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METHODOLOGY FOR PROJECT FORMULATION AND APPRAISAL PRESENTED BY:- ROHAN GUPTA, PRIYA BANSAL, SHARAD JAIN
WHAT IS A PROJECT? <ul><li>A PROJECT IS A SCHEME FOR INVESTING RESOURCES WHICH CAN BE ANALYZED AND APPRAISED REASONABLY IN...
FORMULATION OF A PROJECT  ! <ul><li>MUST BE FROM A PLAN FORMULATED AT THE APEX LEVEL. </li></ul><ul><li>MUST ADOPT A BALAN...
WHAT DO YOU MEAN BY PROJECT CYCLE? <ul><li>VARIOUS STAGES OF INFORMATION GATHERING AND DECISION MAKING BETWEEN PROJECT’S I...
STEP  1 : IDENTIFICATION OF A PROJECT <ul><li>SHOULD BE AN INTEGRAL FUNCTION OF THE PLANNING PROCESS. </li></ul><ul><li>PR...
STEP  2 : PREPARATION OF PROJECT BRIEF <ul><li>DESCRIBING ITS OBJECTIVES </li></ul><ul><li>IDENTIFYING PRINCIPAL ISSUES </...
STEP  3 : APPRAISAL <ul><li>CULMINATION OF THE PREPARATORY WORK, </li></ul><ul><li>PROVIDES A COMPREHENSIVE REVIEW OF THE ...
STEP  4 : IMPLEMENTATION AND MONITORING <ul><li>IMPLEMENTATION - ORGANIZATIONAL STUDIES, TRAINING OF STAFF </li></ul><ul><...
STEP  5 : EVALUATION <ul><li>HELPS IN ASSESSING THE ACHIEVEMENT OF THE OBJECTIVES OF THE PROJECT. </li></ul><ul><li>EFFECT...
PREPARATION OF PROJECT AND APPRAISAL - 1 <ul><li>Five Stages </li></ul><ul><ul><li>1 – Feasibility Studies </li></ul></ul>...
PREPARATION OF PROJECT AND APPRAISAL - 2 <ul><ul><li>3 – Options for Development </li></ul></ul><ul><ul><ul><li>Advantages...
PREPARATION OF PROJECT AND APPRAISAL - 3 <ul><ul><li>5 – Implementation </li></ul></ul><ul><ul><li>First Phase to be imple...
EXAMPLE  - PROJECT FORMULATION AND APPRAISAL FOR A GROUP HOUSING <ul><li>STAGE 1: FEASIBILITY STUDIES </li></ul><ul><li>a)...
<ul><li>STAGE 1: FEASIBILITY STUDIES </li></ul><ul><li>c) Assessing initial site development options </li></ul><ul><ul><li...
STAGE 2: DETAILED STUDIES <ul><li>a) Survey of the Target Population and its Housing Needs </li></ul><ul><ul><li>Economic ...
STAGE 2: DETAILED STUDIES <ul><li>c) Survey and analysis of existing site development </li></ul><ul><ul><li>Existing housi...
STAGE 3: DEVELOPING PROJECT OPTIONS <ul><li>a)Formulating site development options </li></ul><ul><ul><li>Housing layout an...
STAGE 4: DETAILED SITE DEVELOPMENT <ul><li>a)Designing site development </li></ul><ul><ul><li>Housing layouts </li></ul></...
STAGE 4: DETAILED SITE DEVELOPMENT <ul><ul><li>Financial Framework </li></ul></ul><ul><ul><ul><li>Refinement of earlier wo...
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Methodology For Formulation And Appraisal of a Project

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Methodology For Formulation And Appraisal of a Project

  1. 1. METHODOLOGY FOR PROJECT FORMULATION AND APPRAISAL PRESENTED BY:- ROHAN GUPTA, PRIYA BANSAL, SHARAD JAIN
  2. 2. WHAT IS A PROJECT? <ul><li>A PROJECT IS A SCHEME FOR INVESTING RESOURCES WHICH CAN BE ANALYZED AND APPRAISED REASONABLY INDEPENDENTLY. </li></ul>
  3. 3. FORMULATION OF A PROJECT ! <ul><li>MUST BE FROM A PLAN FORMULATED AT THE APEX LEVEL. </li></ul><ul><li>MUST ADOPT A BALANCED APPROACH – COMBINING ACCELERATED GROWTH WITH DIRECT ATTACK ON POVERTY. </li></ul><ul><li>CONSISTS OF COMPREHENSIVE PROGRAMS AIMED AT </li></ul><ul><ul><li>GROWTH, </li></ul></ul><ul><ul><li>PROVISION OF BASIC SERVICES AND </li></ul></ul><ul><ul><li>IMPROVEMENT OF INCOME DISTRIBUTION. </li></ul></ul>
  4. 4. WHAT DO YOU MEAN BY PROJECT CYCLE? <ul><li>VARIOUS STAGES OF INFORMATION GATHERING AND DECISION MAKING BETWEEN PROJECT’S INCEPTION AND COMPLETION. </li></ul><ul><li>THESE ARE: </li></ul><ul><ul><li>IDENTIFICATION </li></ul></ul><ul><ul><li>PREPARATION OF PROJECT BRIEF </li></ul></ul><ul><ul><li>APPRAISAL </li></ul></ul><ul><ul><ul><li>TECHNICAL </li></ul></ul></ul><ul><ul><ul><li>INSTITUTIONAL </li></ul></ul></ul><ul><ul><ul><li>ECONOMICS </li></ul></ul></ul><ul><ul><ul><li>FINANCIAL </li></ul></ul></ul><ul><ul><li>IMPLEMENTATION AND MONITORING </li></ul></ul><ul><ul><li>EVALUATION </li></ul></ul>
  5. 5. STEP 1 : IDENTIFICATION OF A PROJECT <ul><li>SHOULD BE AN INTEGRAL FUNCTION OF THE PLANNING PROCESS. </li></ul><ul><li>PROJECT MUST MEET A ‘PRIMA FACIE’ TEST OF FEASIBILITY – THAT TECHNICAL AND INSTITUTIONAL SOLUTIONS ARE LIKELY TO BE FOUND AT COSTS COMMENSURATE WITH EXPECTED BENEFITS </li></ul>
  6. 6. STEP 2 : PREPARATION OF PROJECT BRIEF <ul><li>DESCRIBING ITS OBJECTIVES </li></ul><ul><li>IDENTIFYING PRINCIPAL ISSUES </li></ul><ul><li>ESTABLISHING TIME TABLE </li></ul><ul><li>STUDY OF FULL RANGE OF TECHNICAL, INSTITUTIONAL, ECONOMIC AND FINANCIAL CONDITIONS, COMPARING COSTS AND BENEFITS OF THE ALTERNATIVES IDENTIFIED </li></ul>
  7. 7. STEP 3 : APPRAISAL <ul><li>CULMINATION OF THE PREPARATORY WORK, </li></ul><ul><li>PROVIDES A COMPREHENSIVE REVIEW OF THE ALL ASPECTS OF THE PROJECT AND LAYS THE FOUNDATION FOR IMPLEMENTING THE PROJECT AND EVALUATING IT WHEN COMPLETED. </li></ul><ul><li>THE FACTORS FOR WHICH APPRAISAL NEEDS TO BE CARRIED OUT ARE: </li></ul><ul><ul><li>TECHNICAL </li></ul></ul><ul><ul><li>INSTITUTIONAL </li></ul></ul><ul><ul><li>ECONOMICS </li></ul></ul><ul><ul><li>FINANCIAL </li></ul></ul>
  8. 8. STEP 4 : IMPLEMENTATION AND MONITORING <ul><li>IMPLEMENTATION - ORGANIZATIONAL STUDIES, TRAINING OF STAFF </li></ul><ul><li>MONITORING </li></ul><ul><ul><li>IDENTIFYING AND DEALING WITH PROBLEMS THAT ARISE DURING IMPLEMENTATION </li></ul></ul><ul><ul><li>GATHERING THE ACCUMULATED EXPERIENCE TO FEED BACK INTO DESIGN AND PREPARATION OF FUTURE PROJECTS AND INTO THE IMPROVEMENT OF POLICIES AND PROCEDURES. </li></ul></ul>
  9. 9. STEP 5 : EVALUATION <ul><li>HELPS IN ASSESSING THE ACHIEVEMENT OF THE OBJECTIVES OF THE PROJECT. </li></ul><ul><li>EFFECT ON THE IMPLEMENTATION OF PROJECTS ON THE COMMUNITY </li></ul><ul><li>ASSIST THE PROCESS OF DECISION MAKING </li></ul><ul><li>LEAD TO THE GENERATION OF SUPERIOR ALTERNATIVES. </li></ul>
  10. 10. PREPARATION OF PROJECT AND APPRAISAL - 1 <ul><li>Five Stages </li></ul><ul><ul><li>1 – Feasibility Studies </li></ul></ul><ul><ul><ul><li>Whether the objectives of the project will be met or not? </li></ul></ul></ul><ul><ul><ul><li>Whether the project will be successful or not before committing substantial funds to it? </li></ul></ul></ul><ul><ul><li>2 – Detailed Studies </li></ul></ul><ul><ul><ul><li>‘ Parameters’ for which and within which, the Project will be designed. </li></ul></ul></ul><ul><ul><ul><li>Research and Investigations required to understand the problems and opportunities involved, both existing and projected. </li></ul></ul></ul>
  11. 11. PREPARATION OF PROJECT AND APPRAISAL - 2 <ul><ul><li>3 – Options for Development </li></ul></ul><ul><ul><ul><li>Advantages and Disadvantages of the Options identified are assessed and preferred group of options selected </li></ul></ul></ul><ul><ul><ul><li>The needs and resources of the people who will live in the project area should form the basic criteria against which the options should be measured. </li></ul></ul></ul><ul><ul><ul><li>Feasible alternatives can be presented for political discussion. </li></ul></ul></ul><ul><ul><li>4 – Detailed Development Proposals </li></ul></ul><ul><ul><ul><li>Should be planned in phases </li></ul></ul></ul><ul><ul><ul><li>Detailed designs for later phases should be left until they are about to be implemented. </li></ul></ul></ul><ul><ul><ul><li>Will enable to incorporate any changes in demand and build on the experience from the first phase of development. </li></ul></ul></ul><ul><ul><ul><li>Development of physical design, financial and administrative aspects in detail. </li></ul></ul></ul>
  12. 12. PREPARATION OF PROJECT AND APPRAISAL - 3 <ul><ul><li>5 – Implementation </li></ul></ul><ul><ul><li>First Phase to be implemented before detailed design is carried out for all stages of a project. </li></ul></ul>
  13. 13. EXAMPLE - PROJECT FORMULATION AND APPRAISAL FOR A GROUP HOUSING <ul><li>STAGE 1: FEASIBILITY STUDIES </li></ul><ul><li>a) Identify the target population and its housing needs </li></ul><ul><ul><ul><li>Identify economic characteristics </li></ul></ul></ul><ul><ul><ul><li>Identifying household characteristics </li></ul></ul></ul><ul><ul><ul><li>Identifying household demand </li></ul></ul></ul><ul><li>b) Outline assessment and selection of project site </li></ul><ul><ul><ul><li>Assessing the site availability </li></ul></ul></ul><ul><ul><ul><li>Initial evaluation of site location </li></ul></ul></ul><ul><ul><ul><li>Identifying site area and shape </li></ul></ul></ul><ul><ul><ul><li>Identifying existing land tenure </li></ul></ul></ul><ul><ul><ul><li>Identifying site boundaries </li></ul></ul></ul><ul><ul><ul><li>Initial assessment of site topography and landscape </li></ul></ul></ul><ul><ul><ul><li>Initial assessment of ground conditions </li></ul></ul></ul><ul><ul><ul><li>Identifying pollution problems </li></ul></ul></ul>
  14. 14. <ul><li>STAGE 1: FEASIBILITY STUDIES </li></ul><ul><li>c) Assessing initial site development options </li></ul><ul><ul><li>Initial assessment of housing layout </li></ul></ul><ul><ul><li>Initial assessment of plot development </li></ul></ul><ul><ul><li>Initial assessment of commerce and industry </li></ul></ul><ul><ul><li>Initial assessment of requirements for public facilities and recreation </li></ul></ul><ul><ul><li>Identifying other land uses </li></ul></ul><ul><ul><li>Initial assessment of circulation and transportation </li></ul></ul><ul><ul><li>Initial assessment of requirements for utilities </li></ul></ul><ul><li>d) Institutional and Financial Framework </li></ul><ul><ul><li>Assess the capacity of the institutional framework </li></ul></ul><ul><ul><li>Identifying the financial framework </li></ul></ul>
  15. 15. STAGE 2: DETAILED STUDIES <ul><li>a) Survey of the Target Population and its Housing Needs </li></ul><ul><ul><li>Economic characteristics of households </li></ul></ul><ul><ul><li>Household characteristics </li></ul></ul><ul><ul><li>Household attitudes to their locality </li></ul></ul><ul><ul><li>Household attitudes plot characteristics </li></ul></ul><ul><ul><li>Relationship between households and their dwellings </li></ul></ul><ul><ul><li>Potential for community involvement </li></ul></ul><ul><ul><li>Nature of housing demand </li></ul></ul><ul><li>b) Detailed analysis of project site </li></ul><ul><ul><li>Site location </li></ul></ul><ul><ul><li>Site area and shape </li></ul></ul><ul><ul><li>Land tenure </li></ul></ul><ul><ul><li>Site boundaries </li></ul></ul><ul><ul><li>Site topography and vegetation </li></ul></ul><ul><ul><li>Ground conditions </li></ul></ul><ul><ul><li>Local climate </li></ul></ul>
  16. 16. STAGE 2: DETAILED STUDIES <ul><li>c) Survey and analysis of existing site development </li></ul><ul><ul><li>Existing housing layouts and densities </li></ul></ul><ul><ul><li>Existing plot sizes and shapes </li></ul></ul><ul><ul><li>Existing buildings </li></ul></ul><ul><ul><li>Public facilities and recreation provision </li></ul></ul><ul><ul><li>Commerce and industry </li></ul></ul><ul><ul><li>Other existing land uses </li></ul></ul><ul><ul><li>Circulation and transportation </li></ul></ul><ul><ul><li>Existing utilities </li></ul></ul><ul><li>d) Institutional and Financial Framework </li></ul><ul><ul><li>Institutional framework </li></ul></ul><ul><ul><li>Financial framework </li></ul></ul><ul><ul><li>Assessing the ability to pay </li></ul></ul>
  17. 17. STAGE 3: DEVELOPING PROJECT OPTIONS <ul><li>a)Formulating site development options </li></ul><ul><ul><li>Housing layout and density </li></ul></ul><ul><ul><li>Plot sizes and shapes </li></ul></ul><ul><ul><li>Building </li></ul></ul><ul><ul><li>Commerce and Industry </li></ul></ul><ul><ul><li>Public facilities and recreation </li></ul></ul><ul><ul><li>Incorporation and transportation </li></ul></ul><ul><ul><li>Utilities </li></ul></ul><ul><li>b) Institutional and Financial Framework </li></ul><ul><ul><li>Selecting the institutional framework </li></ul></ul><ul><ul><li>Land tenure </li></ul></ul><ul><ul><li>Developing financial options </li></ul></ul>
  18. 18. STAGE 4: DETAILED SITE DEVELOPMENT <ul><li>a)Designing site development </li></ul><ul><ul><li>Housing layouts </li></ul></ul><ul><ul><li>Housing: building </li></ul></ul><ul><ul><li>Commerce and Industry </li></ul></ul><ul><ul><li>Public facilities and recreatioin </li></ul></ul><ul><ul><li>Road Layouts </li></ul></ul><ul><ul><li>Utilities </li></ul></ul><ul><li>b) Institutional and Financial Framework </li></ul><ul><ul><li>Institutional framework </li></ul></ul><ul><ul><ul><li>Establishment of a new implimenting agency land tenure conditions </li></ul></ul></ul><ul><ul><ul><li>Qualifications of applicants </li></ul></ul></ul><ul><ul><ul><li>Compensation </li></ul></ul></ul><ul><ul><ul><li>Exemptions from regulations </li></ul></ul></ul>
  19. 19. STAGE 4: DETAILED SITE DEVELOPMENT <ul><ul><li>Financial Framework </li></ul></ul><ul><ul><ul><li>Refinement of earlier work done </li></ul></ul></ul><ul><ul><ul><li>Cash flow predictions </li></ul></ul></ul><ul><ul><li>Phasing </li></ul></ul><ul><ul><ul><li>To be based on effective demand </li></ul></ul></ul><ul><ul><ul><li>Availability of capital and technical factors outside the site </li></ul></ul></ul><ul><li>STAGE 5: IMPLEMENTATION </li></ul><ul><li>Monitoring </li></ul><ul><li>Evaluation </li></ul>

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