed under Part I. Part I comprises the Introduction and five other sections as follows:

Section II: The Woreda Integrated Development Planning outlines the nature of the WIDP process, its
benefits, and the procedures during its application. It provides an indication of how to gear up for the
WIDP process, and outlines the different phases. It provides explanation of the details of the steps and
tools to be used in the implementation of that process.

Section III: The Procedures of the WIDP provides a step-by-step approach to plan. This section consists
of four phases, which are followed during the preparation of the WIDP and the subsequent Woreda Travel
& Transport Plan (WTTP). Each phase is divided into a number of steps, which lead users through the
phase in a logical, easy-to-follow manner. Each step has an introduction, which provides the context, the
purpose and any further explanation of the step that may be required. The role-players involved in carrying
out the step, are indicated in some of the guides.

Ethiopian Roads Authority, ERTTP                         Planning, Monitoring & Evaluation Manual

Section IV: The Woreda Travel and Transport Plan provide more detailed procedures for the preparation
of the Transport Plans. Steps to be considered during the preparation of the WTTP and arrangements
required by the Woredas are clearly specified.

Section V: Project Analysis and Evaluation Criteria discusses seven analytical tools. The planning tools
are Integrated Rural Access Planning (IRAP); Rapid Rural Appraisal (RRA); Participatory Rural Appraisal
(PRA); the Multi Criteria Analysis (MCA); Producers Surplus Method (PSM); Roads Economic Decision
Model (RED); and Distribution Analysis and Impact on Poverty (DAIP). The first three tools could be
used by the Woreda or the executing agency in the preparation of WIDP, whereas IRAP and the last four
tools can be applied in the preparation of the WTTP and in justifying individual projects to be included in
the Transport Plan, depending upon the availability of data. Environmental considerations have also been
treated under this section. In addition, even though a full-fledged feasibility study may be required by the
respective sector agencies or ministries, this Manual attempts to shed light in identifying non-transport
projects during the preparation of the WIDP by providing checklists for the selection of projects in
education, health, etc

Section VI: Monitoring and Evaluation has three subsections discussing the participatory approach,
which involves local people, development agencies and policy makers deciding together how progress is
measured and results acted upon. Indicative performance indicators for each sector are also given.

Part II presents in a logical progression the guidance for the main topics discussed in Part I. It comprises
the following seven sections, namely, Guidance for the Preparation of the Woreda Travel and Transport
Plan; Participatory Woreda/ Village Development Programme Guidance; Guidance for Evaluation/
Ranking/ Selection of Projects; Participatory Programme Monitoring & Evaluation Guidance; Checklist
for Incorporation of Social Dimension into WIDP; Checklist for financing Projects from ERTTP National
or Regional Sources; and Mainstreaming Gender Issues in WIDP.

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

2.1     Introduction
This section of the Manual details the need and method for using an integrated system of planning for local
government in addressing their access problems. A plan is a formulated or organised method by which
something is to be done. Integrated Planning takes into account all the conditions and circumstances that
will play part in the successful outcome of a plan, and involves all the people or organisations that have a
role to play or a contribution to make. It generates solutions that optimise the joint expertise of different
disciplines. In the context of this manual, planning is understood to be a tool for the Woreda council staff
to organise their work on a consultative basis with the Kebele to achieve sustainable development

Planning is needed to:
        make stakeholders aware about their problems and possibilities/ opportunities how to solve
            them or contribute to their solution;
        identify the priorities of the village dwellers and to define targets for reaching the objectives of
        identify, discuss and finally select an appropriate range of development interventions, which
            address the most important problems of the community;
        determine the overall resource requirements for the implementation of the integrated
            development plan;
        provide the necessary technical, social and management benchmarks for monitoring
            development activities; and
        provide a means for evaluating the effects and impact of activities.

The following elements of planning should be considered:
         Physical condition: topography, present land use, natural vegetation, climate, water resource
         Socio-economic conditions: population, traditional/social institutions, gender, farming system;
         Material resources: equipment, tools, manpower and skills; and
         Financial resources: local, government and external inputs.

The following sections will briefly examine the principles and the need for WIDP, and detail the phases
and procedures for using it.

2.2     Planning Principles
The transition to democracy has seen the unfolding of a new legislative and policy framework, aimed at
redressing the imbalances of the past, especially in the rural areas. Various pieces of legislation and policy
are underpinned by a set of planning principles aimed at guiding development decisions.

Apart from meeting a range of integrated rural development accessibility planning objectives, the planning
process should also seek to promote the objectives of developing local government, and facilitating local
processes of democratisation, empowerment and social transformation. Empowerment is bringing about a
more equitable sharing of power, increasing the political awareness of disadvantaged groups, and
supporting them in taking actions that will allow them to take more control of their own futures. Where the
legal system is seen to be independent from the legislative and executive arms of government and is
accessible to less advantage rural people, the objective of empowering local people to claim their legal
rights, and participate in decision-making, is likely to be greatly facilitated.

By its very nature, the integrated planning process to be applied here seeks to support the main objective of
Integrated Development Planning. This is the mobilisation of people and the country‟s resources towards
reducing their access problems to save time so that the community will be engaged in the development

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

activities of their area and subsequently eradicate poverty.

The planning process presented in this Manual, includes steps geared at empowering local role-players,
nurturing and entrenching policy directives, and facilitating local government transformation.

This should, however, not be seen as the last word on WIDP for local government in Ethiopia. Instead it
should be viewed as a platform from which to initiate discussion and debate, based on local experience,
case studies and best practice.

This planning process will fail in its purpose if it does not evolve and change through time, taking into
consideration the continuously unfolding development reality in the country and the numerous lessons that
can be learned from it.

The planning process will set the direction and course of development within a local government area. For
the planning process to carry the full authority of the law, local government bodies have to ensure that all
legislative requirements are clearly understood and that due process is followed. The planning
methodology presented in this Manual attempt to provide local governments with a process that will
enable them to meet these requirements.

2.3     The Need for WIDP
Development activities in general, and transport planning in particular, focus on key or essential issues
and/or geographic areas. They are not coordinated to the local area needs or spatial framework, and are not
all-inclusive in scope or in area. This historic patterns of development should be transformed and resources
be distributed more equitably. This calls for a more participative approach to planning and implementation.

In view of the foregoing, the new dispensation in Ethiopia has ushered in an era of transformation. It has
brought with it a belief in the inherent ability of people to take responsibility for changing their own
destiny. This belief translates into the practice of thinking globally and acting locally.

Under the present government formation, a local government, the Woreda, has a new, expanded role to
play. In addition to providing many of the traditional administrative services, Woredas must now lead,
manage and plan for development. At the moment, there are about 540 Woredas in Ethiopia, which differ
significantly, in available resources, skilled manpower and potential. In order to conduct the WIDP, it is of
paramount importance to have a clear picture of the existing situation of the Woreda. Information on
Woreda Profile could be collected from primary and secondary sources. The format for the preparation of
Woreda Profile is presented as Woreda Information Checklist & Strength, Weakness, Opportunities &
Threats (SWOT) analysis in Annex 1. Kebele level questionnaire, presented as Annex 2, contributes as
primary data collection source for the Woreda Profile.

The Federal Government, therefore, needs to play an important role in leading and directing the course of
change, but regional/local government is perceived to be the main agent and vehicle for development.
Decentralisation of power and decision making authority is a necessary, but not sufficient condition for
building community management capacity. Providing effective support to community management also
requires moving away from traditional bureaucratic structures. The constitution and various pieces of
legislation devolve a variety of new competencies and functions to local government, in an attempt to
bring it closer to the people. Local governments are thus not only inundated by the daily demands of their
constituencies, but also burdened by the mandates, responsibilities and functions bestowed upon them by
legislation. In addition to government agencies, private sector must be considered when designing and
implementing participatory approaches. The private sector is increasingly seen as a potential partner in
development, with the ability to provide capital, technical and management expertise and innovative
solutions to local problems.

The process of formulating WIDPs to each Woreda in Ethiopia will involve:
        A close assessment of the current reality of the total rural area;

Ethiopian Roads Authority, ERTTP                                   Planning, Monitoring & Evaluation Manual

             A determination of community needs;
             An audit of available resources;
             The identification and prioritisation of transport and non-transport needs that reduce access
             The development of frameworks and goals to meet these needs;
             The formulation of strategies to achieve goals within specific time frames;
             The implementation of projects and time frames to achieve key objectives; and
             The use of monitoring tools to measure impact and performance.

2.4      The Phases of the WIDP
The WIDP approach is phased. Each phase consists of several steps, which may or may not be followed
depending the circumstances of the Woreda. The four phases in the planning process presented in this
Manual are:

                                       Development framework
                                       Development strategies & WIDP
                                       The WTTP

The first three phases are discussed in Section III while the last phase is presented under Section IV. Local
conditions, the institutional framework, the size, capacity and resources of a particular local government
body, and the nature and characteristics of local role-players, will shape the way in which the new,
integrated system of planning is implemented in a particular local government area. The Woreda
Integrated Development Planning process is presented in Figure 2-1 below.

                           Development               Development                     WIDP               WTTP
   Vision                  Framework                   Strategy

 Step: (Current          Steps: (Situation         Steps: (Alternative strategy   Compiled from      Extracted from WIDP
         reality,                 analysis,                 statements, local     preceding steps.   and further reviewed
         issues                   core issues,              policy update,                           using guidance for the
         priorities               development               project definition,                      preparation of the
         and vision               goals and                 sector programme                         WTTP.
         statement)               spatial                   & targets, EIA,
                                  framework).               spatial
 Tools: (Woreda                                             assessment,
 Information checklist   Tools: (Woreda                     compilation of
 and SWOT analysis)      information checklist &            WIDP,
                         SWOT analysis, IRAP,               sectoral/project
                         RRA, RRA checklist for             submission).
                         incorporating social
                         dimension into WIDP,      Tools: (IRAP, checklist for
                         DAIP, Mapping).           EIA, MCA, DAIP, Mapping)

          Figure 2-1: Woreda Integrated Development Planning Process

Ethiopian Roads Authority, ERTTP                         Planning, Monitoring & Evaluation Manual


                 Phase I: Vision
                 Phase II: Development Framework
                 Phase III: Development Strategies & WIDP
                 Phase IV: Woreda Travel & Transport Plan

3.1 Phase 1: Vision -Where do the Woredas want to go?

                          Step I: Current Reality
                          Step II: Development Issues
                          Step III: Development Priorities
                          Step IV: Vision Statement

                          Woreda Information Checklist & SWOT Analysis

The first phase in the WIDP process is to develop a Vision. A Vision is a statement about the desired
future of the area, about the result the community wants to create. The Vision is the strategic intent and
is based on the development priorities identified by the people in the area. It has a deep sense of purpose
and captures what the main role-players in a locality want to see the area becoming. It mobilises them,
directs their energies and guides growth and development.

In simple terms Vision is about WHAT the Woreda wants to be and WHERE it is heading Vision is not
about how to get there. The how comes later, once they know where they are going and what they want.
Vision is about ends, not means.

The key stakeholders in the Woreda should participate in the visioning process. Suggested participants
could include village elders, religious leaders, women representative, farmers' representatives, rural
development committee members, private business representatives, youth association representatives,
Kebele elects, sector office heads, the Woreda official, etc. In addition traditional organisational
structures like Mahber, Gott and Edir leaders are essential to enhance people's participation and the
planning process need to recognise the importance of these organisations. People's participation is a
development strategy in which the beneficiaries are active participants at all the stages of the
development of a project and its execution. It requires willful involvement of the community in matters
that affect or impinge on their economic and social well-being.

Due attention has to be given so that the visioning process meeting would not be dominated by
government representatives. It is advisable to begin this session with short term/period training and
briefing of WIDP in general and the vision formulation in particular. The regional/Woreda planning
officer or designated consultant could conduct the training and guide the participants in the formulation
of the vision statement. The Woreda development technician (or RTTP representative) can coordinate
the overall activities. Attendance at the meeting by NGO representative (that operate in the Woreda, if
there is one) would be an asset. The venue for the vision formulation would preferably be in the Woreda
town (seat of the Woreda government) or other convenient place to the majority of the participants. The
duration of the vision phase and size of participants will vary from Woreda to Woreda, depending on the
local conditions and the level of participation. By the end of the vision phase it is possible to have:

Ethiopian Roads Authority, ERTTP                           Planning, Monitoring & Evaluation Manual

                An agreed picture of where the area is now (a shared understanding of the current
                Knowledge of the most important development issues, as perceived by the interest
                 groups and/or stakeholders in the area;
                An analysis of strong points, weak points, opportunities and threats (SWOT);
                A set of development priorities; and
                A development priority-focused vision statement.

3.1.1 Current Reality

Current reality is the fact and information about the current situation that has impact on development.
The current reality step of the Vision phase enables the local government body with the participation of
stakeholders to develop a profile of local development issues, forces and trends. In order to decide where
the communities want their area to be in the future, they need to know where it is today.

This is the first step in developing the Vision. The information gathered in this scan of the current reality
will assist all the participants to decide on what the development issues are, in the following step. The
preparation of the current reality will be further elaborated in the situational analysis.

To decide where the communities want their area to be in the future, they need a clear view of the reality
they now have and this is the current reality.

3.1.2 Development Issues

The development issues step results in an understanding of perceptions of needs, problems and
opportunities obtained from interest group or target group work sessions. A SWOT analysis of issues
and the current reality information needs to be carried out to obtain clarity on the strengths, weaknesses,
opportunities and threats related to the area.

        Once the communities have defined their current reality, they need to analyse the information.

        To provide an analysis of their current reality and to inform and identify:
         Which development trends and issues in their external environment are threats or
         Which development trends and issues in their internal environment (local area) are strengths
            or weaknesses; and
         Which development trends and issues in their institution are organisational strengths or

3.1.3 Development Priorities

The third step is the identification of development priorities based on the SWOT analysis. These
prioritised development issues, both positive and negative, will drive the planning process. They are the
basis of the vision statement.

If a development priority is properly addressed, it will act as a catalyst for growth and development.

To provide the planners with a procedure to identify development priorities that are fundamental to

Ethiopian Roads Authority, ERTTP                           Planning, Monitoring & Evaluation Manual

achieving sustainable growth and development of the area.

3.1.4 Vision Statement

The final step in the Vision phase is to formulate the vision statement describing a shared picture of the
desired future for the Woreda with a time horizon of say up to 20 years.

Now that the communities have identified the development priorities that will drive their strategic
planning process and people are aware of those aspects of their current reality which they want to
change, they are in a position to start thinking about the future, looking ahead, say about 20 years. Now
they can describe what they want the future to be like as a vision for their area and their people. The
power of a shared vision is that it will connect many stakeholders from different backgrounds and bind
them together with a common aspiration.

The purpose of the vision statement is to create a clear and insightful picture of the desired future of their
local government area. At its simplest, a shared vision of the area is the answer to the question "What do
we want to create?"

3.2     Phase 2: Development Framework - what benefits do the Woredas want to deliver?

                                  Step I: Situational Analysis
                                  Step II: Core Issues
                                  Step III: Development Goals
                                  Step IV: Spatial Framework

                 Woreda Information Checklist & SWOT Analysis
                 Integrated Rural Accessibility Planning
                 Participatory Rural Appraisal
                 Rapid Rural Appraisal
                 Checklist for incorporating social dimension into WIDP
                 Distribution analysis and impact on poverty

Once what the Woreda wants to be and where it is heading have been captured, the Woreda is in a
position to embark on the development framework phase. The framework must provide general direction
to strategy development and decision making over the medium term. By the end of the development
framework phase the Woreda will have:
              Conducted a focused and in-depth situational analysis of the development priorities in
                the area;
              Identified core development issues;
              Generated development goals; and
              Produced a spatial framework.

3.2.1 Situational Analysis

A more profound and focused analysis is required to formulate goals than to develop a vision. Step one,
the situational analysis, in the development framework phase results in a focused and in-depth evaluation
of the development priorities identified during the visioning phase. A better understanding of the
development priorities would be achieved without additional investigations if sufficient and reliable data

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

and information is available at Woreda level. In general socio-economic information about Woreda's is
scanty and inaccurate. In order to produce WIDP, accurate data and information at Woreda level is of
paramount importance.

The existing rural structure below Woreda is cooperatives, kebeles and villages in that order. A village is
a geographical grouping of rural dwellers in a given area whose members are engaged either in
agricultural and/or non-agricultural activities. For the preparation of WIDP, a village is not considered as
the lowest unit for data collection, compilation and analysis, due to absence of any formal institution at
this level. In addition there are many villages in a Kebele, which would be expensive and time
consuming to conduct any study of such magnitude. In this case, village representatives who will be
consulted at Kebele level represent the views of each village. Thus, the Kebele (Peasant/Farmers
Association) is taken as the lowest level unit for this manual as shown below. A Kebele is under the
control of Woreda and is a non-governmental organised body. If a village in a Kebele is remote or far
away from the other villages of the Kebele, it could be specially treated. This exception has to be
minimised in order to save time, expense and energy for the whole exercise.

                    Existing Set-up                                        Used in WIDP

                        Woreda                                                 Woreda


                    Kebele/Farmer                                         Village/Kebele


            Figure 3-1: Woreda Integrated Development Planning Structure

At this stage of the WIDP preparation (for the situational analysis), the following information at Kebele
level could be collected.
              Social service availability and location;
              Rural transport (mobility & access) condition;
              Transport service availability;
              Poverty reduction;
              Economic activities; and
              Resource and potential of the Kebele.

Rural transport is one of the major issues in rural development. To understand rural transport in the
context of rural development, one has to look at the mobility (ease or the difficulty of movement) and
accessibility (ease or the difficulty of reaching a facility). The following schematic diagram shows the
rural household access needs.

Ethiopian Roads Authority, ERTTP                           Planning, Monitoring & Evaluation Manual



                    Sources                              Rural                   Crop Production
                                                        Village                          & Land

                    Fuel Wood &
                              Market Places

                                                 Employment & Social
                                                 Economic Activities

             Figure 3-2 Rural Household Access Needs

In conducting the situational analysis at Kebele level, the views and opinions of the stakeholders will be
assessed. The stakeholders (key informants) at Kebele level are the village leaders, elders, women,
religious leaders and sector office representatives. Using the available data processing means, the collected
data at Kebele level will be analysed in order to get a clear picture/information of the existing situation.
The existing situation of the Kebele could be presented in a map, which is the best tool to present and
visualise the situation. The objective is to clarify the situation visually by location and sector (village,
education, health, infrastructure, etc.).

At Kebele and Woreda level, the existing land use pattern will be assessed/compiled, which is inventory of
asset or infrastructure asset assessment. This will help to identify the present location of facilities, which
would be presented as the existing map of the Kebele/Woreda. Map assists the visualisation of the
accessibility situation. It is a very important tool for planners and implementers. It tells what one wants to
know about the geographical features of the area in which one intends to work. It does this under five
categories, namely:
                   Description: name of the map area, location, sources of the map, name of editing
                      mapping agency, scale, etc.;
                   Details: map symbols, man-made features (homesteads, churches, schools, hospitals,
                      market areas, grinding mills), water features (rivers, streams, lakes), vegetation
                      features (forests, swampy areas), topographic features (hills, villages);
                   Direction: shows which direction is north, longitude and latitude;
                   Distances: using the map's bar scale, it is possible to know the distances and calculate
                      the areas; and
                   Designations: shows the local names of sites, villages, rivers, etc..

The existing land use pattern shows the location of the following service centres, namely, Kebele dwellers
settlement area; development locations/ centres; farming areas; rivers; mountains; forests; education
facilities; health centres; water points and wells; grinding mills; market area; road (foot path, trail, rural

Ethiopian Roads Authority, ERTTP                         Planning, Monitoring & Evaluation Manual

roads, etc.); community projects; business establishments; firewood sources and locations; means of
transport; socio-administrative service centres (administrative office, police office, banks, etc.).

Based on the above existing situation, it is necessary to conduct accessibility analysis. This is to know the
access time of the Kebele dwellers to safe drinking water, schools, health care, market, grinding mill, etc.
in general, to the above mentioned service centres. The main issues to be considered are listed below:
                   Percentage of villages with all year access to motorable road;
                   Percentage of village with dry season access only to motorable road;
                   Percentage of village with all year public transport service;
                   Percentage of village with dry season only public transport services;
                   Percentage of household over three hours distance to the nearest road network;
                   Percentage of household which have no access to protected water supply in their
                   Average travel time to collect water in dry season;
                   Number and percent of villages with primary/junior school;
                   Percentage of household which have no access to primary school in their village;
                   Average travel time to reach the nearest school;
                   Percentage of children traveling more than one hour to reach school;
                   Number and percentage of village with health facilities;
                   Average travel time to health facilities;
                   Average actual catchments of health facilities;
                   Number of grinding mills in the village;
                   Average travel time to the nearest grinding mill; and
                   Average actual catchments of grinding mill.

Accessibility profile/Accessibility Action Plan is the integration of transport sector investments with other
sector priorities. The next question is how to improve the accessibility problem by solving the access
constraint and better decision of the sitting of facilities.

The present settlement patterns may be characterised by:
                  Scattered settlement;
                  Walking and head loading as the main means of travel and transport;
                  Absence of infrastructure to get easy access to social services; and
                  Time and effort are lost in walking to these services, where the local people need to
                    meet their daily life requirement.

In situational analysis, the gender issue will be reviewed, since the design of an intervention starts from
the identification of the existing situation.

For a more focused current reality understanding, various tools could be utilised depending on the
Woreda's socio-economic condition. These are Integrated Rural Accessibility Planning (IRAP), Rapid
Rural Appraisal (RRA) or Participatory Rural Appraisal (PRA). A brief explanation of the appraisal
tools is presented under Part I, section III, whereas detail explanations are attached as guidance, under
Part II, Section C.

It is already known what the development priorities are. Now the communities need to understand them
more if they are to address them. This is the point at which preliminary viability and feasibility needs to
be assessed.

A deeper and more focused current reality is required than in the visioning process - a view of reality
that is focused on the development priorities. They also need to see them in relation to what can actually
be done about them.

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3.2.2 Core Issues

Step two involves identifying the core issues (underlying causes) related to the development priorities on
the basis of a situational analysis.

The development priorities that are identified and analysed in the vision phase and in the situational
analysis need to be grouped into themes or rationalised so that the communities can set goals.

The purpose of this step is to identify the set of underlying causes, called the core issues, of their
development priorities. This exercise will enable the Woreda to clarify the reasons for the current state
of their development priorities.

3.2.3 Development Goals

Development goals are broad intended outcomes or targets of a development initiative. In Step three the
core issues requiring strategic attention are translated into medium-term development goals. Goals are a
statement of the outcomes or benefits that are delivered to people within a time horizon of, say five

The development priorities have become medium-term core issues. The next step is to translate them
into goals.

At this stage the communities have:
          Identified a limited number of core issues for strategic attention; and
          Prioritised between concerns that make up or define the core issues.

The purpose of this step is to capture the desired medium-term results and benefits to the people.
Development goals are what the Woreda or Kebele communities intend to do and achieve for the quality
of life of their area and its people, not how they intend to achieve them.

3.2.4 Spatial Framework

The final step in the development framework phase is to add a spatial dimension to the medium-term
development framework. Spatial means relating to physical space. This framework is a spatial
expression of the areas:
                      Integrated Woreda development goals; and
                      Development policies.

At this point the development framework has identified the core issues that will guide development in
their area, and it has generated the development goals that they will be pursuing in the medium-term.

To complete the development framework, explicit spatial guidance for development in their area needs
to be formulated. This is the community‟s spatial framework

Ethiopian Roads Authority, ERTTP                         Planning, Monitoring & Evaluation Manual

3.3     Phase 3: Development Strategies & WIDP- how do the Woredas get there and what
is the outcome?

                          Step I: Alternative Strategy Statements
                          Step II: Local Policy Update
                          Step III: Project Definition
                          Step IV: Sector Programmes and Targets
                          Step V: Environmental Impact Assessment
                          Step VI: Spatial Assessment
                          Step VII: Compilation of the WIDP
                          Step VIII: Sectoral/Project Submission

                          Integrated Rural Accessibility Planning
                          Checklist for EIA
                          Multi Criteria Analysis
                          Distribution analysis and impact on poverty

Development strategy sets how to implement development policies and project plans, taking the
available priorities, resources, budgets and time frames into account. At this point in the planning
process, the Community has a long-term vision and a set of Woreda development goals that describe
what benefits it is intended to deliver. In this phase, how the Community intends to bridge the gap
between the current reality and vision with a set of integrated strategies is addressed. Strategies are
means by which to achieve goals, objectives, policy implementation and a range of other development
targets. It should at least be able to answer questions such as what is to be done, when, who is
responsible for implementation, where is it going to be implemented?

In the preparation of the WIDP, the eight steps of development strategies (alternative strategy policy
update, project identification, sector programme targets, environmental impact assessment, project
identification, spatial assessment, programme delivery targets and sectoral/project submission) will be
reviewed and are presented below.

A workshop for the approval of the draft WIDP is necessary. The participants to the workshop include
all the role players in the local government area. The designated consultant would present the WIDP,
incorporating the sectors projects and plans. The participants of the workshop would be expected to
modify/endorse the final plan after deliberation. Gender issues in the planning and implementation
phases of WIDP will also be reviewed and the guidance to mainstreaming Gender Issues in WIDP is
presented in Part II Section G.

On completing this phase the Woreda will have:
            Drawn up alternative development strategies to address each goal;
            Appraised these strategies and selected preferred strategies;
            Completed a local policy appraisal for each preferred development strategy;
            Defined and prioritised projects;
            Identified project activities;
            Generated sector programmes and sector targets based on activities (to fulfil legislative
            Undertaken an initial environmental impact assessments for relevant projects;
            Completed a spatial impact assessment;
            Completed a set of delivery targets; and

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                Completed the components of the projects for submission to respective sectoral
                 organisations for implementation or consideration, approval by the Woreda council or
                 any appropriate authority to obtain the statutory status and approval/permission of what
                 is required, and also for further analysis and implementation.

3.3.1 Alternative Strategy Statements

Step one of the strategies phase is turning the development goals into alternative, purposeful, action-
orientated statements of intent called alternative strategy statements. It is important that these strategy
statements be formulated in an integrated way. At all costs avoid sectoral working groups to develop
strategy statements. Multi-disciplinary groups or teams should develop the strategies to address the
development goals.

The set of development goals provides the Woreda with the general direction in which it wants to go. The
strategy statement needs to state that the Woreda is going to reach development goal A by doing x, y and
z. The most effective way to achieve a goal is to address the core issues associated with that goal. There
may be more than one way of achieving a desired result. This means that each development goal may,
and is likely to have, more than one strategy matched to it. It also means that there may be considerable
debate between alternative strategies. They may need to appraise and select a preferred strategy from a
range of alternatives.

The purpose of this step is to develop alternative but integrated development strategies, to appraise and
choose the preferred development strategies to achieve the goal, based on strategic assessments and the
analysis of different strategy alternatives.

Once alternative strategies have been developed, they need to be assessed in terms of their strategic
impact, viability, sustainability, policy compliance and a range of other locally-developed and adopted
criteria to arrive at a set of preferred development strategies.

3.3.2 Local Policy Update

The successful implementation of a development strategy often depends on the existence of an
appropriate local policy framework. During step two, local policy environments should be identified and
assessed. Does it support and enable the development strategies of the area? For example, if one of the
strategies is to facilitate the empowerment of small micro enterprises, is the tender procedure appropriate
for empowering more enterprises to tender for local contracts? Where necessary local policies need to be
amended to create an enabling environment for the implementation of the defined strategies.

A number of preferred development strategies have been identified in the previous step. Before
embarking on defining individual projects to implement these strategies, they need to assess the policy
environment for each strategy within which their projects will be defined and implemented.

This local policy update will enable the Woreda or the kebele to answer the following questions:
     What existing national and regional policies guide their development strategies and with which
        their development strategies must conform?
     Are there any local policies relevant to the strategy statements? If so, are they constraining or
        enabling (such as by-laws or institutional procedures)? If not, does the Woreda require policy
        guidance? If the Woreda has such requirements, these will be planned for as policy projects in
        the next step.

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3.3.3 Project Definition

Step three is project definition. It is now clear on where the Community is (current reality and situational
analysis) and where it wants to go (development vision). The strategy is designed to bridge the gap
between the two in broad terms. Now one needs to plan the bridge in detail (projects). A project is a set
of inter-related actions or activities in support of realising a development strategy and may include a
range of possibilities such as:
          A technical investigation;
          A capital investment project;
          A design (infrastructure, facilities, etc.);
          Developing a process or a system;
          Developing a policy;
          Delivering a service; and
          Empowering stakeholders.

Once a set of strategies (or a single strategy) has been developed and adopted around a development
goal, a series of projects and activities are needed to fulfil the development goal. At this project
definition point, the Woreda needs to define ways to put its strategy statements into action. The Woreda
is clear on where it is (its development priorities) and where it wants to go (its development goals). The
Woreda has designed the bridge in broad terms (its strategy statements). Now the Woreda needs to plan
the bridge in detail.

The purpose is to identify, prioritise and plan projects including activities that are in line with the
strategies that the Woreda have agreed upon and will achieve the development goals that have been set.
There are two stages of project prioritisation. The Kebele level proposals are assessed by the Kebele
development committee (KDC) or designated body and after prioritisations, the selected projects are
referred to the Woreda. The Kebele level project identification and implementation process is shown in
Figure 3-3. At the Woreda level, the Woreda Development Committee (WDC) does a further
prioritisation and the selected ones are included in the WIDP. The flow of identified projects in WIDP is
also presented in Figure 3-4.

   Participation          Input                                           Project
                                               Situation               Identification
                                               Analysis                and Selection

                                            - Data collection                                                  - Implementation
- Village Leaders     - View of the local                                - Prioritisation of - Methods to do
                                            - Data Analyses                                                    - Monitoring
- Women                 stakeholders                                        access problems
                                            - Mapping                                          and when?       - Evaluation
- Religions Leaders                                                      - Discussion with
                      - Community           - Workshop for
-Kebele Level                                                               stakeholders
                                               validation of problem
  Sector Offices        Participation          ranking
                                                                         - Project
                                            - Access Profile
                                            - Tools to be used            CPP
                                             IRAP
                                                                          NCPP
                                             RRA
                                             PRA
                                             Woreda information

               Figure 3–3: Kebele Level Project Identification and Implementation

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             Woreda                            WIDP                           Woreda

                         Sector Projects                  Village Projects

            Figure 3-4: Flow of Identified Projects in WIDP

Once a set of projects has been identified, to achieve each goal the projects need to be unpacked into
activities. Related functional activities can be grouped so that line offices can carry out the project

3.3.4 Sector Programmes and Targets

Step four results in the production of sector programmes and targets. This is a technical task, which
should be undertaken by local government officials, possibly the heads of the various departments in the

The Woreda has prioritised and planned a number of projects or programmes to address its development
goals. From these, the communities need to extract sectoral or functional programmes, which line
ministries can then put into operation.

The purpose is to identify sectoral activities relating to identified projects and to highlight the
responsibilities of the different line functions or departments in implementing these projects.

3.3.5 Environmental Impact Assessment

On step five, the Woreda needs to carry out or cause to carry out or classify the category of
environmental impact assessments for relevant projects and programmes in order to ensure the long-term
sustainability of the development initiatives.

The Woreda has decided upon development projects and sector programmes. Regulations for
Environmental Impact Assessment (EIA) require the Woreda to assess the impact that specific projects
will have on the environment.

The purpose is to assess the projects and sector programmes by applying an environmental assessment
and to predict or measure the environmental effects of construction and operational activities.

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

3.3.6 Spatial Assessment

The Community is now in a position to carry out step six and develop a spatial assessment of the
development proposals. This step should:
           Locate the projects on a map of the area;
           Map the areas of impact; and
           Assess the compliance of the development proposals with the spatial framework.

Due to the scattered and unplanned settlement, the rural people spend time and effort on walking and head
loading, which could have been better utilised in productive services and income generating schemes. To
ameliorate the rural people from the present situation, useful and important interventions would be of
paramount importance. Systematic organisation of space (territories and land) is important for efficient and
sustainable utilisation of land for economic development. This comprises settlement, which is the
determination of central places and development of urban nuclei for the provision of efficient services. It
also takes into account identification of problems and opportunities on land for different activities.

The ideal land use plan would incorporate the villagization of the existing rural households in a centre,
which would be easier to render all social services. Detail study of the land use (which area of the land is
to be used for which activity) is necessary. Once the plan is set up based on the established land
regulations, it is mandatory to utilize the land as per the established guideline of the land use. This could
be done by a nominated consultant (professional) and requires efficient and effective land utilization
policy. A designated consultant or committee could select the future rural town location with the
consultation of the Kebele key informants and the issues stated in the checklist.

The rural development vision of the Government, which is stated in the recently published Revolutionary
Democracy document, reveals that within 30 to 40 years the major rural areas of today that have
population of 5,000 to 10,000 would have a better standard of living than the present small towns of the
same population magnitude. Thus dispersed settlements would be replaced by a place, which would have
better basic infrastructure services. The lowest structure could be kebeles or cooperatives, depending on
the situation of the Woreda. The cooperatives, if formed on the basis of willingness has advantages of
availing agricultural equipments for rent; coordinate and handle irrigation schemes; land & water
conservation; ease to avail infrastructure like road, education, health and water point; and creating a
favourable access of market to farmers. Launching resettlement programme, as per the studied location
would be one of the pre conditions for the realisation of the above stated rural development vision.

The future land use pattern should take into account the rural village (future town). It shows the future land
use pattern, which identifies the following centres. It includes the rural town area; residential sites;
primary, secondary and vocational training sites; health facilities; road network; market place; water
points; stores; woodlots, nurseries and other sources of firewood; agriculture development area; livestock
development area; agricultural products processing facilities; rural banks; forest area; low scale job
creating facilities, etc. The land use plan has to consider into account the interface of the various centres
mentioned above. It has also to take into account future growth and demand of the sectors, which would be
updated in the future. It is advisable to use expertise input (agriculture, town planning and other sectors
office experts) in the preparation of the future land use plan. Even though it is not exhaustive, indicative
checklist for identifying the above centres are presented below.

        Checklist for determining Future Land Use Pattern of an Area
            Identify future settlement area (rural town) taking into account the availability of water,
               infrastructure, ample area for future expansion, etc;
            Determine the would be population taking into account the present population and the
               population growth rate (say 20 to 30 years);
            Determine the school age children;
            Considering the education sector goal of the country (universal education by 2015),
               providing all citizens a minimum of 8 grade, arrive at the number of students and required
               educational facilities in the Kebele with the possibility of future expansion;

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

                Considering the health sector goal of the country (universal primary health care for all by
                 2015), determine the location and standard of health service with the possibility of future
                Based on the estimated population, determine the residential area;
                Based on the estimated population, identify the agriculture area, livestock development
                 area, forestry area, grass land area, agricultural products processing facilities, livestock
                 fattening, bee farming, fishery development, planting trees like incense and gum, etc;
                Determine service-rendering areas (market, grinding mill, rural bank, etc…), which would
                 be in the center of the would be town for ease of access to the people;
                Town development plan in terms of rendering various services to the community, like
                The development and availability of transport capacity and services (conventional and
                 intermediate means);
                 Identify roads that would be constructed in order to minimise the travel to the nearest all
                 weather road, according to the future goal of the country (i.e. 3 hours walk to the nearest
                 all weather road); and
                Future rural town dwellers would have water points and sanitation in their house. Thus it
                 would be preferable to locate the rural town near the main source of water, taking into
                 account the present and future population of the rural town.

Based on the above checklist, the would be or future land use plan of the area would be prepared. In the
future, with development in the country, there could be a tendency to lower the concentration into village
instead of Kebele.

In the situational analysis the Woreda compiled a spatial profile. In the development framework phase, the
Woreda formulated a spatial development framework. Now that the Kebele / Woreda have developed
projects and sector programmes and targets, they need to return to spatial considerations to clarify and
consolidate their spatial impact.

The spatial impact should:
        Locate the projects in space (where will they be implemented?);
        Map the impact of the projects and sector programmes in space (where will they have an
        Assess the compliance of their projects and sector programmes with the development
            framework; and
        Identify whether their strategies support or undermine their spatial framework.

3.3.7 Compilation of the WIDP

Step seven summarises the development proposals for the area and compile the WIDP. It will need to list
their strategies and polices with their associated projects, outputs and activities and develop the short to
medium-term delivery targets. An indicative outline for the compilation and preparation of the WIDP is
given as follows:
     Review of Macro Development Framework
     Review of Regional/Zonal Socio-Economic Framework
     Woreda Profile
     Woreda/Kebele/Households Surveys
     Data Analysis, Mapping and Appraisal
     Economic Interventions
     Social Interventions
     Accessibility Analysis and Interventions
     Transport and Non-transport Plans
     Resource Mobilization and Management

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       Implementation
       Monitoring and Evaluation

This step simply brings together all the things that the Woreda plans to deliver in its area or in other
words to prepare comprehensive WIDP. It lists and summarizes all the steps followed in preceding
sections and set targets that they have set across all sectors, and creates a single statement (or
programme) of delivery targets. They are then able to assess whether their delivery targets comply with
their vision, development framework and strategies. Their programme of delivery targets will also be
required for future monitoring and review.

The purpose is to provide a composite list of what they plan to deliver in their local government area
over a specific period.

3.3.8 Sectoral / Project Submission

Finally, the Woreda needs to review its vision, development framework, strategies and the respective
projects and decide on the mode of implementation. There are usually projects, which can easily be
implemented at community level. Once these are identified projects which call for the support of federal
ministries will be split and be submitted for implementation or inclusion under their sector development

The WIDP incorporated the 5 and 10 years planned activities of all the sectors in the Woreda that would
be implemented by the kebele, Woreda, region, federal government, donors and NGO's. Each sector will
extract its line ministries plan of the Woreda from the approved WIDP. The travel and transport part of
the WIDP is the WTTP. Other sector plans are further developed by the concerned sector offices
according to the guideline of their respective ministries. The checklists for choosing non-transport
projects are briefly presented in part II Section C.

The proposed integrated rural development projects of WIDP will serve people living in the Woreda.
There might be subgroups within the population that might have been affected by a project component or
subproject. A checklist for incorporation of the social dimension into WIDP is incorporated under Part
II, Section E, which deals with subgroups that might have different needs, demands and absorptive
capacities (those affected by a project component or subproject).

At this point the Woreda has prepared a vision, a development framework and a set of development
strategies, including targets. All these elements of the integrated strategic plan make up and involve
cross-sectoral projects, issues and requirements. To fulfil the requirements of these cross-sectoral issues,
the Kebeles must submit a record of their projects to their Woreda, which in turn should submit to
concerned organisations.

The purpose is to help the Kebeles /Woredas compile their needs into a WIDP, and subsequently
implement in a coordinated manner those projects within the resources of the Woreda and to submit
others to appropriate organs.

In summary, one important task that should be the basis for the preparation of the WIDP is the definition
of the service hierarchy of each sector at national or regional levels vis-à-vis the existing situation in a
specific Woreda. For instance Millennium Targets or Plan of Action of the Ethiopian Development
Framework (2001-2010) can be referred. According to the Ethiopia Development Framework and Plan of
Action 2001-2010, Ethiopia's long-term development objective is stated to be Sustainable Human
Development (SHD). In this context, the development challenge and agenda for the decade (2001-10) will
be poverty reduction. Accordingly, it is expected to bring down poverty head count from the present level

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of 45.5 percent to 27.2 percent by 2010, average income from USD 137 to USD 203, food insecure
population from 50% to 26%; Infant Mortality Rate (IMR) from 97 to 69 per 1000 live birth; under 5 year
Children Mortality Rate (CMR) from 167 to 146; Maternal Mortality Rate (MMR) from 705 to 467 per
100,000; increase Gross Enrolment Ratio to primary school (GERPS) from 48.5% to 84.2 %; increase the
proportion of people with access to clean water at national level from 30% to 60%; access to health service
from 51% to 74%; road density from 28 to 34 km per 1000 km and a sustainable economic growth of at
least 7% per annum in real terms is envisaged over the programme period.

Part II, Section C.9 provides checklist for selection and implementation of selected projects while Part II,
Section A gives guidance for the preparation of the WTTP.

3.4     Phase 4: The Preparation of Woreda Travel and Transport Plan
The fourth and important phase in the WIDP process is the preparation of the Woreda Travel and
Transport Plan (WTTP), which is derived from the former. The WTTP is the travel and transport section
of the WIDP. The WTTP preparation and the operational planning are discussed in detail in the next

Ethiopian Roads Authority, ERTTP                         Planning, Monitoring & Evaluation Manual


                 Sub Phase I: Compilation and Preparation of WTTP
                 Sub Phase II: WTTP Operational Planning

                 IRAP RED PRA MCA                Woreda Information Checklist & SWOT
                  Analysis Mapping DAIP

The last phase of WIDP, which is the preparation of the WTTP, has two sub phases. They are the
compilation and preparation of WTTP and the Operational Planning, which are discussed under this
section. Further guidance for the preparation of WTTP is presented in part II section A.

4.1     Compilation and Preparation of WTTP

                        Step I: Introduction and process
                        Step II: Technical support arrangements
                        Step III: Information management
                        Step IV: The draft WTTP
                        Step V: Analysis of the WTTP

The WTTP enables a community to implement the integrated system of local government planning by
"planning the comprehensive transport plan from the WIDP." By the end of the WTTP phase, the Woreda
will have set up an appropriate travel and transport planning process, allocated government capacity and
resources, and established structures, processes and systems to support the plan. The WTTP is the
transport plan of the Woreda including the transport infrastructure and services for the Woreda.
Infrastructure in the Woreda ranges from the main road (handled by ERA); regional roads (handled by
RRA) and trails, footpaths and footbridges. The last three could be handled at Woreda or Kebele level by
the communities.

At this stage a comprehensive transport plan is already available developed during Development
Framework phase. The detailed Plan, however, needs to be developed using the remaining two sub-phases
of the WIDP. The schematic diagram of the Process of the WTTP is presented in Figure 4-1.

4.1.1   Introduction and process

The first step in the WTTP phase is to formulate an introduction and process that outlines:
              The purpose of the WTTP;
              The legal planning requirements and what responsibilities these confer on the local
                  government body;
              The community profile (in order to analyse how the local institutional conditions will
                  impact on the WIDP process and the subsequent WTTP).
              Common understanding and agreement on the principles that will guide the WTTP
                  process; and
              Common understanding and agreement on the steps, method and outputs of the WTTP

This step of the phase will enable relevant parties to assess the appropriateness of the WTTP outputs in the
context of the local planning process and unique local conditions. This step also clarifies the roles and

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

responsibilities of the role-players in the WTTP process. To ensure the fair and equitable allocation of
resources within the community area, in a responsible and sustainable manner, it is important that the
WTTP process is democratic. This can be achieved through:
              Representative participation in the planning process;
              The empowerment of the role-players in the WTTP process; and
              Effective communication between the role-players in the area.

4.1.2    Technical support arrangements

The second step in the WTTP formulation phase is to make technical support arrangements for the
planning process. This step includes defining the technical support needs and the way to satisfy them by
using a range of options (officials, NGOs, students, research and development organisations, contract
workers, consultants, etc.). In addition, the community needs to put in place the necessary measures to
ensure the appropriate management of technical, and especially external, capacity. The Plan needs to
ensure that all technical support processes will empower the community to become increasingly
independent in carrying out its integrated planning responsibility.

4.1.3 Information Management

The third step in the WTTP formulation phase is to make arrangements for information management to
inform about the process. At the same time, the planning process generates information. Information is a
valuable resource and should be carefully managed. These capturing exercises should be focused and
directed at informing the strategic issues and priorities in the local area. This information will also be used
to inform the performance management systems used to monitor the performance and development impact
of the community.

4.1.4 The Draft WTTP

The context of transport needs, in terms of reducing the access problems of the Woreda, is developed
within the first three phases of the preparation of WIDP as presented in Section III above. The WTTP is
derived from the WIDP.

4.1.5    Analysis of the WTTP

Step five is extracting and drafting the WTTP from the Woreda Integrated Development Plan that defines
planning activities, milestones, durations and outputs. The consultant could use different selection criteria
to prioritise the required interventions.

WTTP projects could be divided into two, namely a Community Projects Plan (CPP) and a Non-
community Projects Plan (NCPP). The size and source of finance requirement and also the nature of the
project could be some of the criteria to identify projects as CPP or NCPP. The CPP encompasses
traditional and intermediate means of transport and low-level infrastructure like footpaths, footbridges and
trails. They connect village-to-village, village to Kebele, Kebele to Kebele and Kebele to Woreda. The
WTTP would also include facilities that are selected for reducing transport burden.

The criteria for selection or prioritisation of low level roads has to take into account and review the
existing situation, the demand and the available financial resources. The standard of the road to be selected
would be determined from the existing types of rural roads classification. Some of the issues that need due
attention in prioritisation of these low level roads are:
          Number of beneficiaries (population to be served);
          Economic benefit (agriculture, livestock development areas);
          Ease of access to service centers (education, health, market, grinding mills, water points,
          Connecting to other important centers;
          Connecting to future mineral / industrial development area; and

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           Access to tourist locations.

Taking the above factors and other related ones, the kebele or their representative could determine the
prioritisation of the infrastructure. Regarding transport service, the development of transport service is a
derived demand. It is the private sector that would be mainly involved in the business of rendering
transport service, be it intermediate means of transport or the conventional one. The service type is dealt in
the Manual for Means of Transport and Service Development. The demand for the service would be
reviewed using the checklist stated as " Attracting the Demand and Improving the Transport Services in
Rural Parts of Ethiopia", in Part II Section C. In addition the safety aspect of rendering the service needs
also due attention.

The provision of criteria for selection of appropriate design standards is incorporated in the Infrastructure
Manual. The maintenance of low level roads at Kebele and Woreda level would be handled by the
community using length man or group length man methods, which has been discussed in the infrastructure

The CPP are mainly handled at Kebele and Woreda level, where as the Woreda handles or coordinates
those projects that could be handled by more than one kebele. The region and the federal government
handle the NCPP. The appraisal criteria in the case of the CPP includes IRAP and Multi Criteria Analysis
while the conventional tools such as RED, Producer Surplus Approach, even HDM-4 could be applied for
the NCPP. Brief and elaborated explanation on the selection criteria techniques and tools are presented
under Part I section V and part II section C. The timing of the interventions is also an important factor to
consider, since the WTTP lists projects in the Woreda for the coming ten years. The contents of the Ten-
Year Plan Report of the WTTP projects are presented in Part II Section A. From this plan, the five-year
and annual plans will be prepared. The five-year and annual planning processes are attached in Part II
section A.

4.2     WTTP Operational Planning -What do the Woredas need to do to make it happen?

                         Step I: Financial Plan
                         Step II: Institutional Plan
                         Step III: Communication Plan
                         Step IV: Line Department Submissions
                         Step V: Project Implementation Programme
                         Step VI: Annual Budget

Operational planning involves putting appropriate financial and institutional arrangements in place to help
implement the WTTP. This plan includes the strategies and defined projects decided on in Phase 3 in
section III. Both the financial and institutional plans should be based on the understanding of the internal
financial and institutional strengths and weaknesses mentioned briefly in the situational analysis (Phase 2
of section III) and developed more fully in Phase 3 of section III.

Once the development strategies have been formulated, plans are set and projects defined; the community
needs to ensure that the appropriate capacity and resources are in place to implement the plan.

4.2.1 Financial Plan

The formulation of the financial plan in step one involves producing a specific term projection of capital
and operational expenditure for the WTTP. It should also develop a plan for raising the revenue to support
the strategies. The plan should show how the priorities in the specified budget would serve to achieve the
goals developed during the planning process. The capital side of the plan will include the formulation of a
coherent infrastructure or capital investment plan, which will set out how the Community will achieve
infrastructure targets and mobilise public and private funding sources.

Ethiopian Roads Authority, ERTTP                         Planning, Monitoring & Evaluation Manual

4.2.2 Institutional Plan

Step two involves the formulation of an institutional plan, including a human resource development plan,
that is intended to guide institutional transformation and re-organisation in support of carrying out the
developmental mandate and delivering on the development commitments made during the planning

4.2.3 Communication plan

The Woreda will need to formulate a communication plan during step three of the WTTP operational
planning phase. It will ensure that the Community puts in place the necessary arrangements to ensure that
the stakeholders in the area are informed about progress with the implementation of the WTTP. This plan
details how the Woreda or Kebele will report back to residents and stakeholders and hear their views on
targets met and unmet.

4.2.4 Line/sub-sector Department Submissions

This time the Woreda will also be in a position to make relevant line department submissions as required,
such as:
                A road transport and infrastructure plan;
                An inland water transport plan;
                Airport/airways/air strips plan, and
                Other facilities construction plan, etc.

4.2.5 Project Implementation Programme

Once the project cost and work plan are estimated, the Woreda will be in a position to formulate a project
implementation programme within WTTP, which will give a detailed account of the year‟s activities,
delivery targets and delivery milestones. It will also provide information on management and
implementation responsibilities, and schedules for project implementation.

4.2.6 Annual Budget

Step six is an annual budget that reflects the development priorities in the area. The annual budget will be
based on the financial and institutional plans to direct and manage resources in a focused and disciplined
way, and to achieve the goals of the planning process. It will need to carefully consider the impact of
short-term capital investment on the medium to long-term operational budget, and make the appropriate

The Woreda will prepare annual work programme and budget based on the projects identified in the
WTTP. The Annual Work Programme and Budget (AWPB) is to be prepared in the context of past
performance and the planned activities of the coming year. The AWPB includes:
                Description of projects approved and listed in WTTP;
                Type of intervention (location, map, distance);
                Amount and nature of community involvement and participation;
                Work programme and type of implementation arrangement;
                Estimated number of beneficiaries;
                Social and gender impact;
                Maintenance responsibility and expenditure arrangements;
                Environmental impact of the proposed project;
                Anticipated cost;
                A disbursement project profile; and
                Supervision and monitoring plan;

Ethiopian Roads Authority, ERTTP                         Planning, Monitoring & Evaluation Manual

The specific tasks of different agencies involved in the planning, implementation & monitoring of WTTP
(for CPP projects) will include the Woreda council and the ERTTP Woreda technician. The Woreda
council will be responsible for over all coordination and allocation of available fund from the Woreda
whereas the ERTTP Woreda technician will daily follow projects and prepare the designed formats for the
follow up of the projects.

At this stage the Woreda RTTP technician will prepare the budget action plan using the various forms
designed for the follow up of projects to be implemented in the budget year. The four forms, namely, the
annual project works calendar, budget year physical action plan, financial plan and basic project data sheet
are attached as Annexes 3 to 6.

Ethiopian Roads Authority, ERTTP                             Planning, Monitoring & Evaluation Manual




                 Analysis of the

                                                                         Line     Dep't
                     Financial                                           Submission

                                                     WTTP                             Project
                                                     Operational                  Implementation
                     Institutional                   Planning                       Prpgramme

                                     Communication                       Annual
                                         Plan                            Budget

                                                 Conduct Workshop

                                                     Final WTTP


                                               Monitoring & Evaluation

       Figure 4-1: Process of the WTTP

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual


5.1      Realism and Feasibility
The Woredas simply do not have the human, financial resources, technical and institutional infrastructure
to do everything now. Realism is about being pragmatic. It is about using the available human and
financial resources to do what is feasible now and can be sustained in the future. For this purpose, it is
essential that the planning process include steps to ensure that all the participants are exposed to
appropriate information that will provide them with a sense of what is both realistic and achievable.

5.2     Prioritisation
In general, the resources necessary to implement priority projects may exceed the resources available in
the community from government or from external donors. Thus planning tools are used to select priority
interventions, and the most "feasible" projects are selected for implementation. The generation of an
economic surplus remains the main criteria for selection and separate analysis is required for establishing
the social priority of projects.

Given the vast and overwhelming demands for development and the limited capacity of local authorities to
accommodate these demands, choices for resource distribution have to be made. Project selection must be
based on realistic expectations of resources, which are likely to be made available. There should be an
attempt to identify sources of funding and tentatively allocate it for each project so as to help with resource
planning. These allocations should be realistically assessed and communicated to the relevant financing
agencies. In order to limit unrealistic expectations, trade-offs need to be made early in the planning
process. Prioritisation occurs both at the general development level and at the project level. It should start
at the outset and should be dealt with at regular intervals during the process. This will limit the need for
prioritisation between numerous projects on a wish list or during the budgeting stage. Early prioritisation
will also serve to create strategic focus from the outset and minimise the risk of conflict and deadlock later

5.3     Location Sensitivity
The local government sphere is made up of a broad spectrum of local government bodies serving diverse
constituencies within even more diverse conditions. There is no way in which one appraisal criteria can
attempt to successfully deal with the complexities of the full range of Woredas. For instance the set-up of
Woredas in highland is different from Woredas in lowlands. It will also not be feasible to try and develop
different manuals to deal with every possible case. For this reason, the process contained in this manual is
flexible and adaptable. It can, and should, be tailored to fit local conditions. Some local governments
might choose to use only a selection of less complicated tools, whilst others with more capacity and
resources might choose to include some of the more sophisticated tools in their planning processes.

5.4      Tools for Analysis and Project Selection
The analysis of projects is carried out prior to their financing and when necessary throughout the project
cycle. Economic analysis seeks to promote the best use of a country's resources, consistent with national
and sector development goals. The rationale for a project, in terms of market or government failure and the
country's national and sector development goals, needs to be stated. Where possible, the costs and benefits
of the best project alternative, defined and valued from the perspective of the national economy, are
compared to assess economic efficiency. If benefits cannot be valued, economic costs are assessed against
project objectives with a view to minimising the cost of achieving them. An assessment of project risks,
producer incentives, and fiscal impact is made for improving the sustainability of project activities.
Environmental costs and benefits are included as far as possible. A statement should be provided of the
main project benefits and beneficiaries. Economic analysis is undertaken in addition to technical,
institutional, financial, environmental, and social analysis.

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

These guidelines outline the principles on which the analysis of projects should be based. In practice,
depending upon the data available and the cost of obtaining more, it may not always be possible to
quantify and value all the costs and benefits of a particular project. Not every form of analysis will be
equally applicable to every project or Woreda. While attempting as full an analysis as possible, the
principles of the guidelines need to be adapted to the circumstances of each project being analysed.
Different analysis tools, appraisal criteria, and checklists suggested in this Manual are explained in brief
below. A detailed description is given under Part II Section C. The first three analysis tools (Integrated
Rural Accessibility Planning, Rapid Rural Appraisal and Participatory Rural Appraisal) can be used in the
preparation of WIDP where-as Integrated Rural Accessibility Planning (IRAP) and the last four tools can
be used in the evaluation of WTTP projects (See Part II, Section C).

5.5      Environmental Considerations
Each proposed programme or project is scrutinized as to its type, location, the sensitivity, scale, nature and
magnitude of its potential environmental impacts, and availability of cost-effective mitigation measures.
Projects thus screened for their expected environmental impact are assigned to one of the following three

Category A: Projects expected to have significant adverse environmental impacts. An Environmental
Impact Assessment (EIA) is required to address significant impacts.

Category B: Projects judged to have some adverse environmental impacts, but of lesser degree and/or
significance than those for category A projects. An Initial Environmental Examination (IEE) is required to
determine whether or not significant environmental impacts warranting an EIA are likely. If an EIA is not
needed, the IEE is regarded as the final environmental assessment report.

Category C: Projects unlikely to have adverse environmental impacts. No EIA or IEE is required, although
environmental implications are still reviewed.

Most projects involved in the ERTTP can be classified as Category 'B' because they result only in small-
scale, largely remediable impacts. This guideline considers not only impacts to the physical and biological
environment, but also to the social environment of the affected community. For example, construction of a
rural road, with an obvious impact on the biophysical environment, may also affect the social fabric by
bringing increased traffic into the area.

5.5.1 Road Structure

a) Design Stage

Key consideration at the planning stage is to avoid road construction in protected forest areas, important
natural habitats, and other areas of special scientific interest. The main mitigation measures are applied to
the design stage. For example.

        -    Selection of alignment to avoid intrusion on cultural heritage, and to minimize land
        -    Careful design of the drainage system to ensure free-drainage and protect against soil
        -    Careful design of erosion protection measures.
        -    Specifying sealed surfacing in heavily populated areas where the dust hazard is a serious risk.
        -    Road signing and traffic calming measures.
        -    Minimize environmental clearance as far as possible;
        -    Provide screens as required to minimize noise and dust (e.g tree lines)

              Community-related Measures
        -    As far as possible, integrate the local community in to project planning and implementation.

Ethiopian Roads Authority, ERTTP                        Planning, Monitoring & Evaluation Manual

       -    Plan with the community of the acceptable distribution of resources.
       -    Promote investment in local resources wherever possible.
       -    Identity the possibility of strengthening local institutions with potentially beneficial impact
            on the environment.

       Environment-Enhancement Measures

       We should seek out projects with the capacity to make beneficial change- i.e. environmental
       enhancement. In other words, development projects should do more than to simply avoid
       committing environmental damage: in environmental terms they should perform. Wherever
       possible, environment-enhancing measures should be planned for. These can include: -
       -    Afforstation on exposed slopes.
       -    Strengthening of local environmental institutions with equipment, training support etc.
       -    Marking/signs for wildlife crossing, pedestrian crossing, driver awareness.
       -    Vegetation screening as appropriate to minimize noise, visual or dust pollution.
       -    Incorporation of buffer zones around environmentally sensitive areas, and between forest
            and proposed agriculture, and wetlands and agriculture.
       -    Rehabilitation of ecosystems to offset resource conversion.
       -    Strengthening of local environmental and conservation education programs in respect
            of resources such as wetlands or forest.
       -    Income-generating opportunities for the local community.
       -    Encouragement of the possible use of existing or created depressions for smallholder

            b) Construction Stage

       At the construction stage, the contract document should specify the environmental procedures to
       be applied by the contractor including:
       -    Maintaining soil stability and avoiding water congestion during construction.
       -    Storage of construction materials and disposal of waste material.

       Land Clearance

       Before clearing the land, conduct soil suitability assessments to ascertain which land clearance
       method is most suitable. Adopt land clearance measures which:
       -   Allow existing land users to continue wherever possible
       -    Establish working relations with the community.
       -    Retain vegetation such as tree stumps and shrubs to prevent soil erosion and preserve soil
       -   Leave residual vegetation to be retuned to the soil.
       -   Allow the local community to market the products removed.
       -   Identity low-lying areas, which might be suitable for community aquaculture.
       -   Allow for the planting of vegetation cover.

       Pollution and Dust Control

       The following measures should be included:
       -    Watering of site area should be planned for, to minimize dust
       -    Minimization of soil exposure, to minimize soil erosion, and dust in the dry season
       -    Balance cut with fill as far as possible
       -    Drainage ditch designs which avoid negative impacts
       -    The collection and recycling of lubricants wherever possible

       Supervisory staff should be trained to monitor compliance with these procedures, and to ensure
       that design standards and specifications are achieved.

Ethiopian Roads Authority, ERTTP                       Planning, Monitoring & Evaluation Manual

       c) Maintenance Stage

       At the maintenance stage:
       -    Effective planned and preventive maintenance will sustain the environmental benefits of
       improved drainage and erosion protection.
       -    Additional measures may be needed, such as awareness campaigns in local schools, to
       mitigate the risk of death and injury from road accidents.

       5.5.2 Non-transport Interventions

       The ERTTP promotes non-transport interventions like water supply, irrigation schemes, health
       centers and grinding mills. Environmental issues must be incorporated at design and construction
       stage of these interventions.

       a) Water Supply:

       Most of the environmental considerations with regard to water supply projects involve avoiding
       water contamination. Measures need to be taken to ensure initially good water quality. During
       operation of the system, measures need to be taken to prevent contamination from agricultural
       activities, grazing animals, and human settlements. Water supply and demand planning should

       -   Exiting demands for water by local residents and their activities;
       -   Likely induced growth in local demand as a result of the project;
       -   Water conservation measures;
       -   The return of waste waters wherever possible;
       -   The establishment of zones around wetlands in order to prevent groundwater dropdown

       b) Irrigation activities:

       Irrigation project often intensifies the increasing use and concentrations of agrochemicals.
       Extraction of water from reservoirs or pumping from groundwater have the potential to cause
       significant hydrological disturbances. Irrigation schemes may also cause an increase of
       waterborne diseases. When, therefore, designing irrigation activities, consideration should be
       given to:

          Minimizing of soil erosion by:
            o    Adopting appropriate designing and layout of canals
            o    Avoiding steep gradients
            o    Installing adequate drainage
          Provision of sediment traps to return sediment to the command area
          Control of agrochemicals usage to prevent ground water pollution

           c) Livestock activities:

   When designing these activities, consideration should be given to:
      Integration of livestock program planning into land use development planning
      Planning range management strategies, which minimize negative impact on wildlife
      The consideration of wildlife ranching and eco-tourism as alternatives to livestock production.

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

6.1     General
Monitoring & Evaluation (M&E) is a system for measuring and learning from planning and
implementation, and should be built into the annual planning and budgeting cycle. It should be
implemented as an ongoing or cyclical activity that constitutes an essential and integral part of all the
phases of the WIDP and the subsequent WTTP. Performance and development indicators need to be
developed during the course of the planning process. This involves joint effort and co-operation between
local governments and a range of external parties. The indicators will be used to monitor the performance
of local government institutions ensure transparent and accountable local government.

Performance management is critical to ensure that:
           The plan is being implemented;
           It is having the desired development impact; and
           Resources are being used efficiently.

Participatory monitoring and evaluation (PM&E) is a different approach, which involves local people,
development agencies, and policy makers deciding together how progress should be measured and results
acted upon. It attracts interest from many quarters, since it offers new ways of assessing and learning from
change that are more inclusive, and more in line with the views and aspirations of those most directly

PM&E offers an opportunity to redefine development and its impacts, and create a communication channel
between those in power and those living with the consequences of development decisions. The
Participatory Programme Monitoring and Evaluation Guidance is presented in Part II Section D.

6.2     Monitoring
Monitoring is a continuous activity that forms the basis for performance management. The monitoring
process measures both efficiency and quality through the use of performance indicators. It compares
achievements against targets (plan), reason for deviation, quality of achievements, problems faced and
actions undertaken. Monitoring focuses on the short-term outputs of the development planning process.
The results of the monitoring will enable the Community to make adjustments to the Plan and
implementation programmes and to take corrective action where necessary.

Monitoring of WTTP projects is the joint responsibility of the Woreda council and Kebele. They monitor
both the physical and financial implementation of the projects. The Woreda is in charge of coordination,
monitoring as well as organising and facilitating projects that cross or involve more than one Kebele. The
Woreda RTTP technician with Kebele Development Committee (KDC) will fill in the monitoring formats
(physical and financial implementation reports) for regular updating on a quarterly basis. The formats are
attached as Annexes 7 and 8. Quarterly reports are key elements for proper follow up and monitoring
projects under implementation. The report includes a description of the project implementation progress,
financial utilisation, problems encountered and solutions undertaken during the reporting time. The
Woreda RTTP technician with the consultation of the concerned stakeholders prepares quarterly reports.

The Woreda RTTP technicians also prepare annual reports (formats attached as Annexes 9 to 11) within
one month after the end of the reporting year. The report will be submitted to the Woreda council and the
regional RTTP office. It includes an analysis of actual versus planned implementation, budget analysis of
expenditure against original plan and reasons for performance deviation.

At an implementation stage, activities have, directly or indirectly, either positive or negative environmental
impacts. Thus, the assessment of these impacts is done through the monitoring processes. Environmental
monitoring has three-fold focus:

Ethiopian Roads Authority, ERTTP                         Planning, Monitoring & Evaluation Manual

          Evaluation of the environmental impact of projects, and of the effectiveness of the
           environmental mitigation measures as originally agreed;
          Advance warning of adverse changes in the baseline environment resulting from implementing
           a project; and
          Assessment and evaluation of any unforeseen environmental impacts.

Environmental mitigation measures and specific monitoring requirements should be determined or at least
outlined during project formulation and finalised during project evaluation. Baseline environmental
monitoring must be done during a pre-project period for the purpose of determining the nature and ranges
of natural variations and to establish, where appropriate, the nature of change. Measurements of
environmental parameters during project construction and implementation will help to detect the changes.

The community must made arrangements for one or more persons to be responsible for monitoring
project's performance during operation and, from ensuring that no negative environmental effects are
resulting from the project. For example, in water supply projects, at least one member of the community,
selected perhaps on a rotating basis, should be responsible for ensuring that the water reservoir is properly
protected. The individual should, when possible, be trained in performing basic water quality tests. Such
commitment from the community is critical to the overall sustainability of the project, and particularly to
the environmental soundness of the work.

6.3     Evaluation
Evaluation is a medium term activity that is designed to measure whether, and to what degree, the
development goals are being achieved through the implementation of the strategies. It assesses the
outcomes of the planning and development initiatives in terms of development indicators. Evaluation
results provide information to reappraise the development goals and to assess the appropriateness of goals,
strategies and policies and whether they need to be amended and adjusted. The planning is also reviewed
and adjustments and revisions will be made on the basis of the monitoring and evaluation. Periodic
presentation and quality of reporting (quarterly and annual) are essential to ensure a proper support of the
programme and solve problems.

As part of the evaluation and review, the Woreda should develop simple indicators and incorporate these
in its WTTP. Indicators are central to most monitoring and evaluation processes. They can be qualitative or
quantitative, and provide a way of spotting and measuring underlying trends. Selecting the best indicators
is not always easy. It is a balancing act between choosing locally relevant factors, and those that can be
applied more widely. The more stakeholders that are involved, the longer the process of selecting
indicators can take. Indicators should capture intangible as well as tangible changes, particularly in
projects that value factors such as personal and social development (See Section 6.4 for selected indicators
for each sector).

From environmental perspective, the evaluation process looks at the success or failure of projects related to
how known environmental impacts were minimised, as well as evaluate the significance of unsuspected or
unexpected impacts.

The projects evaluation mainly focuses on:
        Whether the implemented project has achieved the environmental objectives set;
        The principal environmental lessons to be learned;
        Whether the procedures and methodology of the environmental appraisal have been
            implemented effectively.

From an environmental perspective, evaluation looks at the final negative environmental impact (which is
a result of how well expected impacts were minimized and how unexpected impacts were handled) and at
the positive environmental benefit (were the expected benefits fully realised?).

Ethiopian Roads Authority, ERTTP                         Planning, Monitoring & Evaluation Manual

Post Implementation Evaluation is an important stage in the project cycle for evaluating the impact of
projects that will help to improve the design of new projects. The post Completion Report (PCR) will
evaluate the projects on the basis of the following criteria:
         Technical performance-full description of project activities and accomplishments;
         A detailed statement of project costs compared to original financial plan, construction time
            compared to the original schedule and an explanation of any deviations;
         Utilization - the extent of the use of the facility or service;
         Beneficiaries - analysis of the number and composition of people benefiting from the project
            and the beneficiaries own assessment of the value of the asset;
         Community obligation - the degree to which the community has met its obligations to manage,
            maintain and repair;
         Cooperating agency obligations - the performance of any co-operating agencies, such as
            government offices or NGOs;
         Description of problems encountered and how they were resolved; and
         Analysis of lessons learned.

The post completion report could be prepared by the Woreda RTTP technician or a designated body in
close consultation with the beneficiaries and other interested parties, and, where applicable, that by local
government authority. It is necessary to make arrangements to ensure that completed projects are visited
and an evaluation made on two key issues:
         The extent of community utilization and satisfaction with the facilities, and the benefits that
            these facilities have brought to the community; and
         The physical state of the facilities, the effectiveness of the maintenance efforts.

6.4     Performance Indicators
Status, trend, risk, and opportunity are all-important considerations in any planning. However, the factors
that contribute to each are somewhat different and require different kinds of data and information. The
sheer amount of information could easily become impractical. Therefore, indicators are often used as
surrogates for factors or groups of factors that are either too expensive or too difficult to characterise
directly. An indicator may also combine several measures into a composite rating or index. Selected
indicators should be relevant, affordable and credible.

In looking at the detailed regional and federal plans the following few indicative indicators could be used
in ERTTP/ WIDP monitoring system.

Education Projects:
    Gross enrolment rate and gross girls enrolment rate;
    Primary school dropout rate and primary schools girls drop out rate;
    Repetition rate and girls repetition rate; and
    Distance from schools in a Woreda.

Health Projects:
    Percentage of children receiving immunization;
    Number of outpatients
    Percentage of women attending pre-natal services;
    Percentage of population living within 10 km of a health institution; and
    Average distance to nearest clinic.

Road Projects:
    Road density by type of road;
    Vehicle kilometres travelled;
    Roughness and road condition;
    Freight and passenger tariffs;
    Percentage of population living 10 km far from all type of roads; and
    Percentage of population using motorized and non-motorized transport.

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

Agriculture and Food Security:

- Agriculture
     Farmers use of key inputs;
     Farmers using modern technologies;
     Numbers of farmers using irrigation;
     Yield per hectare;
     Farms under irrigation in hectares; and
     Land under forest.

-Market Development
    Average time to get produce to markets;
    Post harvest losses; and
    Farmers exposed to monthly market information.

-Off-farm income in Woreda
     Income from non-farm activities;
     Credit allocated to households;
     Women start business;
     Availability and access to credit facilities; and
     Off-farm income diversification activities.

Water Projects:
   Improved service coverage;
   Water quality and service quality;
   Infant mortality rate from water born diseases; and
   Time spent collecting water.

Ethiopian Roads Authority, ERTTP   Planning, Monitoring & Evaluation Manual

                         PART II

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

A.1     Introduction
The preparation of disaggregated local transport plans in the form of the Woreda Travel and Transport
Plans (WTTPs) coupled with the on-going Sector Development Programmes at the national level are a
cornerstone of the improvement of the transport sector. WTTP represents a major change in the way that
local transport policies are planned and delivered, and are the essential building blocks of an integrated
transport policy.

Each Woreda will have its own WTTP, developed through participation in the light of local authorities‟
development plans. This is expected to be a very positive force for change and this guidance will help
concerned personnel to deliver full and comprehensive full WTTPs, for the delivery of the integrated
transport system.

A.2     Woreda Travel and Transport Plan
A.2.1 WTTP Delivery and Other Considerations

Integrated transport is not an end in itself but a means to wider objectives. One of the key factors for the
success of a plan is the extent to which it meets the local vision of where a community wants to be in the
future and how transport will contribute. Local people know the problems that their communities face
better than anyone. By working with a wide range of partners, concerned authorities can produce the
strategies to tackle the problems of local people and produce a WTTP that commands widespread

The WTTP has to embody a clear sense of local priorities and cannot tackle everything at once. Plans,
which are built around a vision, with coherent themes, will easily set priorities that reflect the needs and
wishes of local people. This does not require detailed lists of schemes, but rather indications of where
the main problems are and how they will be tackled at the strategic level. Plans are assessed on the
quality of the strategies they contain, not or the merits of individual minor schemes. Local strategies
need to support national strategies. The involvement and support of interest groups, business men, local
people, community elders, transport operators and the police is essential at all stages of transport
planning and delivery.

Lack of access to safe, affordable transport can contribute to social exclusion. Local transport plans must
tackle this issue. So it is important that public consultation reaches out to groups such as older people,
women, disabled people and people from ethnic minorities who may face particular problems. Plans also
need to follow the principles of sustainable development; balancing environmental, economic and social
considerations taking into account the following elements:

   Travel Awareness, Journeys for various purposes
The plan needs to develop objectives, which bring together the promotion of travel plans for the journey
to work, the journey to school and other journeys, such as visits to health and leisure facilities.

    On-going Projects
The WTTP need to include on-going projects and assess the need for additional new projects in response
to the land use implications of the Woreda. There may be cases where the transport and land use strategy
in a development plan is sufficiently well developed to underpin an authority‟s proposals in its local
transport plan as it stands, or will require only minor amendments. In other cases, the potential for
radical changes offered by local transport plans will mean that the existing development plan strategy
will be inadequate.

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

   Planning and managing the main network in WTTP
WTTPs should take account of the function of all roads within the wider regional and federal route
hierarchy. The core trunk road network provides routes for strategic through traffic, but trunk and local
roads cannot be considered as separate compartments. WTTPs will need to consider the interface
between trunk routes and the rest of the transport system and thus local authorities need to discuss this
aspect of their WTTP with ERA and the Rural Roads Authority (RRA).

   Major Improvement Schemes
Roads are the principal means for moving passengers and freight in Ethiopia, and the road network
provides the core of the transport system. It is in recognition of this that the Government is working on a
major investment programme to improve the country‟s transport infrastructure through its ten year Road
Programme. WTTPs will, therefore, need to include a five-year forward look covering major road
improvement schemes to be considered by ERA and the RRA, whether at the construction or preparation

The ability of the federal government to fund major schemes will be dependent on the overall
availability of resources and it will be important for the Woreda authorities to be realistic in their
planning. Where they wish to propose more than one major scheme as part of their WTTP, it is essential
that priorities be clearly identified.

Given the lead-time in developing major road or any other schemes, the Woreda authorities should
consider the preparation of schemes they expect to bring forward in the second 5-year period.

   Rural Transport
The policies for improvements in rural transport fit within the wider aims for rural areas to encourage
sustainable growth, allow better access to services and combat social exclusion and isolation. There is no
single model for delivering the flexible and responsive transport services to meet the diverse needs of
rural communities.

WTTPs must recognise the needs and special character of the countryside and contain targeted measures
for dealing with them. The Woreda authorities will need to ensure that their WTTP defines the particular
needs of their rural areas, and identifies the interrelationships between rural settlements and other areas.
Consideration must be given to the accessibility needs of people living and working in rural areas.
WTTPs take account of the needs of tourists and visitors, whilst safeguarding those areas of the
countryside in need of protection. They should also consider measures for dealing with the movement of
freight in the countryside. They may wish to look at the potential of IMT in combination with public

   Community-Based Transport
Conventional public transport cannot always meet the diverse accessibility needs of those who live in
rural communities. Additional support for rural transport needs should be provided through introduction
of various types of IMT. The objectives of the WTTP is to forge new partnerships to ensure long-term
enhancements to the quality and quantity of transport services, encourage integration of IMTs, and
reduce social exclusion through enhanced accessibility to jobs, services and other types of trip purposes.

   Sustainable Distribution
A strategy should affirm the importance of an integrated, sustainable freight distribution system that
supports economic growth, whilst simultaneously reducing adverse impacts on society and the
environment. The Woreda must address the issue of transporting produce from the farm area to the
markets in their WTTP. Efficient distribution services are also critical to the performance of every sector
of the economy. Poor transport links adversely affect the economy, introducing inefficiencies into the
supply chain of manufacturing and service industries. The Woredas have a crucial role in the
implementation of the strategy, and should seek to develop integrated freight distribution plans,
promoting the efficient and effective use of all modes of transport, while recognising that road transport
will continue to be the dominant mode of freight distribution for the foreseeable future.

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    Inland Waterways
It is also possible to see to the best use of inland waterways for transporting passengers and freight in
areas where it is applicable. Inland waterways can provide a safe environment, free from motor vehicles,
by which to travel to work or go to school. It is also a very low cost carrier of bulk freight. Concerned
Woredas need to maximize the potential of waterways in their area and set out their proposals in the

A.2.2 The context for preparing WTTPs

WTTPs should not be prepared in isolation, but reflect the context of federal and regional policies
included in the WIDP. Transport strategies will be a link between local transport plans and the federal
framework provided by the road sector policy or RSDP document, or other policy considerations for
inland waterways, air transport, etc.

The unifying theme of the ERTTP is integration. Integration means much more than just making sure
that access and services complement each other, although that is important. It means:
         Integrating, thinking and action across all policy areas and at all levels of decision-making;
         Making sure that policies in transport are working with, not against, those on health,
             education or wealth creation;
         Making sure that local and regional policies are in step with national policies and vice versa;
         Making sure that the public and private sectors are working with, not against each other.

In addition, land use planning is an important part of the overall transport policy package and can help in
promoting more sustainable travel choices and reducing the need to travel. To ensure greater integration,
Woreda authorities should ensure that strategies in the development plan and the WTTP complement
each other and that consideration of development plan allocations and local transport investments and
priorities are closely linked. In particular, WTTPs should aim to complement planning policies designed
to promote more sustainable travel choices and reduce the need to travel by also improving the siting of

A.2.3 Contents of WTTP

The following are the indicative elements that should be included in WTTP. Each of these elements
might feature as discrete sections or chapters, along with an executive summary and list of contents.
             Introduction;
             Development Plans of the Region and the Woreda;
             Objectives of WTTP;
             Problems and Opportunities;
             Strategy;
             Programme Description;
             Targets and Performance Indicators;
             Guiding Principles;
             Criteria for Assessment;
             Financing Strategy and Plan;
             Implementation Programme;
             Implementation Modalities
             Maintenance Modalities;
             Institutional Responsibilities;
             Environmental Considerations;
             Technical Assistance, Training and Capacity Building;
             Programme Monitoring and Evaluation; and
             Relevant Annexes.

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

A.2.3.1 Development Plans

Ideally the development plan (WIDP) and WTTP should be prepared in parallel but, since the latter
could be on a faster track and the subject of an on-going initiation, parallel preparations may not be
feasible in all cases (though of some stages may be run in tandem, for example, consultation). Despite
this, the ultimate aim is to ensure that the overall planning and transport strategies are consistent and
integrated with one another. It is essential that early steps are taken to ensure that the strategy that
underpins the WTTP takes full account of the land use strategy, and that development plans are brought
up-to-date at the earliest opportunity to reflect the land use implications of the transport strategy.

A.2.3.2 Objectives

 Over-arching national objectives
State the national objectives relevant to the area and WTTP.

 Local objectives
Within the broad over-arching objectives, each local area might have specific objectives, which are
derived from the local situation.

 Quantification
WTTPs are likely to include a mix of general objectives (such as preserving the tranquility of the
countryside, or providing greater transport choice), together with more specific or quantified objectives
(such as reducing the trip distance to farms or markets). Both have value. It is important that WTTPs
contain a vision for the area and how transport policies can help deliver these aspirations, but there must
also be quantified objectives, which enable achievement to be measured. The quantification of objectives
must also reflect the likely availability of resources.

 Timeframe
WTTPs will also need a mix of long and shorter-term objectives. Short-term objectives, say, for the 5-
year plan period will need to be set in the context of a long-term strategy looking 10 or 20 years ahead. It
will help in developing strategies if objectives are prioritised to some extent, as it may not be possible to
meet all objectives simultaneously.

A.2.3.3 Problems and Opportunities

WTTPs will need to describe existing travel patterns and the level of service offered by existing
transport networks. This description should highlight current problems on the transport system (lack and
poor condition of roads, inadequate public transport services, etc.). WTTP needs to consider issues of
road safety (road traffic accidents), and transport-related problems, such as adverse impacts on the

The WTTP should attempt to anticipate future travel demands and potential problems. The evaluation of
the WTTP should attempt to assess the extent to which the measures within the plan address the
problems identified.

WTTP should also identify the opportunities for making improvements to transport services. For
instance, there may be scope for reducing journey times – for all road users – by improving the sighting
of facilities. Or there may be strategic locations with the potential to generate private sector investment,
which contribute to this effort.

A.2.3.4 Strategy

WTTPs should contain an overview of how the separate programmes and policies making up the
strategy interrelate and contribute to objectives. The range of potential solutions will need to be tested to

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

establish the combination of affordable measures most likely to meet objectives. Authorities must justify
the choice of strategy that has been made. It may not be possible to work up alternatives to the same
level of detail as the one adopted, but in developing the strategy it will be necessary to demonstrate that
the chosen solutions are likely to perform better than the alternatives. WTTPs should indicate the broad
priorities attached to the main elements of the strategy. Where there are local area-based strategies or
packages within WTTP, these must be consistent with any overarching objectives or strategy for the
WTTP as a whole.

A.2.3.5 Programme Description

This is a description of projects and detailed activities to be included in the Programme.

A.2.3.6 Targets and Performance Indicators

WTTPs must include a set of indicators for measuring performance against targets and other outputs,
which can be used to assess whether the WTTP is delivering the stated objectives. These targets and
associated indicators should be drawn together and summarised in the WTTP in the form of a table,
which can be updated in the subsequent progress reports. In setting these targets, the Woredas will need
to have regard to any targets set in the approved WIDP. The Woredas should also identify the
performance indicators that will be used to measure progress against these targets.

The development of an appropriate set of indicators requires the Woredas to balance a number of
             The need to collect sufficient data to understand the performance and delivery of the
                strategy (against all the important objectives);
             The costs associated with a robust monitoring regime and the need to make maximum
                use of existing data;
             The need to include indicators readily understood by local people; and
             The need for indicators to reflect on the investment that is being made (separating, as far
                as possible, changes tied to factors outside the influence of the plan).

The development of performance indicators, targets and the overall monitoring regime need to
demonstrate a comprehensive but focused approach. There is no need to monitor every area of activity,
but there should be a measure of success for each objective identified in the plan. Just as there may be a
hierarchy of objectives, there may be a hierarchy of indicators and targets.

A.2.3.7 Guiding Principles

The interventions should be in accordance with stated objectives in ERTTP and support the effort of the
Woreda under consideration in minimising its access problems.

In the case of voluntary community participation, the contribution must be left to the choice and practice
of the community, i.e., be it in cash or in kind or both.

Where possible projects should be implemented and maintained by methods, which make maximum use
of locally available labour and other resources.

A.2.3.8 Criteria for Assessment

 Project Promotion
Several tentative project proposals that will be screened need to be forwarded by community groups,
kebele and Woreda level authorities, private sector and NGO representatives. Promotional activities
attempt to inform these active groups of the objectives of WTTP, criteria and methods of financing, etc.

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

 Project Identification
This will be undertaken through the existing mechanism in Woreda administration, which enables the
origination of proposals from communities through village/Kebele representatives. The Woreda
administration will screen proposals that support the idea and objective of WTTP and forward the
selected projects for further analysis. If the WTTP is undertaken by a consultant, he/she will further
check the projects for inclusion in WTTP according to the following elements:
         o Extent of community participation: Does the proposal really respond to the needs of the
            community and what has been and will be the role of the community in planning,
            implementing and sustaining the project?
         o Sustainability: Is the proposed project consistent with sector polices and planning? Will
            there be appropriate budgetary provisions for operating and maintenance costs?
         o Has the Community been efficient in maintaining the facilities constructed?
Normally, the Woreda technician or appropriate person should make a preliminary field visit at this

 Project Analysis and Selection Criteria
The selection tools or guidelines for analysis adopted as part of this assignment, shown in Part II of this
Manual, could be selected and used as appropriate in assessing the candidates of the projects for
inclusion in WTTP.

A.2.3.9 Financing Strategy and Plan

The estimated total cost of the programme and the corresponding financing plan need to be realistically

 Need For Realism
WTTPs must be based on realistic expectations of the resources, which are likely to be made available. It
is in the interests of the Woreda to submit bids that can be afforded. The realism of the bid will be an
important factor in the allocation of resources. It will be difficult to gauge the likely value for money
from a WTTP if the strategy and outputs are based on an assumed level of support significantly higher
than that, which can be afforded.

 Certainty of Future Funding
On the basis of the WTTPs that have been developed, there should be an attempt to identify sources of
funding and tentatively allocate it for each project so as to help with resource planning. These allocations
should as much as possible be realistically assessed and communicated to the relevant financing
agencies. Actual allocations for individual years will be dependent on the amount of resources available
within the WTTP system, the progress on major transport schemes, and the performance of individual
authorities in achieving or moving towards their objectives and targets.

A.2.3.10 Implementation Programme

WTTPs will need to include at least a 5-year implementation programme of planned investment. This
should include all proposed capital expenditure in support of the WTTP strategy, regardless of the source
of the resources. The five-year plan process, which is the extraction from the 10-year plan is presented in
Figure A-1. The WTTP will need to identify clearly the major projects and programmes for which the
authority is seeking funding, either with local resources or through the private investment, donors,
NGOs, etc. But it should also include schemes funded or partly funded through federal government
allocation sources, and, in due course, any revenue raised from road users.

The WTTP should clearly state the schemes, programmes or packages of measures, and describe how
they would contribute to the delivery of overall transport strategy and the objectives. WTTP should
include planned expenditure annually for major schemes, any other expenditure related to delivery of the
WTTP strategy, and the corresponding sources of funding. The annual plan extraction process from the
five-year plan is presented in Figure A-2.

Ethiopian Roads Authority, ERTTP                 Planning, Monitoring & Evaluation Manual

      Ten - Year                      Identify
        Plan                          Projects


                                   Conduct Detail

                                    Prepare Project

                                   Review Funding

        Review/Approval              Five Year


       Figure A-1: Five-Year Plan Process

Ethiopian Roads Authority, ERTTP                 Planning, Monitoring & Evaluation Manual

        Five - Year                   Perform Detail
           Plan                     Design of Proposed


                                     Identify Resource

         Review/                       Prepare Work
         Approval                       Programme


                                        Monitor &
                                       Control Work

                             Figure A-2: The Annual Plan Process

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

A.2.3.11 Implementation and Maintenance Modalities

Any questions regarding the design standard and how the project would be implemented need to be
presented. In addition issues related to construction and maintenance to be carried out (own force
account or contracting or labour or equipment based) will be spelt out.

A.2.3.12 Institutional Responsibilities

As stated in the preceding phases, the development strategies and defined projects of the WTTP have
been prepared. It needs to be ensured that the right institutional arrangements are in place to support the
implementation of these strategies and projects. The institutional plan is one part of this operational
planning for the implementation of the development strategies that are included in the plan.

A.2.3.13 Environmental Considerations

The WTTP has decided upon development projects and sector programmes. Regulations for
Environmental Impact Assessment (EIA) require assessment of the impact specific projects will have on
the environment. The purpose is to assess individual projects and sector programmes by applying an
environmental assessment and to predict or measure the environmental effects of construction and
operational activities.

A.2.3.14 Technical Assistance, Training and Capacity Building

The project components will require a substantial amount of capacity building and training for WTTP
implementers at different levels (especially in project formulation, implementation, labour-based works,
participatory programme monitoring and evaluation, etc.). In this context, the need for technical
assistance to that effect and possible means of getting this have to be reviewed.

A.2.3.15 Programme Monitoring and Evaluation

 Monitoring of the WTTP
Authorities will need to establish appropriate arrangements for monitoring WTTP performance
indicators. Given that performance against targets will be considered in confirming indicative allocations
of resources, the local authorities will wish to ensure that monitoring is robust and a reasonable measure
of performance. The progress reports will provide an opportunity for authorities to put performance
indicators in context, reflecting significant changes in the local economy, for instance. These
performance plans will be audited annually to ensure that the data is provided on a consistent and
comparable basis.

Monitoring arrangements and the appropriate format need to be considered as an integral part of WTTP
development. Plans should show a clear link between objectives, measures and outputs. Woreda
authorities may find it helpful to draw a causal chain diagram (in essence a flowchart linking measures
to objectives).

 Progress Reports
The Woreda authorities will be required to provide annual and quarterly progress reports (refer annexes
7 to 11). Their primary purpose should be to report on actual expenditure and performance against
objectives and targets agreed at the start of the plan period, including the delivery of specific objectives.
They should report on all the indicators contained in the plan and progress towards achieving the targets
set. It was mentioned earlier that they should draw together their indicators and targets in a summary
table, which can be updated in progress reports. The reports also provide an opportunity to consider the
need to review the WTTP and, if necessary, the need for amendment. Thus, the WTTP should adopt a
format for this purpose. Guidance on monitoring and evaluation is found in part II section D of this
Manual: Participatory Programme Monitoring and Evaluation Guidance.

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A.2.3.16 Relevant Annexes

Details of supporting documents would need to be attached to the Plan. These include: evidence of
community participation and relevant formats, details of project analysis, implementation and financial
plan, institutional arrangements, etc. that could not be fully incorporated in the main body of the

A.3     Issues for developing the WTTP
This section of the guidance raises some additional issues, which might be relevant during the
preparation and revision of the WTTP.

A.3.1 Timetable

The time plan of the WTTP is dependant on the amount of resources available and projects proposed, but
it is advised to have a series of 5-year plans.

A.3.2 Working in Partnership

The WTTP should be set in the context of wider objectives, which authorities may be developing for the
economic, social, and environmental well-being of the area, consistent with the provisions contained in
the regional government plans. In putting together their WTTPs, Rural Road Authorities will have to
work closely with other authorities including ERA and service providers. All local Authorities have an
interest and part to play as transport is an important underlying factor affecting all sectors of the
economy, and WTTPs should help to improve them and to tackle inequalities.

Regional Road Authorities should have effective liaison arrangements with all sectors of the economy
and neighbouring Woredas. This is important in both rural and urban areas, and rural and urban
authorities should consider working together in improving transport links between their areas. They will
need to agree a common or complementary approach on cross-boundary issues, in the context of
emerging regional transport strategies. RRAs will also need to liaise closely with ERA.

A.3.3 Joint WTTPs

Woreda authorities should work jointly on WTTPs wherever this is likely to help integration and
improve the overall quality of the plan. The onus is on authorities to demonstrate that the benefits of any
other previous joint packages are preserved and enhanced under any new arrangements for joint
working. Because of this, and the prevailing situation, some Woredas may need to produce joint plans.
These initiatives are welcome and should greatly improve the effectiveness of the WTTPs in these areas.

A.3.4 Public Participation

Full and effective public consultation and participation is an integral part of having the best possible
WTTP. The reason is local transport planning needs to be an inclusive process. At an early stage,
Woreda authorities should actively involve local people, businesses, transport operators, users (including
groups representing the interests of women, disabled people and other sectors of society with particular
accessibility needs), health and education providers, and environmental organisations in drawing up their
WTTPs. This wider participation will be a key factor in addressing access problems.

There are significant benefits to Woreda authorities in involving the public. The development of WTTPs
may involve some difficult and potentially contentious decisions. A genuinely inclusive approach will be
vital if authorities are going to achieve the widespread support necessary to deliver the desired changes
in travel patterns. Moreover, local people will have knowledge and insight about existing problems (and
ideas for their resolution) that may be helpful in formulating strategies. More advice on public
participation can be referred to PME Manual: Participatory Woreda / Village Development Programme

Ethiopian Roads Authority, ERTTP                        Planning, Monitoring & Evaluation Manual


A.3.5 Review and Amendment of WTTPs

There should be a provision requiring Woredas to keep their plans under review. However, it is not
intended that WTTPs should be subject to frequent formal amendment. Nor is it proposed that WTTPs
be rolled forward on an annual basis. Through their focus on strategies and objectives, WTTPs offer
Woreda officials increased flexibility to cope with changing circumstances.

There is a trade-off between the ability to respond to proposals for major changes in programmed
expenditure and the ability to build greater certainty of future funding into the WTTP. Frequent
modifications would also reduce the certainty for other local partners and developers, increasing the
perceived risks attached to long-term investment in transport or land.

It may also be necessary to review WTTPs in the light of the outcome of the Government‟s sector
programmes. It is anticipated that it would be done within the context of existing strategies and would
not require a fundamental review of objectives and approach.

A.3.6. Successive Round of WTTPs

It is recognised that, to maintain continuity, work on preparing the second and successive round of
WTTPs will need to begin well before the end of the first 5-year plan period. Authorities would start
producing drafts of their second or any successive round WTTP towards the end of the on-going Plan,
enabling discussions of these with authorities and the provision of indicative allocations for the next
five-year period.

A.4     Criteria for Assessing Woreda Travel And Transport Plans
The quality of the prepared WTTPs could be assessed using the following checklist of criteria or
„descriptors‟. The criteria relate to the main activities, which Woreda authorities should complete, and
write-up as the main elements of their WTTP. The checklist will be used by the ERTTP Woreda
technician, consultant, or any other responsible person for the preparation and evaluation of the WTTP.
It will be used in providing authorities with feedback to enable them to address any weak elements while
preparing full WTTPs.

The descriptors of a „good‟ WTTP are additional to the „minimum‟ requirements.

                             1. Problem identification/objective setting
                Quality of                                 Descriptors
                Minimum              Clear identification and analysis of problems.
                requirements         Establishes a clear set of objectives, consistent
                                       with the Government's objectives for the
                                       economy as a whole, accessibility and
                                     Describes extent to which local
                                       communities/partners have been involved in
                                       formulating objectives.
                                     Objectives are realistic and WTTP explains how
                                       they have been established.
        Characteristics of a         Identification and analysis of problems covers all
        Good WTTP                      dimensions of integrated transport policy.
                                     Evidence that public is fully involved in
                                       determining objectives.
                                     Clear recognition of what is achievable in the

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                                       short and longer terms.
                                      Prioritisation of objectives where these cannot all
                                       be achieved in the short term.
                                    Hierarchy of objectives with local objectives
                                       nested below national objectives and area-based
                                       and topic-based objectives nested within the
                                       objectives for the WTTP as a whole.
                                       2. Strategy development
                 Minimum            Clear evidence of a fundamental review of
                 requirements          existing strategy, including accepted packages, to
                                       ensure consistency with guidance and integrated
                                       transport policies more generally.
                                    Evidence of a robust analytical approach to
                                       strategy development.
                                    Alternative solution(s) tested, in particular,
                                       alternatives to major schemes.
                                    Demonstrates a clear link between objectives,
                                       strategy and the specific measures in the WTTP.
                                    Identifies cross-Woreda issues.
                                    Steps being taken to ensure consistency with the
                                       local development plan and federal and regional
                                    Proposed programme of public participation
                                    Some consideration of links with other relevant
                                       local strategies (e.g. Health Improvement
                                       Programme, Education Policies).
       Characteristics of a         Full range of potential solutions tested and
       Good WTTP                       appraised
                                    „Topic-based‟ (e.g., IMT) and local area-based
                                       strategies pulled together in a coherent way in
                                       over-arching WTTP strategy.
                                    Strategy incorporates measures to tackle cross-
                                       boundary issues in partnership with neighbouring
                                    Clear evidence of close integration with other
                                       relevant local strategies and effective liaison
                                       arrangements in place for ongoing coordination.
                                    Principles of good participation have been
                                       followed in developing the strategy, in particular,
                                       evidence that public fully involved in
                                       consideration of alternatives.
                                   3. Implementation Programme
                 Minimum            Clearly identifies the level of resources bid for
                 requirements          each year of the WTTP.
                                    Identifies the cost and timing of all major
                                       schemes proposed during plan period.
                                    Programme is realistic about the level of available
                                    Indicates effectively the scope for modifying the
                                       implementation programme - including scaling it
                                    Clear indication of priorities.
                                    Identifies contribution of the private sector,

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                                        NGOs, local sources, donors and Federal Gov‟t.
                                       Nature and extent of the commitment of partners.
                                       Identifies clearly any significant statutory or other
                                        consents that may be required, and a timetable for
                                        securing them.
                                      Plan includes details of expenditure plan.
       Characteristics of a           Contains contingency plans in case statutory or
       Good WTTP                        other consents are not forthcoming for significant
                                        elements of the strategy.
                                      Maximizes contribution of the private sector, both
                                        as a source of funds and as a provider of services.
                                      Groups small scale projects into appropriate
                                      Clearly explains what part of the programme is
                                        supported by local resources, explains how this
                                        relates to the proposed capital programme and
                                        provides commitment to provide necessary future
                                        revenue resources.
                            4. Performance indicators/targets and monitoring
               Minimum                Identifies a clear set of targets and performance
               requirements             indicators for measuring progress.
                                      Local targets address the need to deliver national
                                        targets, where these exist.
                                      Makes a clear link between objectives, the
                                        implementation programme and the proposed set
                                        of performance indicators.
                                      Appropriate targets and indicators for any area-
                                        based or topic-based strategies contained within
                                        the WTTP.
                                      Confirmation that arrangements are in place to
                                        monitor targets, or if not, that steps are in hand to
                                        provide these.
       Characteristics of a           Comprehensive set of targets and indicators
       Good WTTP                        covering all aspects of integrated transport, nested
                                        within a wider set of corporate „quality of life‟
                                      Consistent use of „causal chain‟ approach to link
                                        objectives, projects/programmes and targets.
                                      Anticipates requirements of best value regime for
                                      Evidence of robust analysis that demonstrates
                                        targets are both realistic and challenging.

                                   5. Principal road maintenance strategy
                 Minimum                Identifies priority sites with structural
                 requirements              deterioration in need of urgent work.
                                        Gives time scale (over a five year programme)
                                           and cost estimates for the work.
                                        Gives statement of reasons/criteria for the
                                           ordering of priorities.
                                        Supplies detailed data for the larger proposals
                                           made for the plan year.
                                        Data on existing tracks and trails and bridges and

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                                           their condition.
       Characteristics of a               Clear planning to make effective use of local
       Good WTTP                           resources and to prepare for continuing the
                                           programme using similar resource levels in a well
                                           targeted manner.
                                          Strategy relates investment in maintenance to
                                           other aspects of WTTP, such as bridge
                                           strengthening and route management.
                                          Incorporates proposed best value indicators.

                                   6. Establish a public transport strategy
                 Minimum                Statement of quantity and quality of existing
                 requirements              public transport and proposed measures to
                                           improve it, both locally and nationally.
                                        Evidence of co-operation with transport operators
                                           and adjacent authorities.
                                        Details of both revenue and capital expenditure
                                           and evidence that scope for securing private
                                           sector funding has been considered.

       Characteristics of a               Comprehensive assessment of public transport
       Good WTTP                           provision and usage resulting in clear strategies
                                           and performance targets to improve it both locally
                                           and as part of the national system.
                                          Clear evidence of effective partnership between
                                           authority, operators and all adjacent authorities
                                           and commitment to action to promote and
                                           improve public transport use in the area.
                                          Travel information for other modes of transport,
                                           including inland water transport, walking and
                                           cycling, to be made available.

                            7. Forward look at major highway projects
               Minimum             Detailed description of proposed major road
               requirements          projects, but with additional information showing
                                     how schemes link to wider WTTP.
                                   Details of proposed funding and timetable on
                                     those projects related to the Woreda under
                                     consideration but implemented by ERA or RRAs.
                                   Clear prioritisation of these projects in relation to
                                     the area.
       Characteristics of a        Clear description of scheme and benefits it will
       Good WTTP                     bring to WTTP.
                                   Inefficiencies of WTTP without major schemes.
                              8. Measures to promote social inclusion
               Minimum             Describes the initiatives to meet the transport
               requirements          needs of all different social groups (including
                                     women, elderly people, ethnic minorities and
                                     those on low incomes).
                                   Describes the involvement of the different social
                                     groups to establish their transport needs.
                                   Encourages the active involvement of the
                                     community in meeting transport needs.

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       Characteristics of a            Clear evidence of effective dialogue and
       Good WTTP                        partnerships with all social groups in the
                                        community to establish their transport needs.
                                     Clear evidence of partnerships with transport
                                        operators and other organisations to promote
                                     Evidence that existing strategies have been
                                        reviewed in the light of the above.
           9. Recognise the particular needs and special character of the countryside
               Minimum               Acknowledges and defines the particular needs of
               requirements             rural areas within the WTTP.
                                     Identifies the interrelationship between rural
                                        settlements and between rural and other areas.
                                     Considers both accessibility needs of people
                                        living and working in rural areas, and areas of
                                        countryside in need of protection.
                                     Considers the needs of tourists and visitors to the
                                     Includes appropriate (in the rural context)
                                        demand management, traffic management, etc
                                     Includes measures to address the movement of
                                        freight in and around the countryside areas
                                        (reflecting the need both to allow necessary
                                        movement of goods and to ensure the protection
                                        of sensitive areas).
                                     Identifies appropriate role for the community and
                                        voluntary transport sectors, mini-buses, privately
                                        hired vehicles, and IMT based vehicles in rural

       Characteristics of a           Clear priorities for action to address the particular
       Good WTTP                       problems of rural areas with regard to
                                    Firm proposals for monitoring and evaluation of
                                       particular impact of policies on rural areas.
                                    Addresses need to improve existing IMT and
                                       information dissemination facilities in rural areas.
                                    Considers the scope for enhancing the range of
                                       services provided within rural communities to
                                       improve accessibility and reduce the need to
                 10. Consistency with Federal and Regional Transport Planning, and
                                          development plans
               Minimum              Consistent with federal and regional planning.
               requirements         Strategy in WTTP should be consistent with that
                                       in WIDP (where development plans are up to date
                                       and reflect current national policies), or with an
                                       emerging development plan which has been
                                       produced to update the development plan.
                                    A timetable for updating the development plan
                                       (where necessary).
       Characteristics of a         WTTP should aim to complement planning
       Good WTTP                       policies designed to promote more sustainable

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                                      travel choices and to reduce the need to travel.
                                      Strategy in WTTP will be consistent with that in
                                      the federal/regional transport and development
                                      plans and gives reasons if they are not consistent..
                              11. Establish a local road safety strategy
                 Minimum            A local casualty reduction target based on the
                 Requirements         provisional national target to reduce the number
                                      of people killed and seriously injured on the
                                    Strategy for achieving that target, describing:
                                           o Current road accident casualty problem;
                                           o How local partners will be drawn into
                                               delivery of objectives;
                                           o A partnership with the police to establish
                                               an enforcement regime;
                                           o Evidence that road safety issues have
                                               been considered in relevant policy areas
                                               such as education, planning, social
                                               policies and measures to promote IMT;
                                           o A table of performance indicators,
                                           a) The list of cost effective engineering
                                           schemes planned for the WTTP period,
                                           including the number and type of casualties
                                           reported at the sites to be treated, the type and
                                           cost of scheme to be implemented and the
                                           number of casualties expected to be saved as
                                           a result of each scheme
                                           b) The education, training and publicity
                                           measures it will undertake.

                                              c) How it will complement national road
                                              safety publicity campaigns.
                 Characteristics         A local casualty reduction target which is realistic
                 of a Good                but more demanding than the national target to
                 WTTP                     reduce the number of people killed and seriously
                                          injured on the road.
                                         An appreciation of the problem of slight injuries
                                          and that consideration is being given on how to
                                          stem the increase in this type of casualty.
                                         Comprehensive assessment of the road accident
                                          or casualty problem in the local authority area
                                          and the means by which it will need to be
                                         Use of actual accident data for the authority area
                                          and/or for sites treated with funding, to set the
                                          new target in context.
                                         Gives a clear indication of intent to use Road
                                          Fund resources for road safety education, training
                                          and publicity.
                                         Evidence of effective liaison and partnership with
                                          other stakeholders, such as the local health
                                          authority and local authority planning

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                                        A structured approach to partnership with the
                                         police in order to achieve maximum enforcement.
               12. Airport Surface Access and Coordination (to applicable Woredas)
               Minimum               For local airports and airstrips WTTPs
               requirements           Should make satisfactory provision for surface
                                         access to airports, taking into account their future
                                         development plans.
                                      Reflect the targets and proposals of Civil
                                         Aviation Authority in the WTTP if it exists.
       Characteristics of a           Evidence that transport operators and
       Good WTTP                         infrastructure providers serving them have been
                                         consulted and are content with and committed to
                                         the airports related components of the WTTP.
                                      WTTPs proposals for surface access to airports
                                         are compatible with the importance ascribed to
                                         them by regional planning, economic and
                                         transport strategies.
                         13. Use of Inland Waterways (to applicable Woredas)
               Minimum                Should include the existing inland waterways in
               requirements              the area.
                                      Propose and suggest for better utilisation of the
                                         facility and elements that should be fulfilled.
       Characteristics of a           Analyse the comparative advantage of developing
       Good WTTP                         and using water transport in the area.
                                      Draft a strategy for expanding the use of it.

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B.1     Introduction
Ethiopia's rural access problem is acute. Time spent on domestic services and other unproductive activities
is very high. Thus due to this fact communities share a strong desire to improve and participate in solving
access problems. In view of the country‟s present situation, it is clear that any development is sustainable
only when people are involved. The challenge now is to find ways to facilitate the participation of the
communities in resolving the acute access problems of the rural parts of the country. This mini-guide gives
guidance on how the communities, both at Kebele and Woreda levels, can best participate in the
development and implementation of ERTTP.

B.2 Objectives of Participation
B.2.1 What is "Participation"?

To "participate" is to express oneself at the proper time and at the proper forum. If a community writes a
letter to a Woreda council saying that they support the proposal for a rezoning of a certain property two
weeks before the Woreda council hearing that would be participation. They have communicated their
opinion to the right people at the right time, so it may affect the decision. If the same community state their
support a month after the hearing, that's not participating, at least the forum and timing are wrong.

For some types of planning decisions, the law limits a community's right to participate. It's important for
communities to know about such limitations. Therefore, a key part of any local community involvement
programme is to inform communities about how, when, and where they may participate.

B.2.2 Level of Participation

This guidance concentrates on two levels of participation of the rural people namely Woreda and Kebele.
Participatory Woreda Development Planning (PWDP) and Participatory Kebele Development Planning
(PKDP) seek to empower people to take increasingly greater control over their own development and to
enhance their capacities to mobilize and channel the resources required for alleviating their access
problem. PWDP and PKDP work simultaneously at the local and central levels to achieve their objectives.
         At the Kebele level: It provides support for improving the governance system and social
            empowerment process through the development of a sort of self-governing groups. PWDP
            takes here the form of PKDP.
         At the Woreda level: PWDP provides support for the strengthening of development
            programming and management capabilities of the Woreda Development Committees
         At the Regional/Federal level: PWDP supports the concerned ministry or sector
            development office to formulate policies that reflect and support local level development

As a people-centered programme, both PWDP and PKDP‟s main thrust is reducing the time spent on
transport to fulfil different tasks, improves livelihoods at the household level and subsequently alleviate
poverty. It inspires local people to promote their development through their own and other resources,
and to actively participate in planning, decision-making and implementation. For the Planning,
Monitoring and Evaluation Manual of the ERTTP, the approach is mainly to encourage participation of
men and women during formulation and planning processes and enhance their voices or contribute to the
development of kebele and/or Woreda RTTP. However, this Guide can also help in involving the
communities during implementation.

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B.3     Participatory Planning/Involving Community in Local Plan
B.3.1   Participatory Planning

Participatory planning is the involvement of the community in planning, related to their local affairs and
issues. "Community involvement" means participation in planning of RTTP by people who are not
professional planners or government officials. It is a process through which everyday people take part in
developing, administering, and amending local comprehensive plans and land use regulations. It is
participation by the people in the planning and decision-making that helps to develop their community.

B.3.1.1 Reasons for having Participatory Planning

There are several reasons why communities should have the opportunity to participate in planning. The
current government system gives communities the right to have a voice in matters of public policy,
including planning of RTTP in their jurisdictions.

A second reason is that only communities can provide the information needed to develop, maintain, and
carry out an effective comprehensive plan. Professional planners and local officials or consultants who
are assigned to undertake studies need comments and ideas from those who know the community best.

Third, community involvement educates the public about planning and land use. It creates an informed
community, which in turn leads to better planning and resource utilisation.

Fourth, it gives members of the community a sense of ownership of the plan. It fosters cooperation
between them and among communities and the government. That leads to fewer conflicts and less

Finally, community involvement is an important means of say, enforcing any important laws. Having
communities informed about planning laws and giving them access to the planning process, ensures that
any laws are applied properly.

B.3.2 How to Organise Community Involvement

This guideline outlines a six-step process to encourage and support widespread community involvement
in solving access problems:

B.3.2.1. Identify Community

Identify the people/area, which could be the basis for the village or Kebele level development planning.
The existing farmers or Kebele association could be one alternative at this stage.

B.3.2.2. Develop a Community Group Network

Contact list of groups and individuals that share a common desire to improve the local transport
problem, community schools, health facilities and other services, in general community-based projects.

B.3.2.3. Set up a Coordinating Committee

Form a representative coordinating committee from all sectors of the community who have agreed to
help promote and support community-based projects.

B.3.2.4. Designate a Community Coordinator

Get an elected person or volunteer who is the main contact person for members of the community
network, and for the Woreda support programmes.

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B.3.2.5. Draft Community Action Plan

A brief statement of the development priorities (community needs and resources) of the community, the
lead organisations for each issue, and some of the projects that will support the community goals.

B.3.2.6. Conduct Community Campaign

Carry out continuous campaign programme through the coordinating committee to get the dedicated and
full support of the community in conducting community- based projects.

The suggestions in this guideline can be adapted to reflect the specific community's existing activities
and planning processes. Each community will also be able to determine its own priorities for action and
find out where it can get support for community-based projects.

The more communities that get involved the better. It is possible to have a network of communities
across the Woreda and subsequently across the country that are working to address their local problems.
In turn, they will also be contributing to Woreda development goals as well as the on-going economic
development of the country.

B.3.3    Underlying Assumptions and Methodology

The underlying assumption in the participatory planning process is that people get organised to work
together if they live in close proximity and share common interests in resolving access problems and
subsequent community development. The foremost requirement in this process is that people organise
themselves into a broad-based and multi-purpose Community Organisation (CO) and select a
representative of the Group from the community. The CO is a mass coalition of all those residents of a
village whose continuing economic interests are best served by organising themselves as a group. Once
people are organised in a broad-based group, the individual has the leverage with which to address and
tackle problems which (s)he could not have done alone. The group can function in various fields
depending on the needs of the area, assess their problems and give insight on the solutions.

A Kebele Development Programme (KDP) is based on the active participation of all households without
any discrimination. This is necessary for the whole society to move together in consensus and to build
their community by contributing to the preparation of kebele and Woreda RTTP. When COs attain a
mature stage, the support organisation will link the COs with the development process of the Kebele
Development Committee (KDC) leading to a participatory Kebele development programming process.
The KDC programmes will then be linked to Woreda Development Committee (WDC) programming.
Thus COs will be supported in programming their needs and linking these programmes to the formal
KDC and WDC programming cycles.

B.3.4    Principles or Guide to Participation Planning

It should be known that participatory planning at Kebele and Woreda level require the collaboration of
other institutions. The following principles have to be considered for participatory planning.

B.3.4.1 Recognise central and local governments’ role in the planning process

This facilitates the preparation of meaningful planning consistent with their local problems. Early
involvement will help ensure that Woreda RTTP develops a consistent land use decisions that are
supported by and conformed to other jurisdictions in the area.

B.3.4.2 Be inclusive

An effective participatory process during planning assures that local, regional, and national interests are

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integrated. Distant interests are sought out and encouraged. Effective outreach is the best way to get
beyond the barriers to successful participation.

B.3.4.3 Clearly cite the authority of collaborative groups, and ensure accountability

Participants must understand the roles of all parties in the planning effort. If the planning effort includes
other participants with jurisdictional responsibilities or decision-making authority, the responsibilities of
each must be clearly identified. Decisions made by each jurisdiction must be within their own
authorities. The community retains the final decision-making role that would affect their locality.

B.3.4.4 Use collaboration to enhance and complement standard public involvement requirements

Individuals or groups that are unable or choose not to participate in a collaborative process are still
entitled to input through legally required public review and comment processes.

B.3.4.5 Recognise that collaborative processes may not be effective immediately in all places

Some farmer associations or kebeles might not immediately accept to participate in the planning process.
They might take a while to be convinced. In this instance, the Woreda administrator retains the authority
to manage the planning process and may choose to move forward with traditional planning processes till
the people are convinced.

B.4     Process and Phases of Participatory Planning
B.4.1 Process of Participatory Planning

The process of participatory planning commences at kebele level where-by the organised community
(Section 3.3 above) discuss and formulate a community action plan. The community at village/Kebele
level review their strengths, resources, needs, and prioritise measures to be taken to get the selected
project for a community-wide success. The implementation of a selected project depends on the financial
and technical input requirement of the projects. In which case the kebele level could handle simple or
low cost interventions where as others could need support from the government, NGO's and others. To
this, effect formulating a community action plan is necessary.

B.4.2    Preparation of an Action Plan

This section outlines the steps that the coordinating committee can follow to prepare an action plan. It is
necessary to solicit inputs from the community and adapt the participatory planning process to the
particular condition of the community. Information could be collected by contacting key groups directly
and distribute a questionnaire to community groups. This would solicit their suggestions for community-
based projects and be ready to supply information during the programme preparation of the Woreda
Travel and Transport Plan (WTTP). For the general purpose and initial drafting of the programme, a
simple questionnaire can be designed as shown below: These questions can be used as a basis to hold a
discussions with the concerned community.

Three questions are thought to be the main issues that need due attention and are presented to the
Community as follows:

B.4.2.1 What are the priority issues for the community?

List the major issues you feel need to be addressed in your community. It could be local, regional and
national concerns.

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B.4.2.2 What are the projects?

Give a short summary of any existing or planned projects, activities, or resources that will help to
address the priority issues. These are:
         A description of the project;
         The people and organisations involved;
         Its status; and
         Anticipated benefits.

If possible, attach a description and work plan, including material, tools and equipment that will be
needed. Also identify sources from which they can be obtained, the approvals required to initiate the
project, and the funding requirements and sources.

B.4.2.3 What support do you need?
Provide a summary of the support that would improve your ability to carry out your projects. Include any
other suggestions you may have for support material and services that would help to improve your
organisation's ability to educate the public and be involved in projects.

B.4.3 Ways to Involve People in Planning

This section outlines specific measures for getting the public involved in planning. They are:
             Planning for effective community involvement;
             Getting information to the public;
             Getting information from the public;
             Exchanging ideas and information with the public; and
             Working with the Media.

In effect the purpose of this guide is to present different options to choose from, but not to suggest that
each Kebele or Woreda should exercise all of them. An option that would be good for a small area, for
example, might not work for another larger one.

B.4.3.1 Ways to Plan for Effective Community Involvement

The best way to have strong community involvement in planning is to carefully design and manage the
programme, i.e.,
        Establish objectives;
        Assign responsibilities;
        Allocate money and staff;
        Set a schedule; and
        Monitor performance.

These are basic steps to successful management of any programme. Yet often these steps are not used with
community involvement. For some reason, community involvement frequently is not seen as a programme
to be actively managed. Rather, it is treated as a passive process.

The most widespread public participation in planning is found in those communities where community
involvement is planned and managed carefully. Here are some of the techniques that can be used by
        Draw up a community involvement plan for each major action and for land use decisions that
           involve important community issues;
        Develop and use a community involvement checklist;
        Appoint a volunteer or community involvement coordinator. But in communities where an
           independent coordinator is not available, a volunteer selected by the Community may be able
           to facilitate public participation in the planning programme;

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           Evaluate the activity of the community each year, and report the results to the WDC;
           Maintain a list of people who have expressed interest in a particular issue or in serving on a
            committee. That creates a list of potential volunteers who can be called when a vacancy on a
            standing committee needs to be filled;
           Evaluate the activity of the community each year, and report the results to the WDC;
           Earmark funding for community involvement in the budget. This helps people to be aware that
            community involvement cannot happen without a commitment of resources, and it creates
           Seek grants or in-kind services for community involvement from government agencies and
           Develop and maintain an active network of all the village / kebele development programmes.
            Make sure that the committees continue to exchange information about issues, and major
           Provide basic support for community coordinating committees. Such support usually includes
            clerical services (photocopying and notification), reimbursement for travel costs, and a place
            for meetings. Although the Woreda coordinators usually do not attend all meetings of all
            committees, some attendance is essential. Without direction and assistance from Woreda staff,
            committees are likely to face problems over crucial access issues. When seeking members for
            a key committee, use an open process and publish notices. Don't only rely on word of mouth
            or the personal contacts of elected officials. Such a casual approach suffers from three
            drawbacks. First, it often does not generate a sufficient number of candidates. Second, it may
            cause the makeup of the committees to be too narrow. Finally, it smacks of secrecy and
            favouritism and may lead to public distrust or criticism of the committee.

B.4.3.2 Ways To Get Information To The Public

Perhaps the most common complaint from communities is "Nobody told us!” It takes more than the
traditional notice and hearing procedures to truly inform an entire community about a planning issue.
Here are some ways to make message heard more widely.
                  Decide what message should be communicated -- a plain language description of
                     how the proposed planning action might affect the community;
                  Use "information trees" to announce important meetings and to relay other simple
                     information. In such a system, the first person informs say, five people. Those five
                     each inform another five people. Only three or four such cycles will quickly reach
                     hundreds of people;
                  Post notices about important meetings and proposals in conspicuous places: the
                     Woreda office, courthouse, community centres, churches and mosques;
                  Prepare notices and information in their language when a project proposal is likely to
                     affect members of the community;
                  Enhance the readability of documents that will be distributed to the public by
                     producing documents that invite a reader's attention and communicate more
                  Produce summaries of important documents that are too long or complex to be
                     understood readily by the average community members;
                  Produce plain-language fact sheets or flyers on important issues, and distribute them
                     to community committees, interest groups and students;
                  Arrange for local plans, zoning ordinances, and other planning documents to be made
                     available to the public or the village / kebele coordinators in the Woreda;
                  Prepare and distribute an annual report that describes the main planning activities and
                     issues of the past year;
                  Prepare and distribute a list of publications about planning and important local issues;
                  Develop and maintain a newsletter;
                  Use the newsletters of other groups and agencies as a vehicle for getting information
                     to certain audiences;

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                    Develop a handbook or pamphlet on community involvement, to encourage interested
                     people to get involved in planning; and
                    Set up a community-planning information display (permanent or temporary) in the
                     Woreda office.

B.4.3.3 Ways To Get Information From The Public

Here are ways to receive the public's messages more clearly.

At Kebele Level
      o Hold public meetings;
      o Make the meeting place accessible;
      o Schedule public meetings so as to avoid conflicting events;
      o Use a checklist for all public meetings;
      o Gather information and views through door-to-door canvassing;
      o Conduct on-site interviews or door-to-door surveys in areas that will be affected by a
           development proposal, rezoning, or planning decision; and
      o Give due attention to "public comment" during public meetings.

At Woreda Level
       o Conduct "passive surveys" by having questionnaires available in the Woreda office. Such
          surveys must be brief, and because their respondents are not selected randomly, the results are
          not statistically significant. They may, however, provide some useful information and
          suggestions from the public; and
       o Invite guest speakers from interest groups or other agencies to make presentations to the
          village coordinators

B.4.3.4 Ways to Exchange Ideas and Information with the Public

The most effective communication is an exchange of ideas and information. It is important to conduct
meetings, community forums, or public workshops on important issues and policy proposals.
        Record minutes of the main points and activities leading to the development of a new policy.
            This summary of inputs will help a community see how the policy was developed and who
            contributed to its development;
        Conduct briefings or discussions with key community leaders and stakeholders. The purpose
            of such meetings is twofold: to convey ideas and information to community leaders, and to
            learn their views and interests;
        Follow up: send a summary of new policies and regulations to people and groups who testified
            or otherwise helped to develop them. This serves two purposes: it conveys information about
            the new material to key people, and it gives them some sense of ownership in the final
        Work with local schools and teachers to get students involved in planning. The students could
            learn about access problems and their effects;
        When developing new policies, create an ad hoc "task force." The task force usually is made
            up of people knowledgeable about the pertinent issues and with ties to a wide variety of
            interests. Task force members thus serve two purposes: they bring information to the process,
            and they convey information to their network of contacts. A task force also may serve as a
            neutral party in a controversy if elected officials or planners are perceived to be on one side or
            the other; and
        Mail information packets periodically to the chairs of all community coordinating
            committees. Such a packet might contain the agendas for coming meetings of community
            coordinators and clippings of recent planning news.

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B.4.3.5 Work with the Media

Issue news releases and public service announcements to the media. The media will use news releases
and public service announcements if it contains something newsworthy, i.e., informative stories about
planning issues, programmes and important works at the Woreda and kebele level.

B.5     Common Issues and Problems
Community involvement in planning is often controversial and the main issues that underlie such
controversy are described in this section. Every community involvement programme is likely to
encounter them.

B.5.1 Funding
Community involvement requires money. One funding problem is that some people see the community
involvement programme as a frill. As a result, that programme may be the first to get cut when budget
problems arise. This weakens the community involvement programme.

Another problem is that local budgets may not earmark funds specifically for community involvement.
Rather than having a line item in the budget, community involvement is undermined in some larger
category "Long-Range Planning," That makes it impossible to determine whether the funding for
community involvement is adequate.

Suggestion: Clearly identify community involvement activities in the budget and specify the amount for
the projected cost of community involvement.

B.5.2 Staffing

Coordinating a community‟s involvement programme requires the full time input of a professional
people, who would communicate complex ideas and information clearly. Unless a professional is
assigned to the post, the detailed work programme and information regarding the activities carried out by
communities will not be known. Recognise that community involvement requires a significant
commitment of professional staff that is also patient.

Suggestion: Assign professional staff (trained in effective oral and written communication) that would
develop and maintain a work programme of community involvement.

B.5.3 Time

Effective community involvement also takes time -- sometimes a great deal of it. Concern about time is
one of the most important forces working against community involvement.

Suggestion: Inform communities of their rights and obligations through workshops, flyers and other
means. Train staff so that they know about these rights and obligations and can communicate them to

B.5.4 Apathy

Government officials sometimes hold well-advertised public meeting but get small attendance or response.
Communities have little interest in attending a meeting, serving in a committee, or otherwise getting

Officials sometimes blame "apathy" for the failures of a community involvement programme when the
real cause is inadequate funding or management of the programme. A community will not participate in
the planning process if they lack access to it.

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Suggestion: Maintain an effective community involvement programme that communicates issues and
information to all interested persons and groups. Develop educational programmes and workshops to
inform the community about policies and issues and encourage people to be involved in the planning

B.5.5 The Need for Predictability

Planning is a process for making decisions about how a community utilises its land and resources.
Community involvement during that process is vital. The need for predictability doesn't mean that a plan
can never be changed or that a decision should never be reconsidered. But the whole idea behind
planning is to have the community agree on where certain resources should be directed. Once such
agreements have been reached and adopted in the plan, the plan should not be changed every time
someone objects.

Suggestion: Emphasise the need for community participation before the plans and policies are being
developed, not after they are being applied. Document the community involvement that occurred during
the plan's development, so that the community will know that its policies are based on extensive
community input.

B.5.6   Regional and Federal Mandates

There are laws that indirectly limit communities' involvement by setting standards of requirements that
cannot be changed by local community actions.

Suggestion: Inform community about regional and federal laws that compel policies or actions. Provide
information that describes not only the requirements of the law but also its purposes.

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C.1      Integrated Rural Accessibility Planning
Integrated Rural Accessibility Planning (IRAP) is a multi-sectoral, integrated planning tool that addresses
the major aspects of access needs of rural households for subsistence, social and economic purposes. It sets
priorities and makes suggestions for infrastructure-spatial planning of facilities and services. It integrates
the access and mobility needs of the rural population, the location of basic social-economic services and
the transport infrastructure in all sectors.

The essence of the IRAP process is to introduce an area approach towards improving rural accessibility. It
enhances participation and promotes an efficient "bottom-up" process for the planning of rural access.
IRAP is a planning tool, not a planning system, and its planning procedures need to be integrated into an
existing planning process. The accessibility-planning tool can be used to complement the existing
Regional/ Woreda level planning framework. IRAP, in short, is a local level, needs-based, area-
development, planning tool.

IRAP involves communities in all stages of the planning and creates a platform for local level planners and
beneficiaries to proactively plan for development.

The IRAP application (process) presented below are based on experiences in Laos and Malawi. The steps
           Data Collection;
           Data Processing;
           Data Analysis;
           Mapping;
           Validation Workshops;
           Compilation of Access Profiles;
           Setting Accessibility Targets;
           Prioritisation and Formulation of Interventions;
           Implementation; and
           Monitoring and Evaluation

C.1.1 Data Collection

The data collection phase consists of the training of enumerators; organising surveys and supervision;
visiting villages and conducting interviews; checking and correcting data.

During data collection enumerators hold interviews with key-informants of target villages in the Woreda,
using a questionnaire that contains questions on accessibility in all sectors, (like drinking water,
agricultural marketing, health, education) on the existing transport, travel and access problems, and
prioritisation of possible interventions for improvement.

The purpose of this activity is to accumulate reliable information (primary data) on accessibility in all
relevant sectors. The collected data builds the foundation for the accessibility planning procedure.

The data collection is carried out by enumerators from the local people, who are familiar with the social
environment and physical characteristics of the area, and supervision is by Woreda Authorities. The key-
informants are representatives of the kebeles and their settlements and local group representatives (village
leaders and administrators; teachers; health personnel; extension workers and farmers; youth and women
representatives; business people, NGOs, etc.).

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The questionnaire starts with a section that describes the „kebele particulars‟ and then proceeds to address
each sector. The first step in preparing for data collection is to make an inventory of the number of kebeles
in the Woreda and mark all villages / kebeles on 1:50,000 topographical maps. The questionnaire is the
selection tool for relevant data collection.

The questionnaire contains the following subjects:
        Primary kebele data on transport time, means of transport and ease or difficulty of reaching the
           service or facility in each sector;
        Data on each particular facility in each sector, such as location, condition and quality of service,
           queuing time as perceived by the kebele and the catchment areas of the facilities;
        Accessibility problems (availability and quality of services) as perceived by the kebeles
           regarding travel time, means of transport, sectors etc.;
        Gender differentiation / discrimination in travel and transport; and
        Priorities for interventions as proposed by the kebeles to address their predominant access

Involving local staff in the enumeration with supervision by the Woreda administration is chosen
because it creates a sense of ownership and encourages participation on a longer-term basis. Local
knowledge of the situation is also an important advantage in terms of quality control, and in addition, the
costs of the exercise would be acceptable.

Criteria for selection of enumerators:
     The candidate should be literate, and preferably be a member of the area;
     Identification should take into account the place of residence. The enumerators should operate in
         the area where they themselves live to reduce transport costs, and because they are familiar with the
         situation in the kebele under his or her responsibility; and
     The total number of enumerators required depends on the time span allocated for the survey, the
         number of villages and the team size.

The enumerators are responsible for the following:
    to organise and pre-arrange field visits in agreement with their supervisors;
    to complete the interviews in all allocated villages in accordance with the planning;
    to ensure that all settlements of each village are represented and that the key informant group is
       truly representative of the village; and
    To ensure that consensus is reached on all answers given.

The supervisors are required to carry out the following tasks:
    to plan the interviews with the enumeration teams;
    to give logistic support to the enumeration teams, whenever needed;
    to supervise their allocated enumeration groups in the field, by regular visits on a rotational basis;
    to give guidance and advice to the enumerators during the interviews;
    to check, discuss and where necessary correct the information collected; and
    to collect the filled questionnaires and to deliver them to the Woreda headquarters for processing.

The people who conduct the data collection exercise may not be fully conversant with the techniques
used in the data collection surveys. Therefore, it is necessary to equip the enumerators as well as the
supervisors with the appropriate tools and knowledge to successfully accomplish their tasks.

The actual survey should start immediately after the training of enumerators. The supervisor needs to
agree on a schedule of delivery of completed questionnaires to the Woreda headquarters for further
processing and the questionnaires need to be handled in at least once every week.

During the data collection interview, the village representatives are asked to state (rank) which three
access problems, are the most critical and need to be resolved first. The questionnaire also gives the

Ethiopian Roads Authority, ERTTP                        Planning, Monitoring & Evaluation Manual

opportunity to express which solution (s) should be chosen to resolve the issues. The problem ranking
relates not only to the village / kebele situation separately, but places it in the picture of the whole
Woreda. This provides an opportunity to address accessibility on a larger scale and more effectively.

C.1.2 Data Processing

It involves data encoding, preparation of the Accessibility Data Base (ADB) presentation of the ADB at
Woreda level, and the finalisation of the ADB Book.

“Data” is defined as “facts taken as „true‟ as the starting point of a piece of reasoning”. It is
consequently essential to set boundaries to the amount of data collected and extract only the useful data
for a given purpose.

Data becomes information after further assessment, filtering and ranking is applied. In other words
„data‟ needs to be processed to make it „information'. Data analysis and mapping are tools to transform
selected data into the required information.

Questionnaires are numbered before the start of the survey, based on the location of the village. Upon
receipt of the questionnaires the answers to the questions need to be coded. After coding the data is
ready for entering into the computer. The data entry clerks will use a simple statistical computer
programme such as the Statistical Programme for Social Scientists (SPSS) software package.

To achieve satisfactory data entry, the following resources are needed:
       Equipment – personal computer, laser printer, computer diskette and paper, and statistical analysis
       software for data entry.
       Human resources – data entry operators and data entry supervisor, who are responsible for the
       progress and quality of the data entry.
       Organisation – Data entry is time consuming and must be completed before the data analysis can
       Output – the final output of the data entry exercise is a computerised data base that should be
       transformable into any other spreadsheet or database format.
       Training – although the data entry exercise is fairly straightforward, training is required for both
       the data entry clerks and the supervisor.

The document that contains all the kebele level data is called " the ADB Book". Once all the information
has been computerised, specially designed data forms will be printed out and draw up the ADB Book.
ADB Books are prepared at the Woreda level. The ADB Book is organised by sector. The ADB Book
includes the "raw data" by Kebele and a summary of the consolidated data of all kebeles in the Woreda.
The following is an outline of a typical ADB Book:
            o Cover page with map of Woreda;
            o Summary of consolidated data;
            o General characteristics;
            o Transport characteristics;
            o Water supply characteristics;
            o Education characteristics;
            o Health care characteristics;
            o Income generating activities characteristics;
            o Market access;
            o Kebele / woreda problems; and
            o Kebele / woreda priorities

Upon completion, the ADB Book is presented and explained at Woreda level to participants drawn from
the different Woreda departments in order to validate, correct and/or update the ADB Book.

Ethiopian Roads Authority, ERTTP                         Planning, Monitoring & Evaluation Manual

After corrections have been made, the final version of the ADB book is printed. The production of ADB
Books is rather costy and should only be given to people who can really make use of them. A separate
document, the accessibility profile is prepared which describes the Woreda and summarises access
conditions. The document is more of a descriptive character and is disseminated on a larger scale.

Compilation of data collected at Kebele level will give the overall picture of the Woreda. These primary
data will be completed by secondary data from the Woreda and regional levels and include:
              Population distribution and density of the Woreda;
              Transport operators, availability and condition of the road network;
              Economic activities: private businesses and enterprises, types and quantity of employment;
              Information on facilities: indicators of health sector, for example, number of beds, number
                of medical personnel, condition of buildings, pupil/ teacher ratio in schools;
              NGOs operating in the Woreda by activities in which they are involved;
              Qualitative and quantitative information related to facilities e.g. Enrolment/dropout rate and
                reasons; level and professional ability of teachers; and
              Sector and cross-sectoral targets.

C.1.3    Data Analysis

After data is entered into the database in the computer, it is available to be analysed. The process required
to transform the stored accessibility data into the desired accessibility information again depends on
resources such as skilled personnel and equipment. The output of the data analysis will be tables or graphs
of access indicators per Kebele per sector, and if required ranked and grouped per kebeles.

The use of indicators is a common planning tool. IRAP indicators are derived at two levels: the Kebele
level, where they are used to identify sector interventions in relating indicators to standards, averages or
targets, and the Woreda level where they are used to identify kebeles that are most disaffected in relation
to the required services.

The following 7 indicators, for example are determined for the water sector.
         Number of people in the village;
         Type of drinking water system in the village;
         Average water collection time;
         Type of traditional source;
         Perceived water quality;
         Villagers perceived problems; and
         Villagers perceived priorities.

The objective of the training of key people at the Woreda level who are responsible for the sector
programme on data analysis and prioritisation are threefold:
        to validate-correct and / or update the information base;
        to analyse the primary data collected in the villages / kebeles and to calculate indicators; and
        to train participants in the use of IRAP planning tools to identify Kebele priorities.

IRAP introduces here one of its most innovative and powerful tools: the prioritisation process. Participants
as a group, therefore decide on the different weights of the indicators. Individual participants first assign
different weights to the different indicator based on their own preferences and perceived importance and
afterwards a group average is calculated. Once the indicators and their weights are known participants
calculate the score of each village. The following formula is used here by:

                    I= 1 to n summation Indicator weight * indictor rating = Village Score.

    A higher village score indicates a higher priority to do something

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

    Accessibility Indicators:
        An important part of the analysis is the use of Accessibility Indicators (AI);
        Accessibility indicators show relative degrees of difficulty in accessing facilities and services;
        Calculation of AI's is mostly done on the basis of travel time. However in some sectors queuing
           time is another important factor to be considered: the queuing time indicates the "pressure" on
           the facility, e.g. of boreholes and grinding mills; and
        The indicator quantifies the size of the demand from households and the degree of the transport
           burden in a given area.
                         AItt = TT.HH
                         in which:
                         HH - Number of households permanently residing in a given village, Kebele or
                         area under consideration
                         TT - Travel time or transport time that an average household spends to reach a
                         facility or service
                         AI - Access Indicator - the multiplication of (travel or queuing) time and the
                         number of households. This quantifies the level of difficulty with which
                         households access a given need, facility or service; in 'household minutes'.

The access indicator is a relatively neutral unit of measurement. It can be used to assess the level of
difficulty that people encounter in all activities from reaching their water supply to making school visits.

AI allows the ranking of villages or kebeles. The "worst off" villages per sector can be identified and
hence prioritised for intervention. To complete the picture an additional tool, mapping, is used.

C.1.4    Mapping

Mapping assists visualisation of the accessibility situation. Combining maps and overlays of different
sectors will help to identify the best possible solutions to achieve integrated and cost-effective access
interventions. Information can be presented in different ways. Tables, graphs and listings are helpful to
give the user the information he/she needs, but sometimes we need different methods of presenting
information. As the planner in accessibility is concerned with geographical areas and much of the
information is connected with the physical infrastructure or location of facilities, a map is the best tool to
present and visualise the situation. But in addition to this, a more important reason for mapping exists: i.e.,
to clarify the situation visually, and by doing so to show what otherwise perhaps remains unnoticed.

The maps that can be used as a basis are the 1:50,000 scale (approximately 110 cm x 60 cm) topographic
maps, which have the following information:
        Village and towns;
        Streams, rivers and water bodies;
        Roads, tracks and bridges;
        Mountains, hills and forest areas; and
        Some specific features like administration centers, schools and hospitals.

Accessibility mapping is an integral part of IRAP procedure. It allows the planner to visualise the location
of things within a given area and can help in the identification and prioritisation of access problems,
facilitate the formulation of interventions, and guide in the selection of the best development alternatives.
The purpose of accessibility mapping is to provide a picture of access conditions in a given area, to help in
the identification of access problems and in the formulation of interventions, to enhance the
communication of information and recommendations to an audience, and to evaluate the impact of access
improvement projects.

Accessibility mapping has been developed as a “user –friendly” process that can be easily understood
even by people without the necessary technical training.

Ethiopian Roads Authority, ERTTP                         Planning, Monitoring & Evaluation Manual

C.1.5   Validation workshops

Data is collected at village / kebele / level and the information is processed by entering it into a
computerised database, after which the data is 'analysed'. The output of the analysis is then interpreted and
presented in tables and graphs. This output is likely to be incomplete or not entirely corresponding to
reality. Validation workshops are held to verify the data analysis output and to formulate and discuss the
access problems and priorities and to identify interventions with the representatives of the KDCs.

The objectives of Validation:
        to confirm that the data collected (and analysed) is a true representation of the situation on the
        to formulate accessibility profiles which reflect the access problems of the people in the area,
           in both absolute terms as well as in relation to other in the Woreda; and
        to give the rural communities an opportunity to participate in the formulation of their own
           accessibility situation with special reference to the problems and the solutions.

It is anticipated that at the end of each respective workshop:
          A comprehensive description of the accessibility situation of the Woreda has been established,
             clarified and validated;
          Access problems and areas of interventions have been identified;
          Community representatives are confident about the accuracy of the data and the interpretation
             of the situation; and
          The beneficiaries have a good understanding of the different accessibility issues and their

C.1.6 Compilation of Access Profiles

Compilation of Access Profiles is done following collection of access information and after verification in
the workshops.

The combinations of the output from the analysis and the maps form a profile of the accessibility of an
area. An area Accessibility Profile will include ranked kebeles and KDCs for each sector. The profile
furthermore provides descriptive information on facilities and services. The result of the whole exercise,
from data collection to formulation and prioritisation of interventions, is called the Access Profile. An
Access Profile is basically a file that has the following content:
                  Accessibility situation per sector at two levels: Kebele and Woreda (in tables and
                  Accessibility maps of each sector and combination of overlays;
                  Descriptions of accessibility problem areas in the Woreda;
                  Priorities in areas/ sectors for interventions; and
                  An overview of projects and activities, relating to access, already in preparation or

The Woreda Accessibility Profile (WAP), together with the indicators, reflects levels of access in the
individual kebeles and the Woreda as a whole. The WAP is a summary document, which provides the
reader with a quick overview of the access situation in a particular Woreda. The WAP is widely

The Access Profile should include a section that summarises and draws conclusions about the
accessibility situation in the area under consideration. It will list:
                   Major access problems (by sector);
                   Worst cases (by villages / Kebele);
                   Relative access problems compared to other areas at an equivalent level;
                   Needs assessment / best practice to address the issues; and
                   Initiatives already undertaken (proposals/project execution).

Ethiopian Roads Authority, ERTTP                            Planning, Monitoring & Evaluation Manual

The aim of the IRAP road inventory is to make an overall assessment of the condition and geographical
distribution of the road network in a Woreda. It is a first inventory to generate a picture on the overall
status of the (rural) road network. The road inventory together with the Kebele data can be used to
prioritise individual road links.

C.1.7    Setting Accessibility Targets

This step includes three activities; namely define objectives, set targets, and identify strategies. Defining
objectives can be a difficult process, but it is an important one. After the data has been analysed and
summarised in indicators, Woreda officials should sit together and define and prioritise their objectives
based on the indicators available and related to planning standards, norms or national and regional

Before preparing action plans or project proposals, it is necessary to set targets and develop strategies to
meet these targets. Targets need to be realistic and achievable. Targets should also be measurable in
order to monitor progress. Targets can be established at any level, i.e., Kebele, Woreda, regional and
federal. Sector targets often reflect the 'objectives' of the line ministries for their whole sector. However,
setting objectives and targets specifically defined to improve access for the 'rural population' does not
necessarily coincide with the targets for the sector separately.

It is therefore important to set the targets or perhaps re-assess the existing targets, after the accessibility
situation of the Woreda is appraised, both sectorally and cross - sectorally. Then realistic and achievable
targets can be set for local level planning.

Strategies are defined to reach the targets. They spell out what needs to be done in a certain area in order to
meet the targets. Strategies are implemented through activities called “projects” or "interventions".

C.1.8 Prioritisation and Formulation of Interventions

Prioritisation and Formulation of Interventions is the next logical step in addressing accessibility needs at
both Kebele and Woreda level. The Woreda authorities can pro-actively formulate proposals or
alternatives to kebele proposals that go beyond the scope of individual kebeles. It is now possible to relate
this assessment to Woreda and sector targets. During data collection, the village representatives are asked
to state their problems (most critical and need to be resolved first) and to express which solutions to be
chosen to resolve the issue. The identified problems are ranked in order of importance by giving points for
the most effective intervention to solve the problems. The proposals are then assessed and selected/

There are two main categories of interventions that can ease rural access problems, namely:
        Mobility enhancing interventions:
              - Paths, tracks, trails, bridges, roads
             - Intermediate means of transport e.g., bicycle, wheelbarrow,
                 oxcart, bicycle, ambulance, etc.
               - Motorised and public transport services; and
        Spatial planning for the location of services and facilities: This deals with the optimum location
            of facilities relative to the communities they serve. Such interventions are aimed at reducing
            rural travel. Mapping is essential to determine these locations.
        Prioritisation

One of the most important activities in the planning cycle is the presentation of the prioritised projects
procedures and list of kebele / Woreda priorities by sector to decision makers including local government
officials, department heads and donor/ NGO representatives.

The outcome will be compiled in a report, which will provide a tool to evaluate the success of the

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

programme, in terms of priority projects implemented, later on.

         Formulation of Interventions
This step includes the activities for the preparation of project proposals and the preparation of the
Integrated Action Plan.

To support this activity, a structure and programme for training has been prepared, which consists of two
parts: Problem tree analysis and proposal writing. Problem tree analysis is used as a tool to identify
specific interventions to improve accessibility associated with health, education, water, transport and
income generating activities in priority villages. Proposal writing involves the translation of interventions
or project ideas into concrete project outlines with a tentative budget.

Training is required regarding prioritisation and formulation of intervention. The course is organised for
key people at Woreda level, including those who will be responsible for sector programmes. The
objectives of the training are threefold:
         to analyse the main access problems by sector and identify objectives and strategies to
            overcome these problems;
         to train participants in project proposal writing and calculating project budgets; and
         to present the proposed priority projects to a wider audience

The Project proposals that result from this training are mere outlines and are not yet final. They are based
on ideas and data generated during the IRAP application. Participants used cost guidelines established by
the IRAP projects to estimate the cost of different interventions. These cost estimates do not always reflect
the real cost of the projects. The draft proposals need to be finalised in consultation with the kebeles
involved and sector specialists from the different line departments.

Participants will have to take their proposal back to the priority kebeles and discuss with the local people
whether the proposed intervention is desirable, effective and feasible in solving an access problem. Do the
people really want the project identified, are they willing to contribute, does the intervention really solve
their access problem or are there better alternatives, do the costs justify the benefits?

Again, the finalisation of the project proposal, in consultation with the Kebele, requires certain skills.
Experience of training in community participation is often necessary to ensure that the process is effective.

Preparation of Integrated Action Plan
It needs to be emphasised that formulating an action plan is not the final step in the planning process. The
action plan sets out the projects that need to be implemented and the kebeles that deserve priority. These
project proposals contained in the action plan lay the foundation for a programme of physical works that
will effectively improve rural accessibility. These project proposals need to be discussed with the people
involved and undergo tests.

An action plan basically informs the user "what should be done to improve rural access, where should it be
done and how should it be done? " and should contain:
         An analysis of the access situation at the focal site;
         An identification of access problems;
         Objectives, targets and strategies to improver access;
         Priorities;
         Options to improve accessibility; and
         Project proposals including a budget and time schedule.

Once the plan is finalised its needs to be presented and discussed with local authorities.

The approval of project proposals and plans, however, is often a long process and needs follow - up.
Individual contacts with government and donor representatives are kept warm to expedite project

Ethiopian Roads Authority, ERTTP                        Planning, Monitoring & Evaluation Manual

approval. The ultimate approval of a project or plan is a decision made by third parties over which the
IRAP process has no influence.

C.1.9 Implementation

Implementation is the stage in which the proposed interventions (projects) identified in the prioritisation
process, are included in the overall Woreda development projects and are ready for implementation.

Project Implementation is left with the institutions that have the expertise and resources to implement
physical works. The IRAP planning cycle is a planning process, which does not include the actual
implementation of the works that were identified, prioritised and designed. IRAP, however, could support
implementing agencies and strengthen several elements of the implementation process, namely:
         Strengthening community participation in the planning, design and implementation of physical
           works; and
         Promoting the use of labour - based methods.

C.1.10 Monitoring and Evaluation

Monitoring and Evaluation is the final step in the IRAP cycle. Feedback is required to improve the
effectiveness of all steps in IRAP and the results of interventions have to be assessed against the defined
targets and objectives, and the intended outcomes.

Monitoring includes project monitoring and programme monitoring. The first is project management tool
and is the responsibility of the implementing agency. The later is more general and is part of the IRAP
planning cycle. IRAP planners' responsibility ends once the proposal or plan has been prepared. Access
improvements, however, need to be documented and progress in improving rural accessibility needs to be
reviewed regularly. This is what IRAP refers to as programme monitoring.

IRAP is a dynamic process and it is recommended to update its information base every two to three years.
Updating the database and recalculating the access indicators would provide planners with a clear picture
of the most recent changes in levels of access.

The whole purpose of IRAP is to improve the effectiveness of interventions in rural access. It goes without
saying that this effectiveness needs to be checked. Monitoring the process and the output may lead to
adjustments or improvements.

Evaluations are intended to find out whether a project has been successful or not, and why. The final step
in the planning cycle involves the application of procedures to evaluate socio-economic and accessibility
impacts of rural access improvement projects. Evaluations are important not only to measure the success or
impact of a project, but also to guide future investment decisions.

The IRAP process has two feedback cycles:
        After validation - Does data has to be corrected and re-analysed? Is the interpretation of the
          planner in keeping with the concept of the beneficiaries? and
        During and after implementation - Is the chosen intervention delivering the anticipated effect?
          Are the targets correctly set?

The latter evaluation actually incorporates two different types of M&E:
         Is the planning leading to appropriate interventions and consequently improving the
             accessibility for the intended beneficiaries, called evaluating the effect? and
         Is the intervention implemented as intended, called evaluating the project implementation? This
             is the more conventional M&E.

The Merits of IRAP
        The information obtained through the IRAP approach, provides valuable and crucial insight

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            into the pertinent issues in rural development. The relevance, therefore, justifies the inclusion
            of IRAP in local level planning. It informs the user on socio-economic and access
            characteristics of selected areas;
           Mapping out accessibility provides a visual aid and, more importantly, clarifies the access
            situation, which through other means alone might not become clear;
           The planner and the beneficiaries are better equipped to assess proposals for interventions pro-
            actively. IRAP performs best in a decentralised context; which is a sound basis for capacity
            building and local level planning;
           Cross sectoral network planning becomes possible for infrastructure and alternative
            interventions like literacy classes for women, or bicycle credits. Spatial planning can now
            result from one system;
           The IRAP process has adopted an integrated approach to planning of rural infrastructure.
            Interventions are being implemented in the areas of transport, education, health, irrigation,
            markets and water supply;
           The outputs of the IRAP application generally facilitate the work of Woreda and regional
            planners, local decision makers and donors alike;
           IRAP provides the basis for developing the capacity of local Government or project staff in
            relation to planning. It demonstrates the importance of planning systems and planning tools,
            and trains counterpart staff in various planning tasks;
           IRAP produces lists of prioritised villages or kebeles by sector;
           An output of the IRAP application is the project proposals and action plans. These plans and
            proposals comprise sector specific interventions or integrated packages including transport and
            non-transport interventions all aiming at improving rural access. In both the Philippines and
            Laos, evidence suggests that quite a number of projects identified through the IRAP process
            have been selected for funding;
           Isolation sustains poverty, because services do not reach people, keeping them illiterate and
            out of contact of income-generating activities. The importance of IRAP as a poverty
            alleviation tool should therefore not be overlooked;
           IRAP consolidates top-down and bottom-up planning. Top down planning isolates planners
            from communities and often results in less effective, non-sustainable, projects. Bottom-up
            planning serves the immediate community but fails to integrate proposals with those of
            adjacent communities and not necessarily reflects national plans, programmes and policies.
            IRAP puts the two together and provides a framework for realistic planning; and
           By promoting community participation techniques during the planning, project design and
            implementation phases, it thus increases the appropriateness and sustainability of the

The strength of the method, as expressed by all who are using it is:
         that it is simple, and cost and time-efficient;
         that it quickly generates lists of prioritised needs and interventions; and
         that its visual presentation, by means of coloured maps of the existing infrastructure and
            access needs, is easily understood by local-level decision makers.

C.2     Rapid Rural Appraisal
RRA is a qualitative survey methodology using a multi-discipline team to formulate problems for rural
area research and development. The main words / concepts are explained further as follows:
         Qualitative refers to the descriptive type of data collected and is concerned with the quality
            of an observation or idea. Such data may involve an assembly of insights rather than
         Survey is used loosely in the sense that data is gathered from people in the field and filtered
            through the perceptions of the research team. The term "purposeful" is often used to show
            that data is sought in a deliberate way to provide rich detail and insight;
         Methodology means that a rigorous process of research has been adhered to;

Ethiopian Roads Authority, ERTTP                        Planning, Monitoring & Evaluation Manual

           A multi-disciplinary team of up to ten people from diverse disciplines and or backgrounds
            should be recruited to provide a range of perspectives and perceptions through which data
            can be analysed and interpreted;
           To formulate means to define or describe problems from a range of perspectives, including
            recognition of the importance of local knowledge;
           Local people have a claim on the information collected and should be involved in determining
            any action, which emerges; and
           Research and development aims to improve conditions for the people and the land.

Organisations of RRA
       1. Selection of RRA team members
       2. Objectives
       3. Formation of sub-topics
       4. Selection of methods, designs and respondents
       5. Interview
       6 Sub-team meeting
       7. Whole team meeting
       8. Report writing

RRA has the following key features:
       It begins with the assembly and building of a team, which agrees on some common objectives
           that will enable individuals to work together;
       Team training is a crucial step to achieve a consistent set of approaches to data collection such
           as semi-structured interviewing, active listening and the formulation of objectives;
       A project protocol provides a blueprint for all team members to follow, i.e., like introducing
           members to the public, stating the purpose of the RRA, how it will be conducted and what the
           outcomes will be;
       The methodology must be adapted to particular resources and field situations;
       Local "key informants" are used to establish the context of each study. Key informants are
           individuals with particular skills, knowledge or roles within the community that are identified
           and selected with the agreement of the community to help inform an outsider about what is
           happening inside the community and why;
       Qualitative data techniques are learnt;
       Data is fed back to the community rather than "extracted" for the researchers' benefit only;
       Particular variation is sought not averages;
       Accepting the notion of " appropriate imprecision" ensures that resources are not wasted on
       Triangulation is used, which refers to the process of cross checking data by collecting it from
           more than one source; and
       It is exploratory and iterative, i.e., hypotheses and research questions can be rapidly changed
           as learning occurs.

The Advantages of RRA are:
       The context of the data is as important as the data itself;
       Learning takes place in the field-as you go-and it comes as much from what local people know
          and do as from physical and biological phenomena;
       It avoids the problems of " development tourism" and " windscreen surveys" i.e., -superficial
       It provides a good chance for the urban non-farm background researchers to know about the
          rural area;
       It generates qualitative data, which requires special techniques for collection, analysis and
          interpretation. Insights not numbers are the aim of the game; and
       Learning from and with the community is stressed; listening skills are stressed over telling

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

Before starting the fieldwork, there are some steps, which need to be followed by the team members in
order to collect reliable and precise information. These include selection of RRA team members,
objectives, formation of sub-topics and selection of methods, designs and respondents.

A group of people as an interdisciplinary team is required to perform an exercise before and during
fieldwork while using RRA tools and techniques. The team members need to be aware and clearly
understand the objectives of why they are using the RRA approach. The team then identify topics or sub-
topics or checklists on which to build questions before going to the fields.

The team members should also discuss how to carry out fieldwork, especially tools to be applied for
collecting the required information. Generally the choice of tools depends on topics and expected output.
RRA uses triangulation, probing and iteration as strategies for data collection and analysis. Probing is to
encourage the respondent to answer more fully and accurately. In the case of iteration, the same question is
repeatedly asked in different situations for confirming the given information.

In order to get precise and reliable information during interview, the main rules are:
         Do not interrupt;
         Do not assume; and
         Do not lead or give clues.

Semi- Structured Interviewing (SSI) is the principal method used in RRA. SSI is conducted with key
informants, who have good knowledge about the history of the village and its resources, and others using
pre-selected sub-topics as guidelines. In this method, actual questions are created during the interview. In
order to exchange the information gathered by RRA team members, it is advisable to conduct sub-team
meetings. The final stage is report writing.

RRA developed a style of listening research, and a creative combination of iterative methods and
verification, including " triangulation" of data from different sources-using two different methods to view
the same information. Its chief techniques include:
          Review of secondary sources, including aerial photos;
          Direct observation, foot transacts, familiarisation, participation in activities;
          Interviews with key informants, group interviews, workshops;
          Mapping, diagramming;
          Biographies, local histories, case studies;
          Ranking and scoring;
          Time lines;
          Short simple questionnaires, towards the end of the process; and
          Rapid report writing in the field.

RRA recognizes the central role of people in rural localities and agricultural pursuits. Its chief claim is to
train and skill a team of like-minded researchers to interact with one another in a rural context to learn
from the experience to use the qualitative data collected and helps all interest groups to plan and act for the
future. RRA aims to elicit local people definition of their problem and there is a temptation for a researcher
team to “extract” the data from the community, analyse it and write it up.

C.3      Participatory Rural Appraisal
PRA is a methodology of learning rural life and its environment from the rural people. It requires
researchers/ field workers to act as facilitators to help local people conduct their own analysis, plan and
take action accordingly. It is based on the principle that local people are creative and capable and can do
their own investigations, analysis and planning. Participation, by its very nature, generates diversity and
encourages people to develop new methods with which to collect, analyse, and present information, and
decide what action to take.

Basic assumptions of PRA are:
         That village people know a great deal and their knowledge can drive innovations;

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           That popular participation in planning is fundamental. The participation of community
            organisations in the project will usually be very relevant. Four levels of intensity of
            participation might be distinguished (they are not mutually exclusive), namely, Information
            Sharing; Consultation; Decision Making; Initiating Action;
           That working with the strengths in local systems is vital to success; and
           That if villagers cannot manage or control development, it will not be sustainable.

Stages in preparing and conducting PRA are:
            1- Selection of PRA team members
            2- Clarify goals and objectives of the study
            3- Choose main topics to be investigated
            4 - Prepare a list of sub-topics, indicators and key questions
            5 - Identify sources of information for each sub-topic
            6 - Select tools to gather and analyse information
            7 - Agree on how and when the analysis and presentation of findings will be carried out
            8 - Plan the detailed field logistics
            9 - Report Writing

PRA methods are considered good when a team consisting of specially trained interdisciplinary persons
perform the PRA exercise before and during fieldwork. Experience shows that a small interdisciplinary
team consisting of three persons is the best for conducting PRA methods.

The PRA teams have to understand clearly the objectives and goals of the study under consideration. The
team members must identify topics or sub-topics or checklists on which to build questions before going to
the field.

Generally a brainstorming session is organised for developing topics or sub-topics. A number of
experienced people not necessarily team members are invited in the session to generate on a specific issues
on a particular area. The raised issues in the session are listed on a flip chart or board, depending on the
availability. The issues are repeatedly discussed in the session relating to the practical situation and are
finalised as indicators and guidelines for collecting the required information.

Data and information sources need to be identified for each sub-topic so that PRA members would collect
the necessary data and information only. The majority of the tools focus on (though not exclusively):- (i)
the use of visual rather than verbal analytical and presentational techniques; (ii) seeking and promoting the
view and opinion of the group rather than the individual; and on (iii) comparing rather than counting. The
team members also discuss how to carry out field works, especially the tools to be applied for collecting
the required information. Generally, the choice of tools depends on topics and expected output.

The most common PRA tools and techniques are:
            Secondary data review;
            Triangulation;
            Iteration;
            Probing;
            Observation;
            Building rapport;
            Semi-structured interviews;
            Key informants interviews;
            Ranking and scoring;
            Trend analysis;
            Seasonal diagramming;
            Stories;
            Do it yourself;
            Participatory mapping and modeling; and
            Transect walks;

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The tools and techniques are briefly defined as follows:

Use of secondary data
   Secondary data are important for background information and basic assumptions of facts that the rural
   people provide.

    The principle of "triangulation" - the collection of information from different sources and using
    different methods is also an essential feature of effective PRA. The selection of appropriate methods
    should be based on an understanding of the level of participation the appraisal / review / evaluation
    needs to achieve.

    In this technique, the same question is repeatedly asked in different situations for confirming the given

   The main function of a probe is to encourage the respondent to answer more fully and accurately.
   Always start questions, with who, what, why, when, where and how (the six helpers) for helping to
   establish the basic situation.

   In this technique, related indicators are used in the field to verify the collected information or to
   generate questions. For example, if dung is used for cooking purposes, it means that there is a scarcity
   of firewood in the area. There are wide ranges of participatory tools available, which can be used
   according to the situation or needs.

Rapport building
   Rapport building is an important task for the team for collecting reliable information. It is usually done
   to develop communications and to establish working relationships with the local people. The team
   might follow the following steps for conducting PRA in rural areas.
        Start talking to the rural people;
        Treat and respect rural people as per their local custom;
        Ask knowledgeable people about a subject or area in a village;
        Try to meet with local leaders and officials before starting work in a village;
        Clearly explain reasons for coming to the area;
        Show genuine interest in the local issues; and
        Choose time and venue that are convenient for the local people.

Semi-structured interviews
   Semi-structured interviews are almost always the most important tools used in this kind of work.
         The interviewing team should consist of between two and four people of different disciplines;
         Begin with traditional greetings and state that the interview team is here to learn;
         Make sure the interviewee is comfortable;
         Conduct the interview informally and mix the questions with discussion and humour;
         Be open-minded, interested and objective;
         Carefully lead up to sensitive questions (start with the easier ones);
         Assign note taker; and
         In general, avoid questions that can be answered by "yes" and "no".

Key Informants Interview
   Individuals with particular skills, knowledge or roles within the community are identified and selected
   with their agreement to help inform an outsider about what is happening inside the community and
   why. There are some rules of PRA, which should be followed by the team in order to get precise and

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      reliable information. The main rules are do not interrupt, do not assume, do not lead or give clues. If
      the rules are not followed by each of the team members, it may mislead the information.

Ranking and Scoring
   Groups of people can be encouraged to reveal their opinions in a participatory way by ranking
   exercises. This can allow them to score their preferences.

Trend Analysis
   Identifying trends may be easier for people than trying to describe only the current situation,
   particularly if quantification is difficult. Comparison with previous seasons or years may help tell
   whether things are getting better or worse.

Seasonal diagramming
   In rural areas, life is much more influenced by the seasons than in urban areas, particularly for those
   dependent on rain-fed farming systems. Labour availability, water supplies, disease incidences, food
   supply and income may all be significantly influenced by the different periods of the year.

    Encouraging people to recount stories of what happened in certain situations can be useful way of
    gaining a better understanding of how people deal with issues of crises.

Do - it - yourself
   Learn more about the reality of specific aspects of village life and work by working alongside people.

Participatory mapping and modeling
   Maps or site plans are a useful starting point in fieldwork. They
             Give you and your colleagues a better feeling for the area;
             Get the community members' perspectives on the area; and
             Provide information and ideas for further field work.

Transect Walks
   Transect walks simply take you through the project area or its environment along a set line between
   chosen points, accompanied by an informant who knows the area well. Information is gathered by
   direct observation, by questioning those accompanying you. As you go, draw a diagram depicting the
   different zones, resources, buildings, services, etc. and anything else of note.

During fieldwork
   The fieldwork is people-oriented and seeks information on indigenous knowledge, local customs and
   practices. The team will begin analysing and evaluating data at the very start of the work and continues
   on throughout the fieldwork.

Debriefing session
   The team members need to review their fieldwork since, delay causes significant loss of memory and
   may seriously affect the results.

After field work
    A discussion needs to be carried out by the team about the collected information and going back for
    more feedback should be arranged if it is necessary.

C.4       The Multi-Criteria Analysis (MCA) Method
The "Multi-Criteria Analysis" method involves the construction of an evaluation matrix in which the
different factors are disaggregated and the effects corresponding to the different variants assessed
separately. This method, although it requires more research and refinement, is quite flexible in application

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and can avail decision makers with all the relevant economic and socio-economic information, and the
relative importance of the different criteria can be weighted according to objectives and priorities.

As the decision will generally be a compromise between the various technical, institutional and political
factors, which are continually inter-acting, the "Multi-Criteria analysis" approach would seem ideally
suited for the determination of priority ranking for low standard roads and also for other sectors.

Here, the recommended priority ranking criteria for rural roads takes into account a number of socio-
economic, political and technical input parameters or variables as a basis for the adoption of the "Multi-
criteria Analysis approach". As a demonstration, the methodology to be applied in priority ranking can be
summarized as follows:
          Number main variables and these in turn are grouped into a number of measurable or non-
            measurable input parameters, or sub-variables, depending on their contribution to or
            facilitation of the expected benefits taken into account;
          A percentage of weights is assigned to both the main variables and the sub-variables;
          A three-point weighting scale is used to judge whether the measured/or non- measured effects
            or changes will definitely happen, or are likely to happen, or unlikely to happen;
          On the basis of the above-mentioned value judgement, a score is obtained for each main
            variable. Then the overall score for the project is obtained by adding all the main variable
            group scores. This procedure is followed in each project and the list is completed in
            descending order of ranking; and
          Finally, a three-point decision scale is used to determine whether the project is accepted,
            delayed or rejected. The cut-off point for including the highest ranking and accepted projects
            for inclusion in the programme is the amount of available capital budget in any given year.
            However, to determine the cut-off point for budgetary purposes, a rough engineer's estimate
            could be used, say on their basis of terrain classification, or road condition survey results, if it
            is a road project.

Despite its imperfections and deficiencies, the proposed methodology is quite flexible in application, for
the determination of the priority ranking of projects.

This guideline incorporates, as an example, the methodology not only for identification, screening and
selection but also for prioritization of selected roads. This method has the following four components:
         Identification of main and sub variables;
         Measurement of variables;
         Assigning weights; and
         Priority ranking & decision-making.

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                                     Measurable Input Parameters for New Construction Project
             Variables       Input Parameter or Sub Variable                        Measurement
    A) Economic Variables           1. Actual Crop Production              1. Hectares per Household
                                    2. Cash Crop Production                2. Hectares/ Household
                                    3. Agricultural Extension              3. Un-served Households/
                                                                              Total Households
                                     4. Livestock Production               4. No. of Livestock /
    B) Social Variable               1. Population Density                 1. Density/ Sq. km.
                                     2. Children School Attending          2. No. of children not going to
                                                                           School/Total school age

    C) Technical Variables           3. Health Service Provision           3. Un-served population/ Total
                                     1. Proposed Road Length               1. 5 km. –10 km. in length
                                     2. All-weather Road                   2. All weather road surface
                                     Connection                            type
    D) Political Variables           3. Suitability for Construction       3. Availability of select
                                                                           material in road vicinity

    E) Environmental         1. Regional Integration                       1. Objective Judgement
    Variables                2. Government Development                     2. No. and size of such
                             Programmes                                    programmes
                                     1. Unplanned Settlement of            1. Measured in terms of
                                     Access                                degree of significance
                                     2. Pollution of Potable Water         2. Same as E (1) above
                                     3. Effects from borrow pits,          3. Same as E (1) above
                                     dust and noise, soil erosion.

   Weights are assigned in percentage terms to both the main variables and their corresponding input
   parameters as shown for instance in the following table.

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

                       Weights Assigned to the Main Variables and the Sub Variables for
                                         New Construction Projects

            Main          Sub-Variable Item             Weights on Three- points Scale
            Variable            & Weight %                   3           2             1
                                                        Definitely         Likely            Unlikely
                                   1 -(7%)                   7                  4                 3
                                   2 - (15%)                 15                10                 5
            A 50%
                                   3 - (14%)                 14                 9                 5
                                   4 - (14%)                 14                 9                 5
                                 Sub Total %                 50                32                18
                                   1-10%                     10                 7                 3
                                   2 -(10%)                  10                 7                 3
            B 30%                  3 -(10%)                  10                 7                 3
                                 Sub Total %                 30                21                 3
                                    1-(4%)                   4                 2.5              1.15
                                    2-(2%)                   2                 1.5               0.5
            C 10%                   4-(4%)                   4                 2.5              1.15
                                 Sub-Total %                 10                6.5               3.5
                                    1- (2%)                  2                 1.5               0.5
            D 5%                    2 -(3%)                  3                  2                 1
                                 Sub Total %                 5                 3.5               1.5
                                    1-(1%)                   1                 0.6               0.4
            E 5%                   2-(3%)                    3                 2.1               0.9
                                   4-(1%)                    1                 0.8               0.2
                                 Sub Total %                 5                 3.5               1.5
                                 Total %                    100               66.5              33.5

A three- point weighting scale check-box is used to judge whether the measured socio- economic and other
effects or changes will definitely happen or are likely to happen or will not happen at all. On the basis of
this value judgment, a score is obtained for each sub-variable item and an overall score is then obtained for
the main variables.

On the basis of the overall score, a three-point decision scale check box is then used to determine whether
the project is "Accepted ", "Delayed" or "Rejected".

                                   Three-point Decision Scale Check box

                Overall Score

                         90%              Accepted             Delayed           Rejected
                                       % Range (70-100)        (30-70)        (0-30)

Therefore, using three-point decision scale, as shown above, the criteria to accept, delay and reject the
evaluated project will be as follows:

Accepted project: A Project, which scores the highest overall rating within the range of 70% to 100%.

Delayed Project: A project, which scores the highest overall rating of 70% to 100% but is delayed due to
budgetary limitations or a project, which scores within the range of 30% to 70% in the overall rating.

Rejected project: A project that scores a maximum of only 30% in the overall rating.

In this regard, it should be understood that the cut off point for the size of accepted projects to be

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implemented in any given year programme is the amount of available capital budget. For example, if
according to the overall score, five projects have been found as acceptable but the amount of available
capital budget can accommodate only three projects, the other two projects could be shifted to the "delayed

C.5     The Producers Surplus Approach
Projects involving new road construction, including feeder roads and especially rural roads, present much
greater analytical challenges. The "producer surplus" method is currently the most widely accepted
methodology for use in new rural road appraisals. The principal assumption underlying the use of the
producer surplus approach for rural road appraisals is that the lack of access is a major barrier to the
economic development of a region, specifically to the intensification or expansion of agricultural

A rural road is viewed as only one element or one investment among many ancillary or complementary
investments, which are required in the promotion of rural development. Thus while it will be possible to
isolate road costs, it will not be possible to identify specific road benefits. Many different investments will
be required and together they will result in a range of broad-based benefits. The most readily quantifiable
benefits will be those of increased marketable agricultural production.

At the outset, baseline data must be obtained for the agricultural (or other rural) sector. These data include
crop areas, yields, production costs, ex-farm prices, marketed output and local consumption.

To determine project-induced changes in the area of influence, it is necessary to forecast the above data
over time in both the with-and without-project cases. The without-project forecast should consider
historical production trends as well as development programmes already scheduled for implementation. In
the with-project case, the question becomes one of predicting the increased production induced by the
investment package.

In the producer surplus approach, it is assumed for simplicity that transport cost savings due to the project
are fully passed on to the producer in the form of a higher ex-farm price. This assumption makes it
possible to focus exclusively, for the time being, on farm-level changes. Second, it is assumed that all
production is marketed over the improved road.

The complex relationships between transport improvements and production increases clearly suggest the
need for an integrated approach to rural development. The use of the producer surplus analysis in project
appraisals provides a broader view of rural road project benefits, and focuses attention on the question of
development impact.

One of the methods of analysis of low-level rural roads is principally producer surplus, supplemented by
non-agricultural vehicle cost savings. The main focus of analysis is on the agricultural production system;
transfer of transport savings to producers and product users; and complementary investments. The nature
of major benefits includes increased farm production and net income; improved transport service; and
increased net income in the distribution sector.

Under agriculture, and its surplus calculations, one has to consider crops, livestock and forest production.
All three-sub sectors are products of the land, but involve different production requirements.

General Procedure for the calculation of Agricultural Surplus

The following phases summarize a step-by-step procedure to be used in the estimation of benefits and
costs of agricultural surpluses accruing to a road project. The steps described below correspond to three
distinct phases:

Phase I includes Tasks 1 to 5 and involves all calculations that lead to draft estimates.
Phase II includes Task 6 and involves a field trip designed to check the accuracy of the draft estimates.

Ethiopian Roads Authority, ERTTP                            Planning, Monitoring & Evaluation Manual

Phase III includes Tasks 7 to 11 and involves all calculations that lead to final agricultural surplus
estimates. The calculations are to be performed at the Head Office.

Phase I

          Task 1- Determine the draft shape and the size of the area of influence of the road.
          Task 2- Determine the actual land use pattern within the area of influence.
          Task 3- Determine the potential land use pattern within the area of influence.
          Task 4- From the results of Tasks 2 and 3 above, determine which agricultural sub sector need to
          be analysed. This task requires that:
              o the road is located on the present land use map to determine what agricultural activity is
                  carried out in the area of influence of the road and what information is to be collected;
              o the road is located on the potential land use map to determine what agricultural production
                  may be carried out in the future and what additional information (to 1 above) is to be
                  collected. The potential land use denotes a system that requires the land to be used in
                  accordance with its capabilities and limitations;
              o for roads located on complementary land use areas proceed to carry out the surplus
                  calculations; and
              o for roads located on competitive land use areas proceed to carry out the surplus

          Task 5- Collect all necessary data and carry out the draft calculations for the sub-sectors identified
          in the previous task.

Phase II

          Task 6- Conduct field surveys to verify the accuracy of the data and the validity of the draft
          calculations carried out in Task 5 above.

Phase III

          Task 7- Determine net agricultural production surpluses in the "without road" situation by
          estimating crop production; livestock production and forest production.

          Task 8- Determine net agricultural production surpluses in the "with road" situation by estimating
          the differences between actual and potential land use, future crop production, future livestock
          production, and future forest production.

          Task 9- Using prevailing local market prices and annual production estimates (Tasks 7 & 8),
          calculate annual production values in the "with" and "without" project situations and consequent
          annual incremental production values.

          Task 10- For each sub sector and /or each crop in the area of influence, determine annual
          incremental production costs for the life of the project.

          Task 11- Use the results of Tasks 9 and 10 above in the final Internal Rate of Return (IRR)

The number of people inhabiting a given area of influence is a key factor in agricultural surplus
calculations. The population factor is the primary activator and determinant of several other factors: it
affects land use, the area of influence, production decisions between livestock, crops and forestry and the
economics of the system. The population level strongly influences the actual and future agricultural
surplus calculations through effects on land use patterns and on the volume of produce consumed.

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Information in general is needed on land use, crop mixes, yields, harvest losses, seed requirements and
self-consumption in order to arrive at the crop surplus estimates.

Livestock related transport analysis need to take into account information on carrying capacity of the land,
herd composition, animal units, calving rates, mortality or viability rates, sales/culling rates, extraction
rates, and replacement rates.

The economic case for justifying rural road investment rests upon increased production, either through the
extension of the area of land being exploited or through the intensification of activities on currently utilised

C.6     The Roads Economic Decision Model
C.6.1    General

The Roads Economic Decision Model (RED) performs an economic evaluation of road investments
options using the consumer surplus approach and is customised to the characteristics and needs of low
volume roads, with traffic volumes between 50 and 200 vehicles per day. RED computes benefits for
normal, generated, induced and diverted traffic and takes into account changes in road length, condition,
geometry, type, accidents and days per year when the passage of vehicles is further disrupted by a highly
deteriorated road condition (wet season).

This approach is preferred to the producer surplus approach, which measures the „value added‟ or
generated benefits to productive users in the project zone of influence, e.g. agricultural producers, since the
consumer surplus approach was judged to allow for a better judgement of the assumptions made and an
improved assessment of the investment alternatives simulated. The model is presented in a series of Excel
97 workbooks that collect all users inputs. The HDM models also adopt the consumer surplus approach
and can be used for the economic evaluation of low-volume roads, but are not particularly customised for
this purpose, since it is more demanding in terms of input requirements.

The main simplification of RED with relation to the HDM models is that it considers a constant level of
service, during the twenty year analysis period, for the with and without project cases, while the HDM
models include road deterioration equations. The road deterioration equations of the HDM models, which
vary over time the roughness of a given road as a function of condition, traffic, environment, and
maintenance characteristics, are not implemented in RED. Rather RED uses the concept of average levels
of service, which is considered reasonable for low-volume roads due to the following reasons:
             1. Convenience in defining levels of service for low-volume roads with parameters other
                than average annual roughness and gravel thickness.
             2. Difficulty in measuring or estimating the roughness of unpaved roads and determining the
                grading frequency to be applied to unpaved roads.
             3. Seasonal change in road condition and passability.
             4. Cyclical nature of the road deterioration under a proper maintenance policy.

C.6.2 The Software

The RED software is a series of Excel 97 workbooks that contain a series of input worksheets where all
inputs are placed, output worksheets where results are presented and support worksheets where
calculations are made. The model evaluates one road at a time and compares three project-options against
a without project case, yielding the investment efficiency indicators needed to select the more desirable
option and to quantify its economic benefits. The main benefit is the reduction of vehicle operating costs
and time costs which are computed from relationships relating vehicle operating costs and speeds to road
roughness customised for a particular country. The model also performs a basic risk analysis based on user
defined triangular distributions for the main inputs.

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C.6.3 Main Economic Evaluation Module

The Main Economic Evaluation Module is the main module and performs the economic evaluation of up
to three project-options for a given road. The analyst defines the current road characteristics and traffic,
and the features of four possible maintenance or improvement cases, one being the without project case
and the other three being possible project-options. The model evaluates the total transport costs of all four
cases and computes the net benefits of the three project-options against the without project case.

C.6.4 Vehicle Operating Costs Module

The Vehicle Operating Costs Module computes, for a particular country, vehicle operating costs and
speeds as a function of road roughness for nine terrain and road types, and nine vehicle types. It
implements HDM-III vehicle operating costs equations and requires the same inputs as HDM-III.

C.6.5   Risk Analysis Module

The Risk Analysis Module performs a risk analysis based on triangular probability distributions for the
main input parameters. With the risk analysis module, the analyst can explicitly include the uncertainty
present in the estimates of the input parameters to generate results that show all possible outcomes. You
define the estimate of an input variable and some measure of the likelihood of occurrence for that estimate
taking the forms of a triangular probability distribution. The risk analysis module then uses this
information to analyse every possible outcome, executing hundreds of 'what-if' scenarios. In each scenario,
random inputs following the defined input probability distribution are generated, and the resulting
frequency distributions can be presented in graphical form.

C.6.6 Conclusions

RED is easy to use and requires a limited number of input data requirements consistent with the level of
data likely to be available for the analysis of low-volume roads in developing countries. The model can be
used to evaluate road investments and maintenance of low-volume roads, and estimate benefits accruing to
motorised road users to which other benefits or costs can be exogenously added. Particular attention was
given to the presentation of the results, with a view to highlight all input assumptions and comprehensively
integrate them with sensitivity, switching values and stochastic risk analyses. This would assist the analyst
in addressing the high variability and uncertainty, which normally surrounds the economic analysis of low-
volume roads.

C.7     Distribution Analysis and Impact on Poverty
C.7.1 General

Two Asian Development Bank documents – Guidelines for the Economic Analysis of Projects (ADB:
1997) and Handbook for the Economic Analysis of Water Supply Projects (ADB: 1999) - provide
procedures for distribution and poverty impact analysis, with worked examples. Although these examples
are from different sectors, the concept can be applied to the distribution and poverty impact analysis of
rural transport investments.

The Rationale for Distribution and Poverty Impact Analysis
The main arguments in favor of analyzing the distributional effects and impacts on poverty as part of the
economic appraisal of rural transport investments are:
        Given the high priority now attached by developing country governments, and by donor
           financing agencies to poverty reduction, this analysis provides a tool to appraise the extent to
           which the poor will benefit from the investment;
        Although investment in projects with the highest net positive worth will contribute most to
           aggregate national economic growth, this may increase the inequality of income distribution

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            and have little impact on the poor. The analysis assists in weighing considerations of
            economic efficiency and of impact on poverty reduction when making investment decisions
            about the use of scarce resources; and
           A number of recent empirical studies have indicated that high inequality of income
            distribution may be a factor, which inhibits growth.

C.7.2 Distribution Analysis

Conventional project economic appraisal uses a single indicator, such as NPV or EIRR, to justify an
investment by capturing its economic value to the economy. In doing so it implicitly applies a uniform
weight to all project participants, regardless of who receives the benefits. Distribution analysis – which is
the pre-cursor for poverty impact analysis – disaggregates and quantifies the effects of the investment on
different categories of participants - the public and private sectors, and different categories of participants
within the private sector. It therefore allows the predicted economic effects of the investment to be
checked against the intended effects of the interventions as defined in the project objectives.

C.7.3 Poverty Impact Analysis

Poverty impact analysis is a natural extension of distribution analysis. It estimates the proportion of the
net economic benefits of an investment that are expected to accrue to the poor. From this a
Poverty Impact Ratio (PIR) can be calculated:

                         PIR =    Benefit to the poor
                                 Total economic benefit

The Asian Development Bank is proposing to take this a step further by comparing the PIR with the
proportion of poor people in the country as a measure of the extent to which a proposed investment is
targeting poverty reduction.

The Procedure for Distribution and Poverty Impact Analysis

Step 1: The first step is to categorise the beneficiaries. Careful categorisation will significantly improve
the quality of the analysis in terms of identifying and quantifying the project effects accruing to different
participants. In the case of a rural roads project the key participants might be the government/economy (in
the form of tax or subsidy gain or loss), labour (wages from working on the project), transport service
operators (increased incomes), and users (savings in transport costs).

Step 2: The second step is to distribute the net project benefits to the economy among the defined
categories of beneficiaries:
     For the project benefits, only the economic benefits to the consumer need to be considered;
     For the project costs, the difference between economic and financial costs is distributed;
                - it is this difference that gives rise to losses or gains among the participants. For
                - if the economic cost of an input is higher than its financial cost due to government
                     subsidies, the input represents a loss to the government; and
                - if the financial cost of labour is higher than its economic cost, the difference is an
                     economic benefit to the labour.

Step 3: The third step is to conduct the poverty impact analysis as follows:
     Use the distribution of project effects (gains and losses) among the different categories of
        participants, and apportion the financial investments among the project participants;
     Calculate the total economic benefit, and the benefits to each category of beneficiary;
     For each beneficiary, estimate the proportion of the benefits that will accrue to the poor;
     Calculate the total benefits to the poor from the project interventions; and
     Calculate the PIR.

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One particular difficulty with this methodology is to assess the proportion of government expenditures
reaching the poor. To address this, Fujimura and Weiss have proposed an alternative definition of the PIR:

                         PIR =       Value of benefits to the poor
                                 Economic NPV – Net government income

Step 4: The final (optional) step is to check the sensitivity of the PIR to the discount rate. The values of
the PIR increase with a lower discount rate.

C.8 Attracting the Demand and Improving the Transport Services in Rural Parts of
Points of Departure

    Demand: The magnitude of effective demand for a given means of transport will obviously be
    affected by its price to the purchaser and its operating costs in use.

    Supply: If good prospects on the demand side exist for a particular means of transport the next step
    should be exploring the supply of it.

The Context
A major constraint to the increased availability of rural transport services is rural poverty. Low incomes
severely reduce the effective demand for intermediate means of transport and motorised services because
the costs are greater than most rural people can afford. Only few areas and households could afford to
make use of modernised transport services throughout the year. Some would not use any motorised
transport at all.

While the cost of transport can be a major constraint to the greater use of transport services, the lack of
economic transport demand is itself a constraint to the development of cheaper, more effective services.
For rural transport services to improve, this „vicious circle‟ has to be broken.

Addressing low density of transport services in rural parts of Ethiopia

Addressing the vicious circle of scarce transport, insufficient demand of the rural poor for modern
transport system, and inadequate support services requires amalgamating existing demand through feeder
transport (particularly intermediate means of transport), inter-connected infrastructure and inter-modal
links, convenient rural markets and improved information.

C.8.1   There should be a need to address mobility not just build and upgrade roads

The effort and response so far to the transport problem has concentrated on providing more physical
infrastructure. This presupposes that the traffic that might use it is already more or less queuing up to do so
and rural economies are ready to respond. Experience has shown, however, that the provision of
infrastructure does not automatically or rapidly lead to increased traffic nor even to shifts in the modal
composition of traffic, both of which depend on a number of other conditions being met. This is especially
true in Ethiopia where number of motorised vehicles are very limited and concentrate around Addis Ababa

With the launching of ERTTP, however, it has become appropriate to take a systems approach to the
analysis and planning of transportation, treating appropriate means of transport and transport services as
equal in importance to the infrastructure they require. A wide range of Intermediate Means of Transport
(IMT) can be used in Ethiopia, from pack animals and animal-drawn sledges to slow but relatively cheap
motorised vehicles. In Ethiopia the potential demand for IMTs is extensive. But owing to some factors
such as economic, technology, cultural, awareness, etc, this does not translate into an effective demand.

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Thus, studies of transport infrastructure need to incorporate the importance of local transport solutions,
with complementary transport services in addition to the conventional motorised type of vehicles. The
development of different transport operations and services should also be seen as an important element of
national transport strategies to create favourable polices and operating environment, enabling the private
sector, financial institutions and non-governmental organisations to take important roles in helping these

C.8.2    Promotion of Multi-Modal Rural Transport Systems

Efficient rural transport requires a multi-modal system based on intermediate means of transport and motor
vehicles. Lack of local transport increases risk, while constraining production, market efficiency, reliability
and the quality of rural life. Programmes should encourage vehicle diversity and actively promote
intermediate means of transport, including bicycles. Stakeholders need information on technology choices
appropriate to local conditions. The factors limiting the rural supply of intermediate means of transport
must be addressed. Incentives for adoption may be required, particularly credit for women and men. It is
necessary to prioritise and concentrate resources to ensure a sustainable „critical mass‟ of transport
technologies and support systems. Government ministries should consider tax incentives to reduce
transport costs (including bicycle costs). Existing credit programmes for agriculture and small industries
can be expanded to cover the supply and purchase of transport devices. Agriculture departments should
promote animal traction, power tillers and tractors.

C.8. 3 Enhancing the Role of the Private Sector

Creative competition in the transport sector should lead to improved quality and availability of transport
types and services. Governments (local and/or national) need to work with transport associations to
stimulate competition and avoid restrictive practices. Proactive user groups should be encouraged to
demand improved services. Governments should develop and implement appropriate safety and welfare
standards for the range of vehicles and operations. Governments and NGOs should aim to work with or
through the private sector in support of transport services. Private suppliers, operators or workshops should
not be marginalised through unfair competition with subsidised vehicles or services provided by
development programmes.

C.8. 4   Institutional strengthening and building local capacity

There is need to strengthen the capacity and understanding of all organisations involved in rural transport
planning, regulation and implementation, so that stakeholders are included, lessons learned and a
conducive environment for rural transport operations created. Politicians and the transport professionals
must be made aware of the need for complementary motorised services and intermediate means of
transport. Governments, supported by donors, should provide training and capacity building for local
experts in all sectors and at all levels in key issues including intermediate means of transport, participatory
processes and gender analysis. Positive images of complementary transport modes should be presented
through education and the media. Multidisciplinary, cross-sector participatory studies of user needs and
transport industry constraints should be jointly implemented and widely shared. Critical monitoring and
evaluation should be constructively encouraged and lessons learned. In this regard, ERTTP effort should
be strengthened and form Networks (transport forum groups) supported by all stakeholders, governments
and donors which enable sharing the lessons of national and international experiences.

C.8. 5 Provision of rural markets

There is a synergy between marketing and rural transport. An efficient transport system will promote an
efficient marketing system. Both are critical to rural development. Rural markets can be useful in
prompting efficient rural transport systems under two conditions:
             The markets are close enough to rural communities that intermediate means of transport
                can be used; and

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                Rural people can sell directly into these markets without the need to use middlemen such
                 as traders and wholesalers.

Towards this end, any development studies in Woredas need to consider the siting of facilities and
proximity of market places in relation to the settlement pattern of the area under consideration. In some
cases it may be appropriate to improve access to marketing facilities by constructing a new public market.

C.9     Checklist for Implementation of Selected Non-Transport Projects
As stated in Part I, Section III, the WIDP includes selected interventions (projects) in the various sectors of
the Woreda. The selected project could be further reviewed using the available technique or criteria in the
sector after they are appraised using IRAP, PRA, RRA or DAIP, etc. In the manual, the checklist presented
below is not comprehensive, but at least shows the major concerns to be considered before inclusion in
WIDP. The checklist presented below shows the general criteria and specific criteria for rural water
supply, irrigation scheme, education and health sectors.

C.9.1 General Criteria

The General criteria should be read together with those of each sector.
    Social Criteria
                This refers to the characteristics of the beneficiaries, their role in the project and how they
                will be affected by it.
                     Does the proposed project really respond to the need of the community?
                     What is the role of the community in designing, implementing and sustaining the
                     The geographical spread of projects in line with assessed needs of poor
                         communities in the area;
                     Ways in which the beneficiaries contribute to the long-term management of the
                     Extent and ways in which the project will have a positive impact on the position
                         of women in the community; and
                     Reasons why the project should contribute to the welfare of women at the
                         community level.

           Technical Criteria
                Assessment that the project is technically and operationally feasible;
                Assessment that the project is compatible with government policies and programmes;
                Assessment that the essential raw materials needed are locally available;
                Assessment that the form of construction and technology to be used are appropriate
                   for community utilisation and that the community can contribute to its maintenance;
                The project should not have a negative impact on the environment. When such
                   negative effects are anticipated but cannot be completely avoided, appropriate
                   accompanying measures should be taken to mitigate such effects.

           Economic & Financial Criteria
                Assessment that the other critical economic variables on which the effective utilisation
                  of the infrastructure depend are positive and compatible with the project goal;
                Assessment that the total cost of the project is in line with the assessed economic
                  benefits including an assessment of the likely effective life of the facilities being
                Assessment that the project is compatible with the broadest economic development
                  plans for the region and within the sector;
                Assurance that provision has been made for the costs of operations and equipment;
                Where applicable, assurance that provision has been made for staffing and other
                  recurrent costs relating to the proper use of the facility;

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                    Assurance that the beneficiaries will contribute in cash or in kind during
                     implementation and in the maintenance of the project completion, if necessary;
                    Assessment that the project uses labour-intensive techniques appropriately in terms of
                     the economic value and sustainability of the infrastructures;
                    The extents to which commitments by other organisations to provide recurrent costs
                     are being honoured;
                    Summary of external funding availability by source of funds and in currency of donor
                     agreements; and
                    Consolidated budget showing capital costs, recurrent costs and sources of financing.

           Institutional Criteria
             Assessment that beneficiaries are sufficiently motivated to guarantee their participation;
             Where appropriate and useful a committee will be formed at the community level to assist
                 in implementation and assume responsibility wholly or in part for the upkeep of the
             What is the long-term viability of the project? What organisation/s will take responsibility
                 for the running costs and maintenance; and
             The extent to which the communities have accepted and are carrying out responsibilities
                 for maintenance.
C.9.2 Social Infrastructure Projects

These are projects aimed at building and rehabilitating the social infrastructures such as schools, health
centres and stations, water supplies and sanitation.
         Is there a need for this project or does the target population have access to an alternative?
         Do the beneficiaries agree to contribute to the project?
         According to them, is the time table proposed for their participation (collection of materials,
            labour) realistically given all their other obligations, e.g. planting, harvesting, etc;
         What building materials are required? Are they available? What problems of supply and
            transport are likely? Are transport costs adequately reflected in the budget?
         Is there legal provision for use of the site for this purpose? Does the local authority accept
            responsibility for resolving any dispute arising from its allocation?
         Where appropriate and useful does the community agree to form a project committee to assist
            in implementation and take responsibility for management and maintenance of the
         What is the community contribution in cash or kind (materials and labour)?
         Will local materials be used wherever possible in construction?
         Will additional technical supervision be required? Of what kind? Is there an item in the budget
            for it?
         Will labour-intensive building techniques be used? and
         Has the community contribution been properly planned by those responsible?

C.9.3 Irrigation Scheme
           Verify that the project is located in areas suitable for irrigation;
           Verify that the water is sufficient for other purposes of the community needs;
           Verify the involvement of the community in the selection of the project;
           Has the proper study been carried out by the concerned woreda or regional experts;
           Compliance with the Ministry of Agriculture's (MOA) policies and planning at the regional
            and federal levels;
           Is the Regional Office support available to facilitate and provide the necessary organisation,
            coordination, and supervision?
           Verify the appropriateness of the technology selected, the means of water convergence
           Check on possible parallel requests from same or nearby facility and unplanned doubling of
           Verify that gender representation is adequate;

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          Verify that the project is a community priority;
          Verify the existence of an implementing agency or organisation with necessary equipment and
           capacity to carry out the proposed activity;
          What is the estimated project cost?
          What is the estimated value of the community contribution, the commitment of the community
           towards operation and maintenance of the project?
          Verify the sources of all proposed financing; and
          Verify the beneficiary household (families), landholding size, area to be cultivated,
           agricultural products, afforstation and yield per hectare.

C.9.4 Rural Water Supply

          Verify that the project is located in areas where lack of potable water is prevalent; (Key
           indicators are-time spent collecting water, distance travelled to collect water. Poor health
           status, poor water quality, unreliability of water supply, liters per Capita/day)
          Verify that gender representation is adequate;
          Have women been involved in project selection, sitting place identification and
          Are women involved in village water committees or other community organisations?
          Are the views of women in the community adequately represented?
          Verify that the project is a community priority;
           Which community members participated in formulating the project?
          Verify the existence of community organisations, water user committees or caretakers
           responsible for the implementation and up-keep of the project;
          Verify the involvement of the community during implementation;
          Verify the commitment of the community to the construction of the proposed project;
          Verify the possibility of getting water through the proposed project;
          Are quantities of available water adequate for the community?
          Verify the appropriateness of the technology selected;
          Have alternatives been assessed to ensure that the proposed scheme is the most appropriate?
          Verify the existence of an implementing agency or organisation with necessary equipment and
           capacity to carry out the proposed activity;
          Verify if the project will provide for protection of the water point;
           Is the scheme protected from contact with human and animal contaminants?
          Assess the need for training in relation to the proposed project;
           Does the community have prior experience with a similar scheme?
          Assess the impact of the project on the environment;
          Verify the sources of all proposed financing commitments;
          Verify how the community proposes to cover its operation and maintenance costs; and
          Verify the commitment of the community towards operation and maintenance of the water

C.9.5 Education and Health Infrastructure

          Has the community made a request for the school and or heath facility?
          Compliance with the Ministry of Education's (MOE) and Ministry of Health's (MOH) policies
           and planning at the regional and federal levels;
          Check on possible parallel requests from same or nearby facility and unplanned doubling of
          Commitments towards community contributions;
          What is the estimated project cost?
          What is the estimated value of the community contribution?
          Does the community approve of establishing the school / health facility at the proposed site?
          Ownership of proposed plot;
          Community's consensus on use of plot for educational / health purposes;

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          How is the community going to comply with the contribution criterion?
          Is the community aware of their input (labour or cash to purchase) at the different stages of
           construction? Is transport required and how is it arranged?. How does the construction time
           schedule suit their seasonal workload?
          Is there suitable and sufficient construction capacity to be found, and are they interested to
           undertake the work? and
          Is the Regional Office support available to facilitate and provide the necessary organisation,
           coordination, supervision, valuation and project management?

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D.1     Introduction
Monitoring and evaluation are an opportunity for a programme or project to examine how well it is
implementing its activities, to take stock of progress towards results, and to formulate lessons learned.
From the larger perspective, evaluations present an opportunity to determine if the programme strategies
are working, or are the most appropriate. Partnerships can be strengthened and communication channels
be opened if key stakeholders at all levels of the programme or project are involved in a participatory
evaluation process. Involvement starts with the design of the questions to be investigated, and continues
through information collection, analysis, and interpretation leading to the formulation of lessons learned.
It doesn‟t end until an action plan for future steps is formulated.

This guideline is intended as a tool for staff participating in RTTP to use in evaluating development
projects and programmes. The choice of the most appropriate evaluation approach largely depends on
the goal and objectives of the evaluation as well as on the availability of human and material resources
for the activity. The evaluation approach presented here is particularly relevant to process evaluations in
which the aim is to assess the programme implementation process. The evaluation methodology focuses
on the analysis of programme activities and strategies, which have been implemented and on the
development of “lessons learned” which can be applied in future projects.

The concept of a “participatory evaluation methodology,” used here, implies that programme
implementers are actively involved in all steps of the evaluation process. While participatory approaches
are currently very popular in development programmes, there is a belief that participation is effective
only when the aim of the participation is clear and when a process to structure and channel that
participation is clearly defined.
While the methodology presented here is oriented toward a structured and comprehensive evaluation of
an ongoing programme, many of the concepts and techniques can be used both in end-of-project
evaluations and in ongoing programme monitoring activities.

A series of caveats related to the use of the participatory methodology are also enumerated. Then a
discussion is provided on how community actors can be involved in monitoring and evaluating
community projects or programmes. Sometimes it is not recommended and appropriate that community
members be involved in the steps of participatory evaluation methodology presented in this guideline.
Alternative ways in which community members can participate in Monitoring and Evaluation (M&E)
activities are presented towards the end of this guideline. This includes discussion of Participatory
Reflection and Action (PRA) and Participatory Learning and Action (PLA) activities that can be used as
M&E tools. These alternative methods can be used either with or by communities themselves to
complement data collection and analysis carried out using the comprehensive steps of evaluation

D.2     Planning and Conducting a Participatory M&E
D.2.1 The Steps to Follow

In this section the steps to follow in planning and conducting a participatory evaluation are presented. The
participatory evaluation methodology proposed here consists of seven phases, each consisting of several

                 Phase I: Preplanning Meetings
                 Phase II: Evaluation planning workshop
                 Phase III: Fieldwork: Preparation, data collection and analysis
                 Phase IV: Workshop to formulate lessons learned
                 Phase V: Summarise evaluation results

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                 Phase VI: Development of an action plan
                 Phase VII: Finalisation and dissemination of the evaluation report

Although the steps in the methodology are presented as a sequence from l to 20, in some cases the
implementation of the steps resembles a spiral more than a straight line. For example, in Step 3 the
logistical planning, begins but it cannot be completed until Step 12 when the sample of interviewees is

Steps in Participatory and Stakeholder-driven Monitoring and Evaluation

Phase I: Preplanning meetings (Evaluation Coordinating Group)
   Step 1: Define evaluation goal & objectives
   Step 2: Identify Evaluation Team members
   Step 3: Plan logistical & administrative arrangements
   Step 4: Develop visual framework of the project
   Step 5: Orient evaluation planning workshop facilitators

Phase II: Evaluation planning (Workshop Evaluation Team)
   Step 6: Organise stakeholders into a working group
   Step 7: Define evaluation questions
   Step 8: Identify data collection sources and techniques
   Step 9: Develop data collection instruments
   Step l0: Finalise sample of data collection sites & interviewees

Phase III: Fieldwork: preparation, data collection & analysis (Fieldwork Team(s)
   Step 11: Prepare fieldwork teams: Data collection techniques and logistics
   Step 12: Conduct interviews & observations
   Step 13: Analyse information collected
   Step 14: Summarise fieldwork findings

Phase IV: Workshop to formulate lessons learned (Evaluation Team)
   Step 15: Formulate lessons learned for each evaluation question
   Step 16: Team assessment of the evaluation process

Phase V: Summarise evaluation results (Evaluation Coordinating Group)
   Step 17: Summarise evaluation findings & lessons learned

Phase VI: Development of an Action Plan (Key programme stakeholders)
   Step 18: Develop an action plan based on evaluation findings

Phase VII: Finalisation, dissemination & discussion of evaluation report
(Evaluation Coordinator & Evaluation Coordinating Group (ECG))
   Step 19: Write evaluation report
   Step 20: Distribute and discuss evaluation results with programme stakeholders

D.2.2 Who is Involved in the Evaluation Process?

There are a number of different individuals and groups who will be involved in the evaluation process. The
composition and the roles of each are summarised below.

           Evaluation Coordinating Group
            A small group (2-5 persons), which ensures the overall coordination of the evaluation from
            beginning to end. In Phase I they are responsible for all of the initial logistical and
            methodological planning. During Phase II they should assist with all logistical arrangements

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            and materials. During the fieldwork, Phase III, they serve as team coordinators for the data
            collection and analysis. In Phases IV-VI they should provide support when needed.

           Evaluation Team
            This refers to the entire group of programme stakeholders who are involved in Phase II to
            develop the evaluation methodology, and in Phase IV to study the evaluation findings and
            develop the lessons learned. The number of people in the team might be between 10 and 15
            depending on the scope of the work.

           Fieldwork Teams
            One or more teams of stakeholders who are responsible for collecting and analysing data
            collected during fieldwork interviews and observations. They are a sub-group of the
            Evaluation Team members.

           Fieldwork Team Leaders
            During Phase III, each Fieldwork team requires a strong team leader. If possible those chosen
            should have experience with qualitative data collection and analysis. Most importantly they
            should have strong facilitation and organisational skills to help team members carry out the
            fieldwork tasks in a timely and effective fashion.

           Evaluation Coordinator
            Someone who has experience in evaluation, in group dynamics and training, and in the
            technical content area/s of the programme to be evaluated. He/she designs and has primary
            responsibility for facilitating all steps in the evaluation process.

           Logistics and Materials Coordinator
            In order to plan and coordinate all aspects related to materials, transport, lodging, logistics,
            etc., a Logistics and Materials Coordinator is required. These tasks are a key to the success of
            the evaluation. They should not be the responsibility of the Evaluation Coordinator who needs
            to be able to focus all of his/her energies on the technical aspects of the work.

D.2.3 Phase I: Preplanning Meetings

In the first phase of the evaluation process, the evaluation coordinator meets with the project managers and
other persons who will be involved in the coordination of the entire evaluation activity. In a series of
meetings the ECG is responsible for defining and developing key elements related to the first five steps in
the evaluation process.

   Step l: Define evaluation goal and objectives
     The initial step in the evaluation process is to define the goal and objectives of the evaluation. It is
     important that the Evaluation Coordinator and the managers of the programme to be evaluated be
     involved in this task to ensure that the goal and objectives meet their expectations. One broad goal
     should be defined which reflects the overall aim of the evaluation. The wording of the goal should be
     concise and simple so that whoever reads it will clearly understand the main aim of the evaluation.

    The ECG should be responsible for defining the goal and objectives. Just because the evaluation is
    participatory does not mean that everyone needs to participate in everything.

   Step 2: Identify evaluation team members
    Determination of the composition of the evaluation team should be based first, upon the knowledge
    and skills required to plan and conduct the evaluation, and secondly, on the project/programme's staff
    development priorities. Four types of knowledge and skills should be represented on the team: l) in-
    depth experience with the programme to be evaluated; 2) experience with qualitative data collection
    methods; 3) team-building and group facilitation skills; 4) skills in planning and managing logistical

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   arrangements for field activities. Evaluation team members should include individuals who are
   involved at different levels of programme implementation. Members of the evaluation team should be
   chosen based either on what they can contribute to the process and/or on what they can learn from it.
Table 2nd Responsibilities of the Evaluation Team
 Step 3: Plan logistical and administrative arrangements
   The success of any evaluation depends, to a great extent, on advanced and careful logistical and
   administrative planning.

    For this reason, a Logistics and Materials Coordinator should be identified. However, it is important
    that the Evaluation Coordinator review the logistical plans made to ensure they are appropriate, given
    the methodological aspects of the evaluation defined by the ECG. For example, the Logistics
    Coordinator needs to be informed of the field visit activities in order to know: which nights will be
    spent by how many people at each site; and exactly what type of stationery supplies are required for
    data collection and analysis.

    Planning and supervising all of the logistical arrangements is time-consuming. As much as possible
    the programme manager should delegate these tasks to someone else so that he/she can focus on the
    methodological aspects of Phases I through VII. Once the logistics coordinator is identified, he/she
    should begin the logistical and administrative planning. The planning should progressively be
    completed by Step l0 when the fieldwork schedule is finalised.

    The logistical and administrative planning includes: preparation of a budget for all materials and
    fieldwork expenses; purchase of materials for the training, fieldwork, report writing and duplication;
    planning lodging and meals locations for the fieldwork period; arrangements for vehicles, drivers and
    petrol; administrative procedures to inform local government level authorities of the activity and to
    elicit their collaboration. The logistical coordinator may accompany one of the field teams during the
    fieldwork, and/or delegate this responsibility to one person on each of the other teams, to assure all
    logistical arrangements.

   Step 4: Develop visual framework of the programme/project
    The evaluation team members need to have a common understanding of the aspects or elements of the
    programme strategy to be examined in the evaluation. In this step, the ECG develops a visual project
    framework, usually in the form of a chart, which defines the scope of the evaluation such as the
    programme or project goal, objectives and activities included in the strategy. In addition, it should
    include the underlying concepts or assumptions adopted in the programme strategy such as
    “community management of project activities” or “participatory training methodologies.” The
    involvement of the programme managers in this task is of critical importance to ensure that the
    elements, which are either included or excluded from the framework, reflect programme managers‟

   Step 5: Orient evaluation planning workshop facilitators
    During the Evaluation Planning Workshop many of the sessions will require small group facilitators.
    Likewise, during the fieldwork period in Phase III each field team will require a team leader who has
    strong group facilitation skills. In most cases, the most likely persons to choose to both the facilitation
    workshop exercises and to lead the fieldwork teams will be members of the ECG.

D.2.4 Phase II: Evaluation Planning Workshop

The second phase in the participatory evaluation methodology consists of the “Evaluation Planning
Workshop”. All of the Evaluation Team members identified in Step 2 should participate in this workshop.
During the workshop the team members are first introduced to the basic concepts of participatory
programme evaluation and secondly, they actually develop key elements of the methodology, which will
be used in the evaluation. During the workshop Steps 6-10 should be addressed.

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The planning workshop must be carefully planned based upon clear workshop objectives. At least a week
before the workshop is to begin, the evaluation coordinator should draft a set of objectives that should be
discussed and revised as necessary with the programme manager and/or ECG.

The "Evaluation Planning Workshop objectives" is different from the "evaluation goal and objectives"
(developed in Step l). The objectives for the workshop define what needs to be accomplished during the

  Step 6: Organize project stakeholders into an effective team
   During the pre-planning phase, evaluation team members will be identified. Now they must come
   together as a team to carry out the different tasks associated with the evaluation. Teams of people do
   not automatically work effectively together. An initial step in Phase II is to begin to develop a sense of
   team membership and mission. At this stage, the evaluation coordinator is responsible for designing
   and facilitating a series of exercises, which can both orient participants to the participatory evaluation
   process and contribute to team building. An ongoing effort must be made, however, during the entire
   evaluation process to encourage a spirit of openness and collaboration between the team members.
Table 4: Schedule Evaluation Planning Workshop
   Participants should be introduced to the concept of participatory evaluation and to the role of each
   individual on the evaluation team. The rationale for the involvement of all levels of programme
   implementers in the evaluation process in terms of what they can both contribute and learn should be
   discussed. The notion of evaluation as a “learning process”, in which the contribution of all team
   members is important in generating lessons for future programmes, should also be stressed.

   Step 7: Define evaluation questions
    In this step, participants will begin developing their own evaluation plan based on the basic concepts
    of evaluation presented to them in Step 6. The task involves defining: What do you want to find out in
    the evaluation? The involvement of the project stakeholders in developing the evaluation questions is
    important for several reasons:
         Ensure that the evaluation responds to the concerns of programme managers and field staff;
         Develop a sense of ownership of the evaluation on the part of programme stakeholders; and
         Ensure that the evaluation coordinator has a clear understanding of the concerns and priorities
             of the programme manager, staff and counterparts for the evaluation.

   Step 8: Identify data collection sources and techniques
    For each of the evaluation questions defined in Step 7, the team must decide:
        a) As to whether quantitative and/or qualitative information is required.
        b) From whom or what source should the information be collected? and
        c) What data collection technique/s should be used?

        Those who have developed the evaluation questions should continue to work together because this
        task builds on the preceding step.

   Step 9: Develop data collection instruments
    Based on the evaluation questions and the choice of data collection techniques, team members will
    next develop the draft data collection instruments for the interviews and observations to be carried out.
    In this step, team members will continue to work in the same groups as in the preceding two steps. For
    each evaluation question, and for each category of persons from whom they have decided information
    should be collected, the teams develop one or more interview questions or observation elements.

   Step l0: Finalise sample of data collection sites and interviewees
    In this step, final decisions must be made regarding the data collection sites, the sample of persons
    who will be interviewed at each site and the schedule for the data collection by site. Due to the
    complexity of determining the data collection sample, this task should mainly be the responsibility of
    the ECG. Plans regarding the sample prepared by the coordinating group and their proposal for data

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    collection sites and interviewees should be presented to the evaluation team at this stage in the

D.2.5 Phase III: Fieldwork: Preparation, Data Collection and Analysis

Based upon the elements of the evaluation methodology developed in Phase II, the third phase consists of
preparing fieldwork teams to carry out the data collection and analysis in the field and to prepare a
summary of fieldwork findings. As explained earlier, probably not all evaluation team members will
participate in this phase unless the evaluation team is small. This phase includes steps 11 to 14.

   Step 11: Prepare fieldwork teams
    Prior to beginning the fieldwork, an essential step is the orientation of fieldwork team members. The
    orientation, which should last within a few days, should focus on several key topics: logistics for the
    fieldwork phase; roles and expectations of team leaders; roles and expectations of team members; in-
    depth interviewing skills; note-taking; and a brief discussion of how the analysis of the qualitative data
    will be done in the field. As regards data analysis, based on past experience, it is suggested that in
    most cases it is probably better not to try to explain the data analysis procedure to team members
    during the orientation session. It is preferable to orient the field team leaders to the data analysis
    procedure to be followed rather than trying to teach the field teams.

   Step l2: Conduct interviews and observations
    Once the orientation session is completed, the fieldwork phase of the evaluation can begin. It is
    important however, that the orientation be conducted immediately before the data collection phase so
    that those team members do not forget the skills they have learned.

   Step 13: Analyse information collected
    A critical step, as one can imagine, is analysing all of the information collected so that it can be
    summarised, understood and used. The data to be analysed will come from the information collected in
    the interviews and observations with community and organisational collaborators, from the secondary
    data sources and from evaluation team members‟ own experience with the programme being
    evaluated. In this discussion, the data collection (Step l2) and data analysis (Step l3) are presented as
    two separate steps in the evaluation process. In fact, the two steps should occur concurrently. The
    information collected should be analysed at the same day, by category of interviewees, for each of the
    interview questions. At the conclusion of the fieldwork phase, the conclusions of the daily analysis
    should be synthesised for each of the evaluation questions.

    It is important to point out that the data analysis is the most challenging in the entire evaluation
    process. In this regard, the choice of the evaluation coordinator is particularly important. This must be
    someone with considerable experience in qualitative data collection and data analysis.

   Step 14: Summarise fieldwork findings
    At the conclusion of the data collection phase, the findings from the different fieldwork teams must be
    summarised. For each evaluation question, the findings of each of the teams should be integrated into
    one set of evaluation findings. The team leaders in collaboration should carry out this task, if possible,
    with one member of each of the fieldwork teams. All of the fieldwork team members should not be
    involved in this task.

    In this step, for each evaluation question, the representatives of each of the fieldwork teams should
    present their team's findings and a comprehensive summary of the findings should be written. The
    summary statements should be concise and clearly worded so that they can easily be understood
    without referring back to the original evaluation questions. This approach will greatly facilitate the
    discussion of the findings by the all evaluation teams in Step 15. The findings for each of the
    evaluation questions should be typed up ideally alongside each of the evaluation questions. For Phase

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    IV, workshop copies of the complete set of findings should be prepared for each of the evaluation team

D.2.6 Phase IV: Workshop to formulate lessons learned

In most programme evaluations, external evaluators are responsible for formulating recommendations
based on the evaluation findings. In keeping with the concept of participatory evaluation, in this
methodology, Evaluation Team members are responsible for studying the evaluation findings and for
formulating recommendations. The team‟s involvement in this task is critical in terms of developing their
sense of ownership of the recommendations and their commitment to implementing them. In this phase,
the evaluation team can also formulate conclusions regarding the participatory methodology. This phase
has two steps (15 and 16).
Phase IV: Workshop to Formulate Lessons Learned
 Step 15: Formulate lessons learned for each evaluation question
    As stated earlier, the ultimate aim of the evaluation exercise is to develop lessons which can be applied
    in the future. In this step, Evaluation Team members discuss the Fieldwork Teams‟ findings and
    develop a set of lessons learned. The role of the Evaluation Coordinator, as in other phases of the
    process, is both to structure the task for the group and to actively contribute to the development of
    lessons based on insights from the fieldwork and on his/her own experience with other programmes.

   Step 16: Team assessment of the evaluation process
    In this step, all of the evaluation team members are asked to give their feedback on the evaluation
    process itself. This is an opportunity for all participants to develop conclusions regarding the
    participatory methodology itself. Given the innovative nature of the methodology, it is important that it
    is assessed and lessons formulated regarding its usefulness for the future. A simple tool and/or exercise
    can be developed for carrying out this assessment.

D.2.7 Phase V: Summarise evaluation results

   Step 17: Summarise evaluation findings and lessons learned
    The evaluation findings and lessons learned will probably be quite lengthy. Therefore, it is essential
    that a summary be prepared. The summary can be organised around the major elements in the
    programme framework. The Evaluation Coordinator in collaboration with one of the other ECG
    members can complete this task.

D.2.8 Phase VI: Development of an action plan

When an ongoing programme is evaluated, the lessons learned should be drawn up and integrated into the
programme implementation plan. Ideally, the development of a revised action plan, which incorporates the
lessons, should take place immediately after the evaluation. This task should be carried out by a relatively
small group, composed of the programme manager, one or more field staff members and the Evaluation

   Step 18: Develop an action plan based on evaluation findings
    In most evaluations, the last step in the evaluation process consists of the development of
    recommendations. In the case where the programme evaluated is ongoing, evaluation results should be
    integrated into the programme. Often, however, there is a lack of continuity between evaluation results
    and their use in programme planning. Sometimes when the incorporation of findings is left for “later”
    it never happens.

D.2.9 Phase VII: Finalisation, dissemination and discussion of the evaluation report

In this important last phase, which has two steps in the evaluation process, two important, but sometimes-
neglected steps are included.

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     Step 19: Write evaluation report
      An obvious, but not always completed step, is the preparation of the evaluation report. It is important
      that at the outset of the evaluation process (Phase I) responsibility for writing the report be assigned to
      one or more persons involved in the study and a date for completion be decided upon. This is
      frequently overlooked and can contribute to delays in finalising the report.

     Step 20: Distribute and discuss evaluation results with programme collaborators /
      An important aspect of any evaluation is that the findings be shared with all programme
      collaborators. It is critical that everyone involved in the programme not only be informed of
      important lessons learned, but also have the opportunity to discuss the results. In most cases, only a
      few copies of an evaluation report are produced and hence, it is distributed on a limited scale.
      Alternatives to the typical and limited approach should be explored and the ECG should develop a
      plan as to how the findings can be distributed and discussed with all key programme collaborators.
      Creative strategies for diffusing study results from the central to the community level should be

D.3       Methodology
Experience in various countries has shown that a number of the constraints associated with traditional
evaluation methods can be overcome through the use of the participatory methodology described in this
guideline. There are a number of key features of the methodology, which appear to contribute to its

             Involving Programme Stakeholders
              By involving programme stakeholders (information users and decision makers) in all phases of
              evaluation planning and implementation one can make the issue to be addressed properly, and
              a sense of ownership of evaluation results can be created on their part.

             Simple Data Collection Techniques
              Through the use of simple data collection and analysis techniques all programme staff can be
              actively involved and can develop basic data collection skills.

             Focus on Lessons Learned
              By focusing the evaluation exercise on developing the lessons learned from programme
              implementation, programme stakeholders can more openly analyse past problems and

             Strengthening Team Collaboration
              The involvement of different levels of project collaborators as evaluation team members can
              contribute to the development of more open relationships between them during the evaluation
              activity, which often continue beyond the evaluation exercise.

             Combining Outside and Inside Evaluators
              The outside evaluator brings objectivity, skills in data collection methods and in-group
              facilitation. He/she guides and supervises the process and participates as a team member. The
              insiders bring to the evaluation their intimate knowledge of the programme and their
              commitment to discovering how to improve their programme.

             Practical Recommendations for the Future
              Based on evaluation findings, team members develop concise and practical recommendations
              related to each of the programme components. The involvement of programme staff helps
              assure that the recommendations are realistic and feasible.

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           Revised Action Plan
            The evaluation does not end with the formulation of good recommendations. A last step in the
            process is the development of a revised programme action plan, which incorporates the lessons
            learned in the evaluation.

           Learning Experience for Programme Stakeholders
            Past evaluation team participants agree that involvement in the entire evaluation process
            increases both their understanding of programme components and dynamics and also their
            skills in programme evaluation.

           Learning Experience for Evaluation Coordinator
            Each participatory evaluation is a forum for the evaluation coordinator to explore alternative
            ways of structuring the evaluation process and of strengthening participant learning.

D.4     Involving Communities in M &E Activities
D.4.1 Why involve community members in evaluation activities?

There are several key reasons why it is important for communities to be involved in the evaluation of
community development programmes. First, their involvement should ensure that the subjective, or
insider, perspective of community members is reflected in evaluation findings and recommendations.

 Secondly, through involvement in M&E activities, community members can gradually develop
 responsibility and skills in this area. In any effort to strengthen community capacity to manage local
 community programmes, skills in M&E are an important component.

 Thirdly, evaluation activities can stimulate community learning on how to implement community
 programmes. Just as the involvement of programme implementers in evaluation activities can stimulate
 organisational learning, so community involvement in evaluating community programmes can stimulate
 community learning. Through evaluation activities communities can systematically analyse their
 experience with community programmes and develop lessons for the future.

 Community Involvement in Evaluation
      Ensures that communities' subjective perspective is reflected in evaluation findings;
      Develops M&E skills of community members; and
      Stimulates community learning related to implementation of community programmes.

D.4.2 What role do community members play in the participatory evaluation methodology?

In the seven-phase participatory evaluation methodology, the role of community members, as
interviewees, is very important although it is limited in scope. Through in-depth interviews, different
categories of community members are asked to give their opinions regarding:
         Strengths and weaknesses of programme activities;
         Roles played by community members and development workers;
         Lessons learned from carrying out past activities; and
         Suggestions on how to develop sustainable future community level activities.

In past participatory evaluations, this type of information, collected through interviews with community
members, has proved to be very valuable. Undoubtedly, in future evaluations, interviewing community
members will continue to be an important component. But beyond acting as interviewees, “How can
community members play a more active role in the monitoring and evaluation of RTTP projects?”

This chapter will first discuss the constraints to greater community involvement, in the evaluation
methodology presented in this guideline, and; secondly, it will describe alternative ways that communities
can be involved in M&E activities on an ongoing basis.

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Given the way the core participatory evaluation methodology is designed, there are four reasons why
sometimes, it is not feasible to involve community members to participate in this entire process.

   Time
       Let‟s assume that the seven-phase evaluation process takes between three and four weeks to
      complete. This is usually too much time for community members to be away from their community
      and family responsibilities.

   Requires literacy
    The evaluation process depends to a great extent on the ability of participants to read and write.
    Involving illiterate or low-literate people in this process would undoubtedly be quite frustrating for

   Intense analytical task
    The three to four-week evaluation process involves intense analytical work. Even some development
    workers can find the various tasks in the evaluation to be mentally quite fatiguing. It would not be
    realistic to expect community members, who are not used to being involved in extended periods of
    intense "brain work" to actively participate in the evaluation process.

   Scope of evaluation
    In the holistic approach proposed in the evaluation methodology all facets of programme
    implementation are examined, including administrative, logistical and managerial issues.

For these several reasons, it might not be advisable to try to involve community members as full partners
in the 20-step evaluation methodology. Rather, it would be suggested to consider alternative methods and
ways in which communities can be involved in M&E activities on a more ongoing basis. The discussion,
which follows deals with three issues related to community involvement in M&E:
              Who should be involved in M&E activities?
              When should community members be involved in M&E activities? and
              What methods can be used with and by community members in M&E activities?

D.4.3 Who should be involved in M&E activities?

In RTTP different categories of community members should be involved both in initial assessments and in
programme planning activities. Likewise, different groups of community stakeholders should be involved
in evaluating community level activities.

Depending on the activities to be evaluated, categories of community stakeholders who should be involved
in M&E activities might include:
        Formal community leaders;
        Informal community leaders (often these are women leaders);
        Men;
        Women;
        Youth; and
        Members of different gender groups and ethnic groups.

M&E activities should ensure that the voices of all groups within the community are heard.

D.4.4 When should community members be involved in M&E activities?

Community programmes should seek to involve community members in evaluation activities on an
ongoing basis. They can be involved:
        In baseline data collection;
        During programme implementation; and

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           When outside support for a project/programme comes to an end.

At each of these stages, different approaches can be used to involve community members in M&E

D.4.5 What approaches and methods can be used with and by community members in M&E

Participation of community members in M&E activities can take place in different ways. Four quite
different approaches could be used to involve community members in M&E activities. In each approach,
the amount of responsibility assumed by development workers and by community members varies.
Communities can participate in monitoring and evaluating community programmes in different ways.

   Community members as data collectors
    The most frequently used approach to involve communities in M&E is one in which development
    workers decide what information to collect. They design simple data collection tools and train
    community members how to use those tools.

    Usually, once community members have collected simple data, development workers are responsible
    for analysing it and formulating conclusions. In some cases community members analyse the
    information themselves and draw their own conclusions. In many cases, this type of community
    involvement is rather superficial and not particularly useful or meaningful to community members
    themselves. Although the community‟s role is quite limited in this approach, their participation in data
    collection does help programme implementers monitor community activities.

  Community members as interviewees
   A second approach to community participation in M&E is where outsiders interview community
   members in order to understand their opinions. This is done primarily through individual or group
   interviews, or discussions. Such interviewing can take place either at the beginning, during or at the
   end of project activities. Here are a few examples of how this approach can be used:
       o Group interviews are conducted with community women to get their feedback on project
            activities directly related to their need; and
       o Individual interviews are conducted with community leaders to assess their understanding and
            involvement in the project with respect to their area.
 Ta 6: Four Approaches to Involving and
 Communities analyse and draw conclusions using PRA and PLA tools
   A third approach involves the use of simple, visual tools by development workers with community
   groups to stimulate them to analyse their own situations, values, etc. These tools are referred to either
   as Participatory Reflection and Action (PR&A) or Participatory Learning and Action (PLA) methods.
   They are used to stimulate learning on the part of both community members and development workers.

    Objectives of PR&A and PLA tools
        To allow community members to express their perceptions, priorities, problems and plans for
           the future; and
        To allow community development workers to listen to and dialogue with community members
           in order to better understand their lives, perceptions, problems, priorities and plans for the

    PR&A/PLA tools are designed for various purposes and they can be used in M&E activities at
    different times: at the beginning of project implementation; during project implementation; and at the
    end. Compared with the second approach (above), the participation of community members is greater
    when PR&A/PLA tools are used. These tools require community members to take considerable
    responsibility for recording their own ideas, analysing them and drawing their own conclusions.

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    Some of the PR&A/PLA tools, which can be used with community groups to monitor and evaluate
    community level activities, are listed here below. Some of these can be used as pre-and post-data
    collection tools, before and after programme interventions have been carried out.
         Community mapping: to understand community perceptions of their environment, natural and
             human resources, problems and resources for dealing with them;
         Time line or pie chart of tasks and time use by gender: to understand women‟s and men‟s tasks
             and daily time use;
         Problem ranking: to understand how community members rank community problems in terms
             of frequency, severity, etc;
         Problem trees or causal diagrams: to understand communities‟ ideas about the causes and
             consequences of priority community problems;
         Role-plays and stories: to stimulate group analysis of sector/project under consideration
             situations and problems depicted in a short role-play or story; and
         Narrated observation walks: to understand how local inhabitants view both the resources and
             problems in their environment.

    The PR&A/PLA tools are useful, not only for collecting information and learning about community
    realities and ideas, but also for stimulating discussion of what action should be taken. An important
    final step in the use of the PRA and PLA tools is to discuss what actions communities themselves and
    development workers can take to deal with situations, problems or needs revealed through the

   Communities self-evaluate
    A last approach to community involvement in M&E is that in which communities define their own
    criteria for evaluating community activities and programmes and use these elements to carry out their
    own evaluations of community activities. Community groups can define criteria for evaluating
    different aspects of community programmes, such as:
          Effectiveness of group functioning;
          Accomplishment of planned goals and objectives;
          Effectiveness of leadership;
          Effectiveness of resource mobilisation; and
          Effectiveness of management of planned activities.

    In this approach, the long-term objective is for communities to be able to develop and conduct M&E
    activities on their own. At the outset, considerable support is required from development workers to
    help community members develop basic skills in M&E. Two examples of the types of criteria that
    communities could define themselves to evaluate community strategies and activities are described

    Kebele development committee (KDC): Development workers could ask committee members to define
    criteria for evaluating the effectiveness of their own committee. Without talking about "criteria" per se,
    committee members could be asked to define the characteristics of a "particular committee that
    functions well" and a "particular committee that does not function well." To determine how well their
    committee is functioning they could periodically meet to discuss the characteristics of their committee
    compared to their definitions of an effective and ineffective committee.

    Examples of community-defined criteria for evaluating the effectiveness of any project:
        Regular attendance at committee meetings;
        Carry out all agreed upon tasks; and
        Work cooperatively with other community members;

    Community development workers (CDW) Community members could be asked to define their
    expectations of the CDWs, i.e., what they expect them to do. They could decide themselves how they
    will assess the CDWs work and at what frequency.

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    Exercise with Community Group Example: Defining and Assessing Group Effectiveness.
       o Defining group effectiveness:
            A community group might decide that two key characteristics of “effective group functioning”
                  Participation in decision-making; and
                  Active involvement of all group members in carrying out planned activities

        o   Assessing group effectiveness:
            In order to assess “participation in decision-making,” members of a community group could
            rate their own effectiveness on a scale of one to five:
                  Never;
                  Occasionally;
                  Sometimes;
                  Most of the time; and
                  All the time;

        On a five-point scale, drawn either on the ground or on a piece of flipchart paper, each group
        member indicates his/her rating using either a small stone (put on the ground) or a marking pen
        (on the flipchart paper.) Once all members have recorded their opinions, the results of the
        assessment are discussed and the group decides how they can work together even more effectively
        in the future.

        If community leaders are provided with sufficient guidance and follow-up they can learn how to
        facilitate such evaluation exercises themselves.

   Conclusions and caveats related to community participation in M&E activities:
       o All projects/programmes should aim to gradually increase the ability of community leaders
           and members to develop and facilitate evaluation activities on their own;
       o As with participation in any aspect of programme implementation, greater involvement of
           community members in M&E requires greater skill development efforts and follow-up support
           from development workers;
       o The effectiveness of virtually all M&E activities, carried out either with or by communities,
           depends to a great extent, on the group facilitation skills of either the development workers or
           community members;
       o Programmes may have a series of different M&E activities dealing with different aspects of
           programme implementation and carried out at different times. Community members do not
           necessarily need to be involved in all evaluation activities;
       o Methods and tools developed for use with or by communities should be simple. At the same
           time they should stimulate in-depth analysis on the part of community members;
       o There are no precise recipes on how to develop M&E activities and use them with
           communities. Creativity and ongoing experimentation are required to develop approaches and
           tools, which are useful both to communities themselves and to programme implementers;
       o Prior to a comprehensive programme evaluation complementary evaluation activities can be
           designed for use with or by communities and the results of those activities can be fed into the
           larger programme evaluation effort; and
       o M&E methods and tools should generate information which not only contributes to
           organisational learning but which also promotes community learning.

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        INTO WIDP
E.1     Topics to be addressed in the Social Analysis
1. Clientele Group(s)
             Identify the population living within the area to be served by the project;
             Identify the subgroups within this population, which may have differing needs, demands
                and absorptive capacities (e.g., large, medium and small-scale farmers; share farmers and
                sharecroppers; landless rural labourers; fisher folks; traders; rural enterprise owners and
                employees, etc.); and
             Prepare a socio-economic profile for the population, which would be affected by a project
                component or subproject. The profile should provide information, which would identify
                differences in needs, demands and absorptive capacities of each subgroup. Among other
                aspects, the profile should describe and quantify the population of each subgroup,
                differentiated by gender; occupations, levels of assets and incomes; savings and
                indebtedness; levels of education and literacy; the number of households, household sizes,
                and the number of single-headed households. Are there ethnically or culturally distinct
                and/or isolated communities within the area?

2. Clientele Needs
             Determine the perceived needs of the subgroup(s) for improving food security and income;
             Examine strategies for employment creation, productivity increase, diversification, value
               adding, sustainable production, transport, storage and processing of agricultural products
               for discussion with client groups; and
             Assess whether the proposed integrated rural development project will enable them to
               obtain a more secure and improved livelihood.

3. Clientele Demands
             Assess the ability and willingness of the client subgroups to pay for project inputs and/or
               provide labour to improve their agri-based production systems (e.g., through the use of
               improved seed varieties, by accessing formal or informal credit for production purposes,
               local initiative to establish village-based or production-based organisations, etc.). Identify
               and examine efforts which have already been made by members of the community and
               examine the experiences of those involved and their perceptions of whether these efforts
               have been successful; and
             Determine what changes are proposed by the project and examine what these changes
               imply for clients' inputs to the systems, including labour, time, type and intensity; energy;
               sustainable use of land, water and forest resources; machinery; pesticides; fertilisers; seeds.
               Consider the implications for processing and marketing products.

4. Absorptive Capacity
            Establish whether the changes to be introduced under the project represent a radical change
              from existing practices (e.g., from nomadic pastoralism or slash-and-burn agriculture to
              intensive, sedentary farming systems). Determine whether such changes have been
              successfully accomplished in similar communities elsewhere;
            Determine if there are alternative, less risky, forms of assistance to client groups building
              on the existing systems;
            Determine, through consultation, the subgroup's understanding of, and attitudes to, the
              changes expected;
            Determine whether these groups have been given information, which will help them to
              fully understand the magnitude of the change expected, and the resulting costs, benefits,
              risks and obligations;
            Determine appropriate mechanisms for training and disseminating information about new

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                technologies for both literate and non-literate people, and through different languages (e.g,
                about livestock care, horticulture, etc.);
               Determine whether the proposed selection of crops and/or production technologies and
                prediction of future market demands give sufficient security to justify farmer investments.
                Determine whether adaptive research, in close collaboration with farmers, to try
                innovations prior to their widespread introduction, is needed;
               Determine the existence of local organisations, e.g, farmers' associations. Do they
                adequately represent the different sub-groups? Assess their strength and management
                experience, financial record and capacity to support integrated rural development services
                (e.g, farm credit, tree crop plantations, etc.);
               Determine whether formal and informal religious leaders support the project; if support is
                not evident, determine possible reasons for, and implications of, their lack of support;
               If credit assistance is being considered, assess the extent to which persons in the
                community have used credit and have experience in repaying credit;
               Assess socio-cultural beliefs and practices, which may limit likely acceptance (e.g.,
                resistance to changes in cropping patterns due to ritual significance of certain crops,
                resistance to individually based credit systems which cut across kin group land ownership,
                kin responsibilities, mutual help traditions); and
               Determine how these factors could be accommodated in the project design.

5. Gender Issues
            Assess the relative roles and division of labour between men and women in the total
              agricultural production system, household food security, household or small-scale
              agricultural processing and marketing, off-farm employment and community work in
              different client subgroups;
            Determine how the project will change these roles;
            Assess the relative access to resources of men and women, e.g, credit, equipment, land,
              water and forests, research, training opportunities;
            Identify constraints faced by women in gaining access to resources, including time,
              financial, literacy, asset ownership, and cultural or religious constraints; and
            Identify whether major decisions, which may influence the adoption of technologies or
              practices, are made by women, men or jointly by women and men. Assess the implication
              of this decision-making framework on the mechanisms that are to be used to communicate
              project-related information to the community.

6. Potential Adverse Impacts
            Identify group(s), which may be disadvantaged by the project. For example, through
               relocation, loss of rights to use land, loss of income, loss of cultural properties (e.g.,
               ancestral land, burial ground, etc.);
            Prepare a socio-economic profile for each vulnerable group, which will quantitatively
               describe and quantify the impact of the project on the affected group;
            Identify, assess and discuss options for avoiding mitigating or compensating groups, which
               may be adversely affected; and
            As soon as possible, provide as much information as possible to these communities about
               the project; conduct dialogues with the communities that may potentially be adversely
               affected; and report on these dialogues and conclusions, which may be reached during the

E.2     Topics to be addressed in Project Design
1. Targeting
                Determine whether there are groups of persons who are not in the targeted clientele group
                 but may wish to co-opt services which are not intended for them, and identify this group;
                Identify the possible methods or opportunities, which persons in this group might exploit
                 to co-opt these services, and assess the extent to which they might be able to do so; and

Ethiopian Roads Authority, ERTTP                         Planning, Monitoring & Evaluation Manual

                If the preceding analysis shows that there is a likelihood that persons who are not in the
                 target group would be motivated and be able to co-opt services provided under the project,
                 propose targeting and monitoring mechanisms which would ensure that the services are
                 provided to the target group.

2. Participatory Development Processes
             Facilitate discussions between client subgroups and executing agencies to give the clients
                a meaningful input to project design (e.g., in the selection of appropriate farming
                technologies, location of subprojects, in identifying the necessary extension services, in
                identifying and approving the layout of canals for irrigation subprojects, etc.); and
             Identify mechanisms for the participation of the client subgroups during planning,
                implementation and operation (e.g., consultative mechanisms between government and
                communities; training of extension staff in client-centered approaches; roles for local
                leaders; use of formal and traditional information channels in different languages and for
                different literacy levels; collaboration with farmers in adaptive research trials and
                monitoring of project effectiveness; development of new client organisations or
                strengthening of existing ones to serve different subgroups; provision of training for local
                groups in management, financial and technical skills, etc.).

3. Delivery Mechanisms
             Assess the capability of the executing agency to deliver services to the target groups in
               ways which are commensurate with the group's ability to use them. Consider the mandate
               and commitment of its leadership to poverty reduction objectives and participatory
               approaches; available resources, including number of staff who are able to work with the
               target forest/watershed occupants; management systems and procedures conducive to
               poverty reduction and participation; and relevant experience in participatory approaches;
             Assess any political constraints or tensions, which may interrupt the flow of benefits; and
               the extension staff acceptability, coverage and effectiveness to target subgroups;
             Determine if there are any policy constraints, which may hinder effective project
               implementation (e.g, agricultural subsidies, agricultural trade restrictions, rural banking
               policies, new land development/environmental conservation, inter-agency coordination,
             Formulate appropriate recommendations and initiate dialogues with concerned agencies or
               groups and/or assess how these policy constraints can be considered more creatively in
               project design;
             Assess training needs of executing agency staff;
             Formulate a training plan, which reflects the needs and priorities of staff members, train
               staff in the social dimensions, especially in client-centered approaches, in working with
               NGOs, private sector and local groups; and
             Assess the need for NGOs to assist as intermediaries with these group(s), define the roles,
               which the NGOs may perform and identify criteria for selecting NGOs or other
               intermediaries, which may be involved.

4. Benefits of Monitoring and Evaluation
             Identify a few indicators of the achievement of the project output(s), purpose(s) and
                goal(s) for each component, which would be incorporated into the Project Targets column
                of the project framework table;
             Assess existing management information systems (MISs) in terms of their adequacy to
                assist the management of the executing agency to verify that services are being provided
                to the target group, that loans, if any, are repaid and benefits are being obtained by the
                clients, and recommend improvements as required; and
             Specify indicators to monitor and evaluate the delivery and distribution of benefits to the
                target groups identified; and to identify adjustments required during implementation to
                meet the needs of groups more effectively.

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

F.1    Local/Public Opinion
                Do survey results indicate a need for the project?
                Have local elected officials or members of WDC indicated a need for the project? and
                Have residents in the Kebele or Woreda indicated a need for the project?

F.2    Feasibility and Cost
                Are the project's benefits reasonably balanced with the costs?
                Does the project appear to have a high cost (require acquisition of large amounts of right-
                 of-way, has high construction costs for covering rough terrain, involve one or more
                 bridges, etc.)?
                Is the project already identified by the WTTP?
                Can the project be broken down into smaller, more feasible projects? and
                Would the project be more appropriately funded with national ERTTP funds as opposed to
                 Woreda funds?

F.3    Accountability
                Is the project cost-effective for national funds (would the amount of public spending
                 justify the benefits of the project)? and
                Does the project benefit the maximum number of people for a minimum cost?

F.4    Economic Development
                Does the project encourage localised economic growth?
                Is the project necessary to service local or regional business and industry? and
                Will the project increase access to jobs?

F.5    Maintenance
                Does the project serve to improve or maintain an existing facility rather than to build a
                 new facility?
                Does the project address a maintenance deficiency in the current transportation system?
                Will the project be difficult to maintain in the future? and
                Is the project located in Woreda that has planning and zoning regulations to handle
                 subsequent developments encouraged by the project?

F.6    Connectivity
                Does the project decrease travel time between destinations?
                Does the project provide a significant connection between transportation facilities or
                 communities? and
                Does the project provide an important or missing link in an existing facility or bring a
                 portion of the facility up to the same standard as the remainder of the facility?

F.7    Environment
                Does the project have an overall positive or negative impact on the natural environment?
                Does the project threaten important natural areas, (endangered species, wildlife, park or
                 conservation areas, etc.) or environmentally sensitive areas (wetlands, floodplains, etc.)?
                Does the project increase protection from natural hazards?

Ethiopian Roads Authority, ERTTP                         Planning, Monitoring & Evaluation Manual

G.1     Gender as a Tool for Analysis
Gender means the different and interrelated roles, responsibilities and opportunities of women and men,
which are culturally specific and socially constructed and can change overtime inter alias as a result of
policy interventions. Gender has crucial implications for the achievement of all development objectives.

The concept of gender can be used to analyse the roles, the responsibilities and the opportunities of women
and men in a given context, focusing on their differences and their synergies, as well as the conflicts.
Gender concerns not only the specific roles of women, but also the specific roles of men, and the
interaction between women‟s and men‟s roles.

Gender analysis also takes into account other differences within a population, since “women” and “men”
are not homogeneous groups: age, ethnicity, caste, socio-economic status, religion, etc. event differences.

An analysis of the socio-economic and gender characteristics of the people concerned by a development
intervention is a pre-condition for a complete analysis of the problems to be addressed, which is an
important guarantee of the quality of a Woreda development intervention. A gender analysis also allows
the identification and integration of the dynamics of change in a given situation, as well as the monitoring
of the evolution, particularly in relation to the reduction or increase in disparities between women and

Mainstreaming gender in the development process in Ethiopia was brought in focus with the adoption of
National policy on the Ethiopian Women, in 1993.

G.2 The Gender and Development Approach
Development interventions are concerned with change, with bringing about improvements for all the
people and actors concerned.

In most of donors‟ Guidelines redressing existing gender disparities is a crucial issue in development in
terms of aid effectiveness and social justice, as women and as indispensable partners as men in achieving
the objectives for development co-operation. According to the European Council Resolution of December
1995 the principles of the gender and development approach are stated as follows:
             Integration of gender analysis at macro, meso and micro levels, throughout the project
                 cycle: identification, formulation, implementation, monitoring and evaluation;
             Equality of participation by women and men in the development process and equality in
                 terms of the benefits obtained; and
             Reduction of gender disparities is a social priority.

Thus, the equitable and thorough integration of the roles, needs and interests of women and men into the
WIDP, design and implementation of the same is a guarantee of its relevance, feasibility and sustainability.
For this purpose:
          Analysis of the differences and disparities between women and men is a key criterion for the
            assessment of the objectives and results of development policy interventions;
          Development co-operation should encourage and support changes in the attitudes, structures
            and procedures in relation to policy and legislation, and at both community and household
            levels, to reduce inequalities between women and men;
          Political power-sharing and full and equal participation in decision-making must be promoted
            at all levels;
          Economic empowerment and equal access to and control over economic resources must be
            strengthened; and
          Equal access to and control over social development opportunities must be fostered.

Ethiopian Roads Authority, ERTTP                              Planning, Monitoring & Evaluation Manual

                                                     GENDER ANALYSIS

The following checklist on gender issues helps for analysing the proper development intervention.


 Productive tasks and responsibilities: agricultural, livestock, non-agricultural, industry, services, formal and
   informal sectors, etc..
 Social tasks and responsibilities: food, water, family care, education, health, etc.,
 Community tasks and responsibilities: births, funerals, marriages, and maintenance of public spaces; and
 Calendar of activities, indicating the demands on women and men and potential bottlenecks in relation to
   additional work burdens required by development projects (e.g. increased participation of women in decision-
   making or in production)

     Land, labour, capital (credit) …
     Equipment, inputs, information, training…
     Benefits: products of activities (foodstuffs, crafts, wood), money…


    a) At household level:
           O Production: types of crops, livestock, products, inputs, credit, processing, marketing, formal
           O Domestic and reproduction: number of children, contraception, education of girls and boys, health
           O Management of the family budget: separation M/F, or joint?

    b) At community level:
           O Community management: village committee, council of elders…;
           O Social-community obligations: visitors, funerals, marriages, improvement and maintenance of
           O Tasks to be undertaken by particular groups, division of tasks in mixed groups; and
           O Rights and possibilities to organise (associations, groups).

    Widowed, divorced, abandoned or unmarried women;
    Immigrant women; and
    Women as sole managers of farms or livestock production.

    Demographic change: migratory movements, changes in family structure, transfer of responsibility
    Economical, political, cultural change…
    Legislative, institutional change…

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

G.3     Integration of the Gender Approach Into PCM
Integrating gender aspects into project cycle management (PCM) creates a synergy, which guarantees the
quality of development interventions in terms of relevance, feasibility and sustainability. The quality of the
analysis of the beneficiaries and actors concerned and, consequently, of their problems determines the
quality of the intervention formulated. Integrating gender aspects fully into project formulation ensures
interventions, which are:
              More relevant, because they respond to the problems expressed by different categories of
                 people within the target population and not to the problems expressed by, or relating to, a
                 minority of the target population, who are in general men in a situation of power (local
                 leaders, owners of farms and businesses, managers, planners…), thus excluding other
                 categories who represent the majority: women, young people, marginalized groups, etc.
                 (greater social equality);
              More feasible, because they openly support and enable the participation of different
                 categories of the target population, at the various levels: (improved effectiveness of
                 development cooperation)
                      Beneficiaries, men and women;
                      Users of services, men and women;
                      Development actors;
                      Professionals, women and men; and
                      Who become partners in the development intervention?
              More sustainable, because the situation will be improved for all the target population and
                 not just for particular groups, thus ensuring the commitment and motivation of all the
                 people concerned to maintaining the services and improvements delivered by the
                 intervention. The equitable sharing of the benefits at different levels (economic,
                 organisational, technological, knowledge and know-how) is also a necessary condition for
                 future partnerships between the people concerned and development agencies.

G.4     Analysis of Stakeholders: A Crucial Component of PCM
Identifying the various people and institutions concerned by a development intervention, and
understanding their roles, resources, needs, interests and problems are crucial steps in project formulation.
Who are these various "stakeholders"? What types of information should be collected about them?

G.5     Importance of the Project Purpose: Sustained Benefits for Beneficiaries
PCM stresses the importance of a beneficiary focus. Following the analysis of the situation, which includes
that of the beneficiary groups, both women and men (their roles, access to and control over resources, their
needs and interests, their problems), the design of an intervention starts from identification and agreement
of the purpose of the intervention. The purpose is the reason why the beneficiaries, women and men need
the project, and expresses the sustained benefits that they will receive as a result of the project activities
and outputs.

G.6     Addressing Gender to Project Objectives: the Importance of Indicators
Since the beneficiaries of any intervention are not homogeneous, how can their different needs and
interests be expressed in the project objectives? This is where indicators are crucially important. Indicators
express and quantify the improvements to be achieved during a certain period of time. They detail in what
specific way (the quality), to what extent (quantity) and for which group of people (target population),
improvements will be achieved during a specified period of time (duration).
                     Defining indicators

                 1. Define the objective (e.g. improved health of women, men and children)
                 2. Determine the quality (the specific variable), including the target
                 3. Determine the quantity, e.g. reduction of children mortality from x% to y%
                 4. Determine the duration, e.g. reduction of child mortality from x% to y% by
Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

The project purpose may or may not express the specific and different benefits to be obtained by female
and male beneficiaries. However, the indicators should, wherever possible and appropriate, express the
improvements obtained by both females and males. Only by providing sex-disaggregated indicators is it
possible to check that interventions will deliver equitable benefits (crucial for effectiveness and
sustainability) and that the measures (activities and means) to be taken will adequately deliver these

Sex-disaggregated indicators for the project results (the services to be delivered to which target groups,
women and men) and, where relevant, for the activities (particularly concerning the participation of
women and men in project activities) are vital to ensure the effectiveness and efficiency of the
intervention, and for monitoring and evaluation.

G.7     Appraising Project Proposals for Quality, Including Gender
Appraisal of project proposals is an important task in the management of the initial phases of the project
cycle. Appraisal of the preliminary proposal enables elaboration of the Terms of Reference for the
feasibility study. The resulting project proposals need to be appraised to ensure that the interventions are
relevant, feasible and sustainable, and integrate adequate attention to gender aspects.

G.8 Some Gender Issues to be considered in Roads Infrastructure Projects (Impact
Assessment and Design)
                Extraction of road-making materials (will this affect women's and/ or men's subsistence /
                 productive activities through impact on drainage and erosion? Will water supplies be
                 affected? What measures will be taken to deal with any negative effects?)
                To what extent will women's and men's travel time (associated with productive,
                 reproductive and community roles) be reduced?
                How will women's and men's mobility and access (in relation to their different needs and
                 roles) be improved? e.g. access to services, markets, and employment opportunities?
                What impact will the improved access have on urban-rural migration of women and men?
                 What impact on the incidence of HIV and Sexually Transmitted Diseases (during road
                 rehabilitation, as a result of increased transport)? What measures can be taken to reduce
                 incidence of HIV and STDs?
                What changes are likely in terms of flow of goods in and out, shortages and price
                 differentials of basic commodities? And in terms of local markets, and the roles/income of
                 women and men? Positive or negative?
                Employment of men and women in the road rehabilitation, and in the subsequent road
                 maintenance activities. What is the current participation of women and men? What
                 measures can be considered to improve women's participation, including skills, pay,
                 remuneration and promotion prospects? and
                What measures can be taken to improve travel safety?

Another factor that contributes to the unequal distribution in transportation is that the majority of the trips
are made to fulfil subsistence and social needs (collecting firewood, water health care for the children,
etc.). Again tradition and culture mean that these tasks are the responsibility of women.

Gender issues to be considered are:
            How is the „labour‟ at household level divided: who is responsible for what?
            What is the difference between men and women in access to services, credit, land,
                extension, etc.?
            What is the decision making power of women in the village? and
            What are the effects of social, cultural and legal rules and regulations on the rights of
                women as opposed to men with regard to empowerment and self-development?

Ethiopian Roads Authority, ERTTP                      Planning, Monitoring & Evaluation Manual

Gender impact, being a crucial factor in rural access, should be given the appropriate attention.
Incorporation of gender related factors in M&E must lead to more effective improvements of the IRAP

As a summary and guide the following should be assessed and rated:

       In the planning phase:
             Are women involved in decision taking and priority setting? and
             How do identified problem areas affect women, men, and children?
       During implementation
             Are the women involved in the implementation of projects? and
             Is the implementation affecting women/men positively/negatively in terms of labour
                participation or social changes?
       After implementation
             Does the project have the anticipated expect on women/men? and
             Are women/men satisfied about the project's effect?

Ethiopian Roads Authority, ERTTP                       Planning, Monitoring & Evaluation Manual

                                   List of Documents Consulted
Access and Income Generating Activities, Issue Paper I, Ministry of Communications, Transport,
Post & Construction, Rural Development Committee Project LAO/95/001, April 1998.

A Guide to Integrated Rural Accessibility Planning in Malawi, International Labour Organisation, Advisory
Support Information Services and Training (ASIST), June 2000.

Amendments of Guidelines for Management of Rural Water Supply Systems, Oromiya Regional State,
Water, Mineral & Energy Resources Development Bureau, Finfine, March 2000.

Archondo, Rodrigo Callao, Roads Economic Decision Model (RED) User Manual, Version 1.0, The World
Bank, June 1999.

Braithwaite, Mary, Project Cycle Management and Gender Training Workshop, Royal Tropical Institute
(KIT), European Commission, Addis Ababa, March 1999.

Brasser Madeleine and Donnges Chris, T3 Training Modules on Project Development Ministry of
Communication, Transport, Post and Construction, Rural Development Committee, ILO.

Carucci Volli, Betru Nedessa & Arega Yirga, Guidelines for the preparation of Community-Based and
Integrated Land Rehabilitation Plan (Local Level Participatory Planning Approach)      Manual for
Development Agents, WFP & MOA Addis Ababa, September 1999.

Community Participation in Road Maintenance Guidelines for Planners and Engineers I.T Transport LTd.,
Department for International Development Research Scheme Number: R6476, January 2001.

Community Participation in Rural Infrastructure Development, Issue Paper No4, Ministry of
Communications, Transport, Post and Construction, Rural Development Committee, Vientiane, Feb

“Constitution of the Federal Democratic Republic of Ethiopia”, Proclamation No. 1 1995, Negarit Gazetta,
Addis Ababa, 21 August 1995.

Delcanda , “Project Appraisal Manual”, Development and Implementation of a Road Monitoring and
Evaluation System, Planning & Programming Division, Ethiopian Transport Construction Authority, March

Donnges, Chris, Guideline on Integrated Rural Accessibility Planning, Issue Paper 2, Project LAO /
95 / 001 Laos October 1998.

Donnges, Chris, T 1Training Modules on Data Collection and Mapping, Ministry of Communication,
Transport, Post and Construction, Rural Development Committee, ILO.

Donnges, Chris, T 2 Training Modules on Data Analysis, Ministry of Communication, Transport, Post and
Construction, Rural Development Committee, ILO.

Duangsa, Dusit (Dr.) Principles for a Proposed Participatory Rural Appraisal Model and Implications for
Practice, Chiangmai University, Vietnam.

Draft Methodology for Preparation of Regional Five-Year Plans for Development. Peace and Democracy
(EFY 1993-1997), Regional Planning & Dev’t., Ministry of Economic Development and Cooperation,
Addis Ababa, 15 June 2000.

Dunn, Tony “Rapid Rural Appraisal: A description of the methodology and its application in teaching and
Research" Charles Sturt University, Rural Society, January 1997.

Economist Guide, Appraisal of Investments in Improved Rural Access, Department for International
Development, Scott Wilson, August 2001.

Ethiopian Roads Authority, ERTTP                        Planning, Monitoring & Evaluation Manual

 Edmonds Geoff, Donnges Chris and Palcaro Nori , Planning for People's needs: Guidelines on
 Integrated Rural Accessibility Planning, Manila, January 1994.
 Ethiopia: Development Framework and Plan of Action 2001-2010, Presentation of GEDRE on the 3 UN
 conference on LDC’s Brussels, 2001; Ministry of Economic Development and Cooperation, Addis Ababa,
 December 2000.

Ethiopia, Interim Poverty Reduction Strategy Paper 2000/01-2002/3, Ministry of Finance and National
Bank of Ethiopia, , Ethiopia, Addis Ababa, November 2000.

Ethiopia Woreda Study (Draft) World Bank Country Office in Ethiopia, Country Department 6, Africa
Region, Addis Ababa, November 2001.
“EPRDF Concludes 2 Regular Conference, Adopts Decisions”, The Ethiopian Herald, Vol. LVIII No. 095,
Addis Ababa , Saturday, 29 December 2001.

EPRDF’s Five Year Prpgramme of Development, Peace and Democracy Evaluation of Prpgramme
Execution & The Second EPRDF Five-Year Programme of Development, Peace and Democracy,
(Amharic version), Ethiopia, Addis Ababa, August 2000.

“Guidelines for the Preparation, Implementation, and Monitoring of Annual Project Plans of Action”. 1994 –
1999 FDRE/UNICEF Country Programme of Cooperation, GOE & UNICEF, Addis Ababa, April 1998.

Health and Health Related Indicators, Federal Democratic Republic of Ethiopia, Ministry of Health,
Planning & Programming Department, Addis Ababa 1992 E.C.

“Household Level Socio-Economic Survey Covering All Administrative Zones/woredas of the Benshangul-
Gumuz Region, Federal Democratic Republic of Ethiopia” Sustainable Agriculture & Environmental
Rehabilitation Programme (SAERP) The Woreda Agriculture and Rural Dev’t Integrated Services
(WARDIS), UNECA; UNDP/UNECA/SAERP/ WA             RDIS project No. ETH94/001/01/99, Addis Ababa,
August 1997.

Howe , John, How to Rank Investment Opportunities, Integrated Rural Accessibility          Planning
(IRAP), Expert Groups Meeting, Bangladesh, Dhaka, , 26-27, Oct 1997.

Howe, John, Rural Roads in Sub - Saharan Africa - A Status Review - Draft 2.

Integrated Rural Accessibility Planning, Accessibility Action Plan, Siem Reap
Province, Version 1, Feb 2001.

IRAP Empowering Local Government Units in Development Planning, Innovations, International Labour
Organisation & Department of Internal and Local Government of Philippines, Special Issue, 1997.

Issue Paper , Third United Nations Conference on the Least Developed Countries, LDC III, Infrastructure
Development Session, Brussels, May 19 , 2001.

Lebo Jerry & Schelling Dieter, Design & Appraisal of Rural Transport Infrastructure, Ensuring Basic
Access for Rural Communities, World Bank Technical Paper No. 496, World Bank, Washington D.C.,

Malawi PAPiSL, Sustainable Livelihoods, United Nations Development Programme

Maramba Petironella & Bamberger, Monitoring and Evaluation System for Rural Travel & Transport
Programmes in Africa: A Gender Responsive, Africa Gender and Rural Transport Initiative.

Master Plan of Operations for Basic Services for Children & Women, 1994 -1999 Country Programme of
Cooperation between the Government of Ethiopia and UNICEF, GOE & UNICEF, Addis Ababa, November

Monitoring and Evaluation, Peasant Agricultural Development Programme, Ministry of Agriculture,

Ethiopian Roads Authority, ERTTP                        Planning, Monitoring & Evaluation Manual

Monitoring Procedures for Externally Funded Projects/Programmes, Ministry of Economic Development &
Cooperation, Addis Ababa, October 1997.

National / Regional Self Government Establishment, Proclamation No. 7/1992, Negarit Gazetta , Addis
Ababa, 14 January 1992.

Njenga, Peter and Nalo, S O David , Involving Local Institutions and People in the Planning
Process, Integrated Rural Accessibility Planning (IRAP), Expert Groups Meeting, Dhaka,
Bangladesh, 26-27, Oct 1997.

Operational manual, The Ethiopian Social Rehabilitation and Development Fund, Addis Ababa, June 1996.

“1994 F/Y Approved Capital Budget by Major Sectors” MEDaC, Information and Conference Services,
Addis Ababa , Vol. 6 No. 1 July 2000.

Palanca T. Nori, Integrated Rural Accessibility Planning, Practical Limitations and Problem, The
Philippine's Experience, Integrated Rural Accessibility Plan (IRAP), Expert Groups Meeting,
Bangladesh, Dhaka, 26-27, Oct 1997.

Participatory Monitoring & Evaluation, Learning from Changes: Institutes of Development Studies,
Issue No. 12 , Policy Briefing, Sussex, Nov 1998.

Participatory Rural Appraisal (PRA), Participatory research for Suitable Livelihoods: A Guide for field
projects on adaptive strategies, http: //iisd.ca/ casl/ CASL Guide/ PRA.htm.

Planning for People's needs: Rural Accessibility Mapping, Issue Paper No 3, ILO/ DILG, Manila,
December 1993.

Planning for People's needs: Rural Accessibility Planning and the Accessibility Data Base, Issue
Paper No 2 ILO / DILG, Manila, October 1993.

Planning for People's needs: Rural Accessibility Planning and the use of Accessibility Indicators,
Issue Paper No 1, ILO/DILG, Manila., July 1993,

Pokharel, K. Radish & Balla, K. Mohan, Participatory Rural Appraisal Collaborative Decision Making:
Community Based Method, The World Bank Participation Source Book, Appendix 1: Methods and Tools.

Powers and Duties of the Central and Regional Executive Organs of the Transitional Government of
Ethiopia, Proclamation No. 41/1992, Negarit Gazetta, Addis Ababa, 20 January 1993.

Prennushi G., Rubio G., and Subbaraok., Monitoring and Evaluation, Draft for comments, April 2001.

Priority Ranking Criteria for Regional Roads Investment Projects in the Amhara National Regional State
(Region-3) “A Policy Framework Analysis” Ethiopian Roads Authority in cooperation with German agency
for Technical Cooperation (GTZ), March 2000.

Programme Action Plan for the Health Sector Development Programme, The FDRE, Ministry of Health,
Addis Ababa, October 1998.

Rapid Rural Appraisal (RRA), Participatory research for Suitable Livelihoods: A Guide for field projects on
adaptive strategies, http: //iisd.ca/ casl/ CASL Guide/ Rapid Rural Appraisal.htm.

Revolutionary Democracy, Development Framework & Strategies (Draft Amharic version), EPRDF, Addis
Ababa, August 2000.

Rural Road and Transport Strategy Programme Document (Draft), Federal Democratic Republic of
Ethiopia, Ethiopian Roads Authority, Addis Ababa, June 1999.

Rural Road and Transport Strategy, Ethiopia, Draft Final Report, Federal Democratic Republic of Ethiopia,
Ethiopian Roads Authority, Addis Ababa, June 1999.

Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

Rural Roads Planning, Issue Paper 3, Ministry of Communications, Transport, Post and Construction,
Rural Development Committee, Project LAO/95/001 “IRAP” Vientiane LAO, November 1998.

Rural Road Travel & Transport Strategy & Programme (Draft-Amharic Version), FDRE Ethiopian Roads
Authority, Addis Ababa, December 2001.

Second Educational Sector Development Programme, FDRE, Ministry of Education, Addis Ababa.

Starkey Paul, Ellis Simon, Hive John & Tarnell Anna, Improving Rural Mobility: Options for developing
motorised and non-motorised transport in rural areas, World Bank Technical Paper, Revised version July

Study of Irish Aid Road Projects, Ethiopia, Lesotho, Tanzania & Uganda, Irish Aid Evaluation Report,
November 1998.

Tikare S., Youssef D., Donnelly-Roark P. and Shah P., Organising Participatory Processes in the PRSP,
Draft for Comments, April 2001.

Village Level Travel and Transport Study in Ethiopia , Final Report, I.T. Transport Limited , Ethiopian
Roads Authority, September 1999.

Ethiopian Roads Authority, ERTTP       Planning, Monitoring & Evaluation Manual


Ethiopian Roads Authority, ERTTP                           Planning, Monitoring & Evaluation Manual

                                             ANNEX I


The purpose of this tool is to assist the Woreda to decide what information to gather or access in
order to arrive at a clear, descriptive summary of the area, the local government institution and
the external factors that affect the Woreda, without undertaking a time-consuming data collection

Method for the analyst

Structure the information assembled by preparing the appropriate headings. Describe the current
reality by responding to the questions posed and issues highlighted under each heading.

Draw on existing status quo reports and own knowledge of the area. Where actual statistics are
not readily available, provide estimates if possible. Instead of undertaking time-consuming
surveys or data collection exercises, interview a few key personnel within the Woreda and draw
on existing material from the various departments. Concentrate on the way in which the
information can best be presented in a simple, clear and graphic or map form.

Suggestions regarding the methods of presentation that can be used for different types of current
reality information are provided. As a starting point, prepare one general base map of the area.
Make a number of copies of the base map onto which symbols can be added, shading and features
and use different headings and keys to indicate what the map is illustrating.

Draw on the local knowledge of the participants at the target group meetings and local authority
level meetings to add to the description of the current reality, which has been formulated by local
authority staff member/s.

The issues listed below can be used as the main headings for the current reality presentation. Use
the questions and pointers to assist in summarising the current reality under each of the main
headings. They should trigger thoughts and act as a checklist but the analyst can move beyond
them and mention any other special characteristics of the area, which are not covered by the
questions or suggestions. If the question is not relevant for the area do not include it in the current
reality information.

Keep the information simple and use plain language. If possible use supporting methods to
convey information. For example, use maps when explaining the extent and physical
characteristics of the area, organ grams when discussing the local authority‟s human resource
base, pie charts when explaining financial statements. This will enable to present the information
clearly to stakeholders. It should be broad and descriptive, not detailed and quantitative. Provide
percentages and proportions rather than actual statistics.

Level, Powers and Functions
What powers do the local government have? Do they have executive decision-making powers or
do they make recommendations to another decision-making body?

Ethiopian Roads Authority, ERTTP                           Planning, Monitoring & Evaluation Manual

Political decision-making structures
Describe the decision-making structure of the local authority (e.g. number of councillors, various
committees and sub-committees).

Administration, Departmental structures and human resources
Where are important administrative boundaries, main towns, co-operatives, kebeles, villages and
settlement areas?

What is the total area under their jurisdiction in square kilometers?
If applicable, how is the area divided up for easier administration (e.g. kebele / village or areas)?

Describe the various departments within their local government body (e.g. economic/ social
department). How many officials are employed in these departments? Are there various levels of
administration? What are they? How are these levels of administration linked? Are the
institutional structures effective or ineffective?

Institutional service provision capacity
For which of their responsibilities do they have the capacity to carry out functions effectively?
For which functions is there insufficient capacity?

Financial situation
Broadly, what is the income and expenditure of the local authority? Describe the broad categories
of expenditure. What are the sources of income of the local authority?

Physical features and resources
What important natural features (e.g. mountains, rivers) or resources (e.g. minerals, marine
resources, arable land) are found in the area? Where are they located in the Woreda? State about
the climate of the Woreda.

What features have significant conservation or recreational value (e.g. wetlands, lakes, dams,
rivers, mountains, unique vegetation areas)? What features exist which have potential for
productive use (e.g. fish production, irrigation, tourism, mining)?

Are there areas with gradients that make them unsuitable for development? Which areas have
soils with high susceptibility to erosion or with poor stability? Do significant flood hazards or
storm water problems exist? Identify areas with high water tables or with poor drainage if they
exist. What environmentally sensitive areas are there in the area?

Demographic Profile
What is the population of the Woreda/kebele/village and number of households? Do population
statistics provided by the Central Statistical Authority and their sense of actual population figures
gained from working in the area differ?

What is the population growth rate? Is this growth due to natural increase or due to an influx of
people into their area from other areas? If so, how long is it likely to continue? What is the
population age profile of the area? Are there predominantly old or young people?

What are the major ethnic groups living in the Woreda? Is there a predominance of males or
females in the area? If so, which gender is in the majority and by how much?

Ethiopian Roads Authority, ERTTP                         Planning, Monitoring & Evaluation Manual

What is the population distribution in the area? Describe, or indicate on a map, areas of high
population density, for instance, (>150 persons per ha), medium population density (30 - 150
persons per ha) or low population density (< 30 persons per ha). Where does crowding occur?

Social profile
What are the literacy levels of the community? Estimate the percentage of illiterate people.

Is the Woreda food deficit/surplus? Give an indication of the percentages of people in the
different income categories, for example, < 300 per month, 300-600 per month, 600-1000 per
month and above 1000-1500 per month, etc. Mention any outstanding characteristics of the
income profile of the area.

Are there specific groupings within the community with welfare needs, which are not being met
(e.g. pensioners, children, youth)? What areas are these groups located in?

Where are social facilities such as?

                Schools (No. and location of elementary school, junior secondary school,
                 secondary school, enrollment, no of teachers,);
                Health facilities (No. of health stations, health post, clinics, professionals and
                 other medical staff);
                Market (main market locations, market days, major commodity traded, shops
                 (kiosks), Tea and local drink shops, Do men and women go to market?);
                Water points (number and location of hand pump, protected wells) ; and
                Grinding mills (location, number).

Indicate any poorly served areas and what type of services they require. Indicate any particular
needs for social facilities, which are not being met.

Local economy
What economic sectors is the area dependent on (e.g. agriculture, livestock, forestry, mining,
industry, service, tourism sectors)? Give an indication of how much each of these sectors
contributes to the local economy. Is the economy growing or declining? Give general indicators
of growth or decline in the sectors mentioned above.

What small business ventures are being undertaken, if any? Number of cottage industries,
employees, etc. What is the daily unskilled labour rate? Briefly describe any significant informal
sector economic activities occurring in the area.

Land issues
Of the total land area (mention this again in square kilometres) what percentage is already
developed? What percentage of the total area is available for future development? Is there a
shortage of land?

What percentage of the land is set aside for other specific uses (e.g. conservation, open spaces)?
What percentage of the land is arable farmland? Of this what percentage is used as extensive
farmland and what percentage is used for small holdings? Has the percentage of land used for
agriculture diminished or increased in the past five years? How many farmers are there? Land
holding limit, number of development agents, major crops. Agricultural products, area under
irrigation, livestock development and forest area.

What pressures, if any, are there on agricultural land (e.g. for urban expansion, for housing, for
Ethiopian Roads Authority, ERTTP                          Planning, Monitoring & Evaluation Manual

industry)? How many houses have been built in the past two years?

Infrastructure services
What are the major transport routes or facilities (roads, water transport, railways, and airports) in
the area? Are any facilities planned? What is the dominant mode of travel and transport?

Is the transport system in the area effective? What indicates its effectiveness or ineffectiveness?
State the rate/type of service provided for passenger and cargo transport service and the means

Are there any significant traffic-related problems such as traffic congestion, pedestrian-vehicle
conflict, dangerous traffic conditions, noise or pollution within the area? What percentage of the
population relies on private transport? Is the public transport system adequate? Is the freight
transport service adequate? At what rate? How many vehicles are stationed in the Woreda?
Annual traffic if available? What problems are there with it, if any?

What percentage of the household own intermediate means of transport? Who has access to own
IMT (Male/Female)? Is there cart? Specify the type and the number. How much does a donkey
cost? Is there a donkey for hire, at what rate? Time spent on walking to market place or other
service, distance traveled. Number and owners of motorcycles, bicycles, vehicle.

What is the total length of all weather, rural road, and trail? Specify the main road location in the
Woreda, road density per sq. km., density per population, availability and price of fuel.

What percentage of households is not electrified (dependent on coal/kerosene or wood)? State
also water availability.

Local institutions and cultural resources
What local institutions exist in the area (NGOs, parastatals, research institutions)? What kind of
contribution does they, or could they potentially, make to the area?

Mention any sites of cultural, historical, or archaeological significance in the Woreda

External environment
What federal and regional development initiatives occur in area? What impacts do these have on
the area? Mention positive and/or negative impacts. In what ways do they assist with, or hinder,
the development of the area?


The aim of the SWOT analysis is to define the internal Strengths and Weaknesses and the
external Opportunities and Threats after the necessary information is collected using the Woreda
Information Checklist. It is a method of analysis derived from strategic planning.

The planners have now completed the current reality, and identified the development issues. The
next step in the visioning process is to classify each of the development issues as a Strength or
Weakness, Opportunity or Threat preparing the table, which is called a SWOT matrix.

Strengths and weaknesses are internal issues reflecting the existing situation (i.e. internal to the
Ethiopian Roads Authority, ERTTP                           Planning, Monitoring & Evaluation Manual

area and to the local government body). Strengths are those issues that can be classified as
positive internal factors that the kebele/Woreda would like to build on. Weaknesses can be
classified as negative internal issues that the Woreda need to overcome.

Opportunities and threats are external issues (i.e. external to the local authority institution and to
the geographic area). Opportunities are those issues that the Woreda can classify as positive
external factors that the community would like to exploit. Threats can be classified as negative
external issues that the community needs to limit.

Participants should be given the chance to add any additional strengths, weaknesses, opportunities
and threats that they may have thought about since the issues identification exercise.

A single, consolidated SWOT matrix - agreed to by the plenary - must be produced. All
participants will need a copy of this.

        To determine the strengths ask questions like:
        What are the advantages of the area?
        What do we do well in the area?
        To determine the weaknesses ask questions like:
        What in the area can be improved?
        What are the things that the community experience negatively?
        What are the things the community should avoid?
        To determine opportunities ask questions like:
        What are good opportunities facing the community?
        What trends can the community take advantage of?
        To determine threats ask questions like:
        What obstacles do the communities face in their area?
        What is threatening the quality of life in the area?

Then the community agrees on a clear and descriptive summary of the area. It is important to
remember that the SWOT Analysis during this phase of the planning process relates to the larger
area of the local government body and to all the people and institutions within it. Only during the
implementation phase will they assess the strong parts, weak parts, opportunities and threats of
their local government body as an institution.

The SWOT analysis should be carried out in such a way that it represents the views of the many
different interest groups of the broader community. The different interest groups should be
allowed to engage independently in the exercise.

SWOT type of analysis has the advantages of being simple and non-technical, and of wide
applicability so that many people can use it for a wide range of issues. It provides useful headings
of informal evaluation of a situation, and leads into the formulation of strategy to take advantage
of the strengths and opportunities while dealing with the weakness and threats.

Ethiopian Roads Authority, ERTTP                   Planning, Monitoring & Evaluation Manual

                                                                                 Annex 2

Kebele Level Questionnaire

1. Name of Kebele : _____________________________
2. Key Informants : _____________________________
3. Name                    Title/Position

4. Data collected by ________________________ Date: _________________
5. Total population ____________ Male _________ Female ___________
   Below the age of 18 _______ Male _________ Female ___________
   Total household: _________ Male Headed ______ Female Headed ______

6. Agriculture
   - Area under cultivation
   - Area under forest
   - Area under irrigation
   - Number of farmers
   - Average landholding (hectare)
   - Livestock development
   - Area set aside for other specific uses (conservation, open space)
   - Agricultural products

7. Drinking water supply
   - Borehole _______, Protected shallow well _______, Lake/River _______,
      Pipe supplied ______
   - Average travel time single trip to collect water in dry season ________
   - Average travel time single trip to collect water in wet season _______
   - Means of transport used to collect water _______

8. Sanitation situation
   - Number of HH having pit latrines ________
   - Number of HH using flash water toilets ______

9. Health facilities
   - Number of available facilities - Hospital _____, Health post _____, Clinic _____
   - Average travel time to these facilities
   - Means of transport used to go to health facilities

10.    Education
   -    Number of schools - Primary _____, Junior ______, Secondary _______
   -    Average travel time to these facilities _________
   -    Means of transport used to go to these facilities ________

Ethiopian Roads Authority, ERTTP                     Planning, Monitoring & Evaluation Manual

                                                                                   Annex 2
11 Grinding Mills
   - Number of grinding mills ______
   - Average travel time to these facilities _______
   - Means of transport used to go these facilities _____

12. Business establishment - state the number (carpenter, smith, mason, welder etc.)

13. Employment - specify the number of households (farming, fishing, livestock,
      handicraft etc....)

14. Market
     - Number of markets _____
     - Average travel time to the market _______
     - Means of transport used to go to the market _____

15. Fuel and Energy
     - Type of fuel and energy used (firewood, charcoal, gas)
     - Source of fuel and energy used
     - Average travel time to collect fuel and energy
     - Means of transport used to collect fuel and energy

16. State the travel time, frequency of visit/months and means of transport used to:
    Woreda Council : _________ ________              ________
    Police               _________ ________          ________
    Church/Mosque : _________ ________               ________
    Other               : _________ ________         ________

17. Infrastructure inventory
    Main link road _______ km
    Rural Road _______ km (all weather) ______ km (dry season)
    Trail           _______ km

18. State the available type of transport service Bus, Truck,

19. Mark the greatest problem (1), second greatest problem (2) and third greatest
      problem (3)

      - drinking water, health service, education, cooking fuel, markets, farm land,
        grinding mills, public transport service, farm inputs, road network, credit etc.

20. Remarks

Ethiopian Roads Authority, ERTTP               Planning, Monitoring & Evaluation Manual

                                                                                                                   Annex 3

       Annual project Work Calendar

       Budget Year _________________

                        Project/Item                      First    Second                     Third   Fourth   Remark

                       Prepared by: _________________          Approved by: ____________________

Ethiopian Roads Authority, ERTTP                      Planning, Monitoring & Evaluation Manual

                                                                                                                           Annex 4

       _______________ Budget year Physical Action Plan

       Project Title ________________

Major Activities                             Unit   project       Annual      First        Second    Third     Fourth    Remaining
                                                    Plan          Plan        Quarter      Quarter   Quarter   Quarter   Activities

                       Prepared by: _________________                 Approved by: ____________________

                       Signature: ______________                       Signature: ______________

                       Date        : ______________                   Date       : ______________

                                                          Official Stamp

Ethiopian Roads Authority, ERTTP                 Planning, Monitoring & Evaluation Manual

                                                                                                                           Annex 5

       ________ Budget Year Financial Action Plan

       Project Title ___________________

                                                                                                                     In '000 Birr
                              Total                               Quarters
         Major Activities     Project   Annual      First    Second    Third            Fourth     Project Funds             Remark
                              Plan      Plan

                   Prepared by: _________________                                Approved by: ____________________

                   Signature: ______________                                     Signature: ______________

                   Date      : ______________                                    Date       : ______________

                                                             Official Stamp

Ethiopian Roads Authority, ERTTP                        Planning, Monitoring & Evaluation Manual

                                                                                      Annex 6

                                   BASIC PROJECT DATA SHEET

       1.   Project Title ______________________
       2.   Location : Region _______ Zone ________ Woreda ______ Kebele ______
       3.   Summary Description ____________________________________________
       4.   Objectives ____________________________________________________
       5.   Sector _______________________
            Road type ____________________
            Bridge _______________________

       6. Executing Agency _______________
       7. Implementing Agency ____________
       8. Project cost:
                     Source     ____________
                     Government ____________
                     Region    _____________
                     NGO       _____________
                     Community _____________
                     Donor     _____________
                     Total    _____________

       9. Completion Date
             9.1 Original           ____________
             9.2 Revised           _____________

       10. Project Benefits ______________________
             No. of beneficiaries _________________

    Prepared by : ________________                      Prepared by : _______________
    Signature : ________________                        Signature : _______________
    Date        : ________________                      Date        : _______________

                                       Official Stamp

   Ethiopian Roads Authority, ERTTP                      Planning, Monitoring & Evaluation Manual

                                                                                                                                     Annex 7

                                                                                                    Budget year _____ Reporting Quarter _____

                                                      Quarterly Physical Implementation Report

             Project Title ___________________

                                                                                         Actual up to            Problem            Remarks (Solutions
Major                                                                     Plan for       the                     Encountered and    Undertaken)
Activities              Unit          Plan   Actual                %      the Year       Reporting      %        Actions needed

             Note:- Sufficient explanations should be given item by item for discrepancies in each activity using separate sheet

                    Prepared by: _________________                                Approved by: ____________________

                    Signature   : _________________                               Signature: ______________________

                    Date        : _________________                               Date        : ______________________

                                                                 Official Stamp

   AWS/ARDCO j.v.
Ethiopian Roads Authority, ERTTP                       Planning, Monitoring & Evaluation Manual

                                                                                                                                          Annex 8

                                                                                                     Budget year _____ Reporting Quarter _____

                                                      Quarterly Financial Implementation Report

       Project Title ___________________

                                                                                                                                   In '000 Birr
                         Government                   NGOs                      Community                  Plan for       upto the
Major Activities         Plan    Actual         %     Plan      Actual     %    Plan  Actual         %     the Year      Reporting %            Remarks

       Note:- Sufficient explanations should be given item by item for discrepancies in each activity using separate sheet

             Prepared by: _________________                                     Approved by: ____________________

             Signature : _________________                                      Signature: ______________________

             Date       : _________________                                     Date      : ______________________

                                                          Official Stamp

Ethiopian Roads Authority, ERTTP                       Planning, Monitoring & Evaluation Manual

                                                                                                                                      Annex 9

                                                                                                                             Budget Year _____

                                                        Annual Physical Implementation Report

       Project Title ___________________

                                                                     Plan for          Actual upto         Problems Encountered    Remarks
Major Activities              Unit      Plan       Actual     %      the Year          Reporting     %     and Actions Needed      (Solutions
                                                                                       Period                                      Undertaken)

       Note:- Sufficient explanations should be given item by item for discrepancies in each activity using separate sheet

                       Prepared by: _________________                           Approved by: ____________________

                       Signature : _________________                            Signature: ______________________

                       Date        : _________________                          Date       : ______________________

                                                                       Official Stamp

Ethiopian Roads Authority, ERTTP                       Planning, Monitoring & Evaluation Manual

                                                                                                                                        Annex 10

                                                                                                                               Budget year _____

                                                       Annual Financial Implementation Report

       Project Title ___________________

                                                                                                                                 In '000 Birr
                                                                                                                             Actual upto
                                   Government                     NGO's                     Community           Plan for     the
         Major Activities     Plan     Actual %          Plan      Actual      %       Plan    Actual     %     the Year     Reporting      %   Remarks

       Note:- Sufficient explanations should be given item by item for discrepancies in each activity using separate sheet

         Prepared by: _________________                                         Approved by: ____________________

         Signature : _________________                                          Signature: ______________________

         Date       : _________________                                         Date       : ______________________

                                                           Official Stamp

Ethiopian Roads Authority, ERTTP                   Planning, Monitoring & Evaluation Manual

                                                                                   Annex 11

                                  Implementation Problems/Issues

         Project Title ___________________

            Problems/Issues by                      Proposed                Decision Taken
                 Category                            Action
      1. Category A (Regional
   Type of Problem
   Description of Problem

      2. Category B (Woreda
   Type of Problem
   Description of Problem

      3. Category C (Kebele
   Type of Problem
   Description of Problem

Note:-   In the case of problems/issues that need urgent decision, they should be
         communicated immediately to the higher level without waiting for regular reporting

         Prepared by: _________________               Approved by: ____________________

         Signature : _________________                Signature   : ______________________

         Date      : _________________                Date        : ______________________

                                             Official Stamp

 AWS / ARDCO jv,                                                                             9

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