SECTION 1.

INTRODUCTION TO THE PROJECT DPRO GUIDE

1.1 Introduction
What we cover in this chapter:
ü Projects and Project Management in the Development and Humanitarian Sectors
ü Why Project Management Matters
ü Defining Project, Program, and Portfolio
ü The Project DPro Phase Model
ü Principles of the Project DPro
ü The Project DPro project manager Competency Model

“Operations keep the lights on, strategy provides a light at the end of the tunnel,
but project management is the train engine that moves the organization forward.”
– Joy Gumz

1.1.1 Structure of the Project DPro Guide

This version of the Project DPro Guide has been organized to include more detailed information and
examples to help project practitioners in the application of the tools and processes. The Project DPro
Guide is divided into 5 sections:
1. Introduction to the Project DPro Guide
2. Project DPro Phases
3. Project DPro Principles
4. Adapting the Project DPro
5. Changes in the Project DPro Guide
We will go through each of these sections in detail, providing tools and processes that will help project
managers to structure the management of interventions. Though these topics are separated into
sections, they do not stand alone but rather interact with one another throughout the life of a project.
The Delta River is a case study used throughout the guide to provide examples of tools and concepts in
practice. Additional, comprehensive examples and case studies can be found in the supplementary
materials provided by PM4NGOs.

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 Delta River Case Study Background
A recent assessment found that deterioration of water quality in the Delta River has resulted
in depleted crops stocks; reduced production and falling income among farming families; and
an increasingly high incidence of water-borne diseases and illnesses, particularly among poor
families and children under five.
The current situation is the result of the discharge of fecal waste into the river, household and
business waste being dumped into the river, and inadequately treated wastewater in the river
and the canal.
Some of the factors contributing to the problem include:

• Low public awareness of the dangers of dumping household waste.

• Low access and use of sanitation facilities for the disposal of fecal waste.
• Corruption and inadequate oversight of the local chemical fertilized industry by the
Environment Protection Agency (EPA).
• As a result of low budgets and poor planning by local government even among
businesses that treat their waste, treated wastewater does not meet environmental
standards.
All these factors have led to high levels of fecal waste and household/business waste in the
river, resulting in a deterioration in the river water quality.

1.1.2 Changing the World Through Projects

Would you dig wells to provide potable water to villages? Establish micro-banks that raise women out of
poverty? Protect an endangered ecosystem? Rehabilitate a school? Install rural health clinics for
underserved communities? Distribute food to the hungry?
Not surprisingly, few people answer: “I would manage projects!”
And yet, millions of development workers change the world every day through activities in agriculture,
health care, microfinance, conservation, affordable housing, education, infrastructure and human rights.
They all share one thing in common: They change the world through projects!
Development and humanitarian organizations manage their work through projects. Their offices are
staffed by project officers who manage project teams. In turn, the project team writes project proposals,
develops project plans, implements project activities, monitors project progress, and evaluates project
impact. Then, most importantly, beneficiary communities invest their time, energy, and resources in the
projects. They trust the projects to build upon their collective strengths, to reinforce their areas of
comparative weakness, and to solve the challenges that otherwise might be considered out of their
control.
While the livelihoods of hundreds of millions of people depend on the ability of development and
humanitarian organizations to deliver project results effectively and efficiently, project management is

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seldom identified as a strategic priority for organizations. There tends to be a focus on the technical
programmatic areas of projects such as public health, education, child protection, WASH, advocacy, and
so on. Organizations tend to hire technical, programmatic specialists who are then asked to manage
projects and lead project teams.
These technical, programmatic specialists tend to be very good at identifying treatment protocols for
illnesses, developing curricula for schools, designing improved agricultural systems, and analyzing the
root causes of poverty. However, it is uncommon to find that they have extensive experience and skills
in the area of project management. Are project estimates accurate? Have project risks been anticipated
and are they thoroughly controlled? Are project plans comprehensive and detailed? Is project progress
monitored at all levels? Are project challenges identified, tracked and addressed? And, are all aspects of
the project proactively managed throughout the life of the project? Are the social changes the project
wishes to address being achieved?
The purpose of the Project DPro Guide is to improve the project management capacity of development
and humanitarian professionals, providing a contextualized, balanced, comprehensive, and adaptable
body of knowledge and toolkit to help increase the efficiency and effectiveness of projects in the sector.
The Project DPro Guide provides an introductory, independent exploration of project management
within the context of the development and humanitarian sectors. It is intended for an audience that
includes:
• Project managers and team members who are new to project management;
• Project managers and team members who are new to the development and humanitarian sectors;
• Development sector professionals who intend to pursue professional credentials in project
management;
• Public sector team members working on development initiatives in their respective countries and
regions;
• Local implementing partners executing projects on the ground;
• Consultants/contract staff operating in the development sector.

1.1.3 Managing Projects in the Development

and Humanitarian Sectors
Managing projects in the development and humanitarian sectors is anything but simple. The operating
environments are complex, the challenges are numerous, project relationships are complicated, and the
cost of failure is high. In short, there is a lot that could go wrong!
The graphic in Figure 2 serves as an illustration of some of the many challenges that could threaten the
success of projects. Each image represents an example of what could happen as a result if the design,
planning, or implementation of the project is poorly conceived or implemented.
Unfortunately, the list of challenges presented in Figure 2 is not comprehensive. There are many, many
more things that could go wrong in projects. For example:
• Are exchange rates stable?
• Are the team dynamics functional?
• Do the monitoring systems provide useful, accurate and timely information?
• Are project suppliers reliable?
• Is there political instability?

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• Are there stakeholders who are
undermining the project?
To succeed, the project manager must
proactively and decisively manage these
challenges. Too often, failed projects are
attributed as the victims of circumstances
that were “out of our control.” While this
explanation might be valid at times, it is
often used as an excuse and fails to
acknowledge that the project could have
been better anticipated, analyzed, and
actively managed.
To retain control of projects – and promote
project success – project managers need to
develop the skills required to proactively
identify the challenges that could impact
their project, and to effectively manage their
projects even when these challenges occur.
These are also the skills we will explore in the
Project DPro Guide.
All work that is managed through projects.
Whether in the private sector (construction,
telecommunication, information technology),
development sector, humanitarian sector or
public sector, all projects share similar
challenges. Some of these challenges are:
• Designing and delivering project
results in the context of time,
budget, quality, scope, risk and
constraints;
• Developing comprehensive and
detailed project plans and managing
them through the entire life of the Figure 2: Project Challenges
project; Source: www.projectcartoon.com

• Managing projects that are often implemented via partners, consortia, contractors,
subcontractors and suppliers; and
• Identifying potential risks and establishing processes to avoid and address these risks and
ensuring that the intended project benefits are delivered.
While there are similarities that exist between these sectors, there are some characteristics that make
managing projects in the development sector unique and especially challenging. Some of these unique
characteristics include:
• Development and humanitarian projects are responsible for delivering tangible outputs and also
for delivering less tangible outcomes related to promoting social change and/or behavioral

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 change. Development projects are less likely to focus on delivering concrete products as the
ultimate goal of the project and are often service oriented, intended to bring about
improvements in the well-being of the project’s target populations.
• Development projects aim to address complex problems of poverty, inequality, and injustice.
• Development projects tend to operate in exceptionally challenging contexts (limited resources,
high risks, complex procurement networks, unstable political/financial environments, unsafe
conditions).
• Project implementation is often managed through a complex array of stakeholder relationships
(partner agencies, government ministries, community-based organizations, contractors, global
consortia) that have different compliance requirements, perspectives, and expectations.
• The project approach is often as important as the outcomes themselves (including a high priority
placed on participation, rights-based approaches).
• Transferring knowledge and learning to the target population is a priority during each and every
phase of the project.
• Projects in the development and humanitarian sectors can be subject to changing and
challenging funding environments.

1.1.4 Why Does Project Management Matter?

Agents of Change
The development and humanitarian sectors have experienced substantial growth in the past few
decades. Any rapid growth comes with “growing pains” as roles and responsibilities within the sectors
are identified and clarified. However, our responsibility as professionals within these sectors is to
provide the maximum benefit for the targeted individuals, groups, and communities in which the
interventions take place.
Projects are the foundation for the sectors. If teams fail to provide the intended outputs at the project
level, a domino effect will occur, making it less likely that the contextual, behavioral, and situational
changes we seek at the outcome, program, and portfolio levels actually occur. Essentially, projects are
the vehicle through which changes can occur. It is vital that the management of projects is effective and
efficient so that a foundation is created that enables change. Project management must be approached
intentionally, with processes, procedures, tools, and techniques in place that contribute to the
maximum change possible for communities and beneficiaries.

Context
We will discuss the difference between projects, programs, and portfolio later in this chapter. This
differentiation is important in understanding the context in which projects operate. The focus of the
Project DPro is to provide adaptable tools and processes to help those implementing projects on the
ground, increasing the likelihood of success.
In 2018, PM4NGOs launched the Program Guide for Development Professionals (Program DPro) to
complement the Project DPro Guide and showcase the differences and provide guidance on the ways
we approach and manage projects and programs. Often in practice within organizations, there is little

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differentiation between the two, the terms are frequently used interchangeably. The Project DPro and
Program DPro aim to ensure these differences are clear.

Accountability
There is an increased demand for accountability in the development and humanitarian sector, but it is
important to understand that there are different levels of accountability: upward, downward, and
horizontal accountability.
Downward Accountability: We are also
accountable to the communities and people we are
serving with our interventions, ensuring that we are Do No Harm Principle
providing high quality services and products in the Part of downward accountability
most cost-effective way possible. incorporates the “Do no Harm” principle,
An intervention that is operating within a conflict which is part of a conflict-sensitive
context may require more thought and analysis approach to interventions. This principle
when it comes to downward accountability. Conflict ensures that our projects proactively
sensitive frameworks that include the principle of assess the ways in which the targeted
“do no harm” are important to take into groups and other stakeholders could be
consideration. negatively impacted by the intervention.
The goal of taking a “do no harm”
Upward Accountability: When we are working with approach is to “minimize negative
donor and taxpayer funding, we have an obligation impacts and maximize positive impacts of
to use those funds in a responsible manner, the intervention on conflict.”
providing the maximum benefit possible. We also
have an obligation to the program and portfolio www.conflictsensitivity.org
levels in our organization, ensuring that the projects
we are implementing align with the strategy of the
organization as a whole and contribute to achieving program outcomes.
Horizontal Accountability: Projects do not happen in a vacuum. They are part of a network of
interventions being implemented by various organizations (INGOs, CBOs, private sector CSR projects)
within a geographical region. Horizontal accountability takes into considerations the partnerships,
relationships, and collaboration efforts we have with our peers and other organizations. We need to
consider how our intervention fits into the development and humanitarian picture within a given
context and be aware of how these partnerships and collaboration efforts can bring about that higher-
level change we are seeking. There are a multitude of different platforms that offer this kind of
collaboration, project managers ought to be aware of these platforms and seek to actively participate in
them if and when possible.

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1.2 Defining Terms

1.2.1 Project Management

As we move forward through the guide, it will be important to understand some of the key terms used1.
A project is a temporary endeavor undertaken to create a unique product, service, or result2. Based on
this definition, the purpose of project management is to plan, organize and manage resources to bring
about the successful completion of specific project goals, outcomes and outputs.
Projects deliver integrated outputs (deliverables),
which should lead to better outcomes (results) for Project Management-Real World
communities and other stakeholders (such as Scenario
donors and the community). Projects are time
Project manager Responsibilities
bound and focus on requirements to deliver specific
benefits for communities in ways that are cost- While in an ideal situation, the project
effective and measurable. manager should not be doing the work of
the project, we are aware that this is not
High-quality, comprehensive project management
always possible or the case. Sometimes, a
practices are indispensable in helping organizations
local organization will not have the
manage focused, effective, and efficient projects.
resources for a full project team. In other
Within the context of project management, the
cases, a project manager may be
project manager is responsible for ensuring the
overseeing more than one project. The
overall success of the project.
tools in the Project DPro will help the PM
And yet, while the project manager is responsible in these situations to better manage their
for project success, this does not mean that the projects. Effectively delegating tasks and
project manager is personally responsible for communicating with partners, team
completing the work of the project. Instead, the members, and stakeholders are essential
project manager should collaborate closely with an in these circumstances.
array of stakeholders to ensure that the work of the
project is completed. These stakeholders –
including members of the project team,
implementing organizations, INGO partners, contractors, community groups and others – must work
together to design, implement and control all aspects of the project. Like many sectors, project
managers in the development and humanitarian sectors often are required to manage stakeholders in a
context where there is no formal (hierarchical) authority. It is also common for stakeholders in a single
project to have different ethnicities, languages, cultures, and even nationalities. The challenge of
managing groups within this context can be especially difficult.

1
Refer to the Glossary of Terms for a more extensive set of definitions of terms used in the Project DPro Guide.

2
A Guide to the Project Management Body of Knowledge (PMBOK Guide), Third Edition, Project Management
Institute.

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In practice, the project manager’s challenge to successfully deliver project results will always take place
within the context of project constraints. Historically, there have been three principle elements that
constrain a project, which are collectively referred to as the Triple Constraint – scope (quality), time,
and budget.

1.2.2 The Triple Constraint

To understand the triple constraint principles of project
management, picture a triangle (Figure 3) where each side is
labeled as follows:
• Scope/Quality – What are the products/services that the
project will produce? What tasks/activities/work is required
to produce these deliverables? Figure 3: Triple Constraint Triangle
• Cost/Resources – What money, materials, and personnel are
available to deliver the project product/services and to complete the comprehensive work of the
project?
• Time/Schedule – What is the amount of time required to complete the all activities of the project?
The job of the project manager is to ensure that the Triple Constraint Triangle stays in balance. The
constraints are interdependent, so whenever one of these constraints is restricted or extended, the
other constraints will also need to be extended/increased or restricted/reduced.

The Triple Constraint Interdependency

If one side of the Triple Constraint Triangle changes, so do the other two sides. Take, for example,
a humanitarian NFI (non-food item) distribution project in which the original scope indicated that
10,000 families would be provided with NFI kits (blankets, soaps, etc.). Suddenly, the project
team gets a request to increase the number of families served from 10,000 to 12,000, increasing
the number of kits required by 2,000. This is an increase in the scope of work for the project and
will require that the cost/resources and the time to complete the distribution also increase in
order to successfully implement these activities.

The project manager needs to understand the relationships and trade-offs that exist between each of
the constraints to effectively manage the project. When considering constraints, it may be helpful to
think about them within the context of inflexible or adaptable/may concede.
Inflexible – Indicates that this constraint is the most critical and must be constrained.
Any change in this constraint results in a negative impact on the project. For example, if you are
implementing a winterization project (providing blankets, winter clothing, etc.) for beneficiaries that
needs to take place before the winter season begins, the time is an inflexible constraint.
Another example is an inflexible resource/cost if the project donors’ policies do not allow changes in the
budget. If you spend less than originally planned on a specific activity, it doesn’t mean the balance can
be shifted to other activities or transferred to other projects. Even though there will be a balance at the
end of the project, no adaptation or change is allowed in the budget. Some donors require that you

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report the unused funds, which will be deducted from the following project funds transfer or returned
to the donor.
Adaptable/May concede – Indicates that there is some flexibility within the constraint, but it should be
optimized as much as possible. If there is a change needed for the project that affects one of the
constraints and that constraint is adaptable, actions can be taken to accommodate the change.
For example, if in the process of procuring seeds for an agriculture/livelihoods project that aims to
improve wheat yields it is discovered that there is a wheat plague affecting the crops, and the scope is
adaptable, the original seeds can be replaced by rice or corn – without changing the timeline and
budget, which are inflexible.
In another project, additional time is needed at the end of the project because of delayed activities at
the beginning. Some projects expect activities to start on the very first day after the formal
authorization. Receiving funds, hiring the project team, and developing the detailed plan is often
forgotten, or takes more time than anticipated. Since time is adaptable (according to the project charter
and agreement), the project schedule can be adjusted to accommodate the initial delay.
Constraints can also concede to optimize other constraints adaptation or manage inflexible constraints.
In the previous example that a scheduled adjustment is required (adaptable time), the activities’ delay
might require postponing the project closure in a few months and extra funding is necessary. The
budget may concede to optimize the time change, through a request for additional funds, if approved by
the donor.
As another example, if exchange rates negatively affect the number of NFI (non-food item) kits the
project is able to procure and the budget is inflexible, the scope of work may be reduced to
accommodate the actual amount of funding received. The constraint in the scope of work, in this case
the number of NFI kits, concedes because the budget constraint is inflexible.
Figure 4 further illustrates other potential examples of how constraints can be classified.

There is no flexibility
Ex:The Delta River latrine
in the project
construction needs to be
timeline, so it must be
Inflexible Time constrained, and
completed before the rainy
season, therefore this
finish by the expected
constraint is inflexible.
completion date.

Ex: The donor has

The donor has
requested to double the
requested additional
number of latrines to be
scope for the project,
constructed within the
Adaptable Budget
therefore the budget
same timeframe, therefore
(may concede) will need to be
additional resources and
revised and adapted
budget will be required to
to reflect these
complete activities within
changes.
the timeframe.

Figure 4: Classification of Project Constraints

By clarifying the classification of each of the constraints – inflexible or adaptable/may concede, the
project manager can enter into discussions with project stakeholders to frame and drive a discussion on
setting priorities for each of the constraints. It is important to get the priorities established and agreed

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upon by all stakeholders early in the project. Trying to negotiate these constraints after the project is
launched is often difficult or impossible. Once people solidify their views of the constraints with
scheduled tasks and named resources, the effort to make changes becomes much more difficult.

1.2.3 Program and Portfolio Management

In the development sector the terms ‘project’, ‘program’, and ‘portfolio’ are frequently used and often
interchangeably. In the absence of a consistent and precise definition for these terms, the roles and
responsibilities of the project manager can be unclear and misinterpreted. We have already discussed
the definition and parameters of project management, so now let’s take a look at the program and
portfolio management.

Figure 5: Projects, Programs, and Portfolio

Program Management
Programs are groups of related projects and activities (sometimes referred to as ‘component parts of a
program’) that are managed in a coordinated way to achieve an impact that is greater than if they were
managed individually. In other words, the whole (the benefit of the program) is greater than the sum of
its parts (the projects, activities and tasks). Development and humanitarian organizations often organize
projects into programs to deliver outcomes that address a broad range of needs and achieve
exponential benefits for the communities in which they work.
Most programs are managed at a country level under the supervision of a Program Manager and the
leadership of a Country Director, Head of Programs or similar role (ex: Program Owner). Some programs
are devised to deliver global goals, and these are more likely to be managed at a regional or
headquarters level. Not all development and humanitarian organizations have clearly defined
hierarchies, opting instead for a flatter structure with shared responsibilities, in which case program
management responsibilities are defined and shared as a team.
Programs, unlike projects, are generally implemented through a centralized management system in
which groups of projects are coordinated to achieve a program’s overall strategic objectives and
benefits. This approach is particularly important in the development and humanitarian sectors because
it enables NGOs to achieve economies of scale and realize incremental change that would not be
possible if projects were managed separately. Program management is especially important within the
development sector because projects managed via a coordinated program have the potential to realize
change (or benefits) that would be impossible if they were managed separately. Some areas of potential
program alignment include:

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• Geographic Area – Projects often work side by side in the same region or throughout the country,
and one of the central concerns of a program manager will be how the resources of multiple
projects working in the same geographic area can be leveraged to have a greater impact than each
would have in isolation. Most frequently, programs work in a single country, although it is
increasingly common to find programs that are multi-country or global in scope.
• Sector Intervention Areas – While projects generally tend to work in a single sector within a shorter
time frame, programs often encompass multiple sectors and work within a longer time frame.
• Objectives – By coordinating the goals and objectives of multiple projects through a coordinated
program, an organization has greater potential to achieve its higher-level goals.
• Funding – Often a single organization can manage multiple projects with funds from the same
institutional donor. In this scenario, the opportunity exists to coordinate these projects within the
context of a single program, which can result in economies of scale.
• Target populations – Organizations often overlap between targeted populations for projects in
different sector areas (health, water, education, etc.). Coordinating these projects through a
program-based approach allows the organization to link them via common indicators, shared
resources and processes that help the communities continuously assess whether organizations are
conducting the “right” interventions.
• Management – While the staff of individual projects will focus on implementing the activities that
contribute directly to the outputs and outcomes within their scope, at the program level, managers
will focus on the challenge of coordinating projects, best leveraging resources of multiple projects,
and increasing the impact of the program.

Portfolio Management
In most organizations, there will always be competition for limited resources. The portfolio management
process helps to harmonize programs and projects so that they are aligned and can best meet overall
strategies and goals. This involves prioritizing and balancing opportunities and risks against the supply
and demand of resources in order to meet the overall objectives of an organization. Because of their
complexity and strategic focus, portfolios are typically managed by a Country Director or at a regional or
global level by a high-level executive team.
While not the responsibility of program managers, it is still important to be aware of issues related to
portfolio management. Given competition for limited resources, program managers and their teams
should be able to articulate how their programs and projects:
• Contribute to the achievement of the organization’s vision;
• Support the strategy of their organization;
• Contribute value to the organization’s programs and/or portfolio.
Portfolio management oversees the performance of multiple projects and programs. It is not concerned
with day-to-day project tasks but focuses instead on selecting, initiating and managing an overview of all
efforts in a way that addresses the strategic objectives of an organization. Portfolio management
involves making high-level decisions about whether to stop or redirect a project or program so as to
optimize the strategic fit of the efforts being undertaken to fulfill the organization’s mission.

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 Portfolio Program Project

The Portfolio Manager is a high- The Program Manager coordinates, The project manager is
level leader who is accountable directs and oversees the responsible for coordinating
for the totality of an implementation of a set of related temporary structures that
organization’s investment in projects and activities (usually over have been created for the
the changes required to several years) in order to deliver purpose of delivering one or
achieve its strategic aims and outcomes related to an more outputs.
objectives. organization’s strategic objectives.
Portfolio Characteristics: Program Characteristics: Project Characteristics:
• Establishes long-term vision • Establishes and clarifies strategy • Manages and coordinates
for entire organization and vision within program • Delivers outputs
• Provides overview and boundaries • Time, cost, and scope
organizational insight • Engages with stakeholders at all • Focuses on fit-for-
• Sets policies, standards, levels (internal and external) purpose outputs that
priorities and plans • Directs and oversees the meet requirements and
• Understands cross- implementation of project enable benefits
organizational issues activities realization
• Manages high-level • Manages strategic and • Focuses on project risks
strategic risk operational risk • Manages issues related
• Takes tough decisions • Understands and resolves inter- to deliverables
• Well-rounded knowledge of project issues • Plans for the successful
context (internal and • Focuses on quality and execution of deliverables
external) outcomes and activities
• Ability to oversee a mix of • Ensures the delivery of
programs, projects and measurable benefit and impact
other activities
Table 1: Project, Program, and Portfolio Management Summary

1.2.4 Where do projects come from?

Projects and the funding for projects can take many different forms, depending on the context, the
organizational structure, and strategy of the organization. While there may be different mechanisms in
which projects are developed and funded, the framework from which we approach projects remains the
same.
INGO/Implementing Partner: An international NGO may run a program and have several different local,
implementing partners conducting the activities and doing the work that contributes to an overall
programmatic goal. Frequently these programs are called projects, but in all reality, each implementing
partner component could potentially be considered a project itself.

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In most cases with this kind of project, the components of the intervention have already been identified
and designed, with the focus of the implementing partners on the execution of the activities.

Example: An INGO is implementing a multi-sector program in a post-conflict environment, seeking

to provide the targeted communities with improved access to basic services. The INGO is working
with 4 implementing partners, each working on a specific sector: protection, WASH, food
distribution, and shelter. Each of these sector components can be considered a project and have
specific objectives that will lead to the programmatic outcome of improving the access of basic
services to the targeted communities.

Stand-Alone Project: Some organizations may have multiple funding streams that allow a certain level
of flexibility when it comes to identifying and implementing projects. Stand-alone projects are usually
funded by the organization through these alternative forms of (unrestricted) funding. Some examples
may include:
• The NGO has a fair-trade store at a local shopping mall to sell handicraft products made by artisans
who live in the community.
• The NGO has fundraising events that provide a source of income to pursue stand-alone projects.

Example: A group of artisans that provide products to the store needs financial training to better
manage their cash flow, financial reserve, and profits. This project doesn’t fit neatly within any
specific program at this point and therefore, stands alone.
From the profits the store is able to provide, the NGO decides to run a one-year stand-alone
project that will develop a financial brochure based on the artisans’ specific needs and context.
The output and outcome of this stand-alone project might be helpful for other projects or
programs in the future. But, while designing, planning, implementing, and closing this project, its
goal was simply to attend the artisans need – with no relation to other initiatives.

Grants: In most cases, grant projects will be very focused and fall under a specific topic outlined by the
donor. Grants may come from INGOs, governmental agencies, foundations, or private donors.

Example: A local CBO receives a grant to design and implement an education project for their
community, providing after-school support to students who are falling behind in their class work.
The CBO is responsible for identifying, designing, planning, and implementing the project
intervention. Essentially, the CBO is responsible for the project from start to finish.

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Projects under programs: An organization will likely have several programs running at any given time,
each of which ought to have a specific program outcome. Under the umbrella of each program, several
project interventions will be designed and implemented according to the program outcome.

Example: An INGO has a Gender-Based Violence (GBV) Advocacy and Awareness program with the
outcome of increasing the awareness of the community on the root causes of GBV. One of the
projects under this program may be to conduct an awareness session for local community leaders
on the effects of GBV on the community. Another project under this program may be conducting
an advocacy campaign to lawmakers with the focus of changing policies at the national level.
Together, all of these project outcomes will become outputs at the program level and work
toward achieving a programmatic level outcome.

1.2.5 The Principles of Project Management

Principles guide the way in which we approach projects, providing a framework for structuring our
management of interventions. The Project DPro outlines 5 Principles of Project Management: Well-
Governed, Participatory, Comprehensive, Integrated, and Adaptive.

Well-
Governed

Adaptive Participatory
Principles of
Project
Management

Integrated Comprehensive

Figure 6: Principles of Project Management

The Principle of Project Management will be covered in more detail in Section 3 of the Project DPro
Guide, but it is important to have a general idea of what each of these principles entails.
Well-Governed: The governance structure of a project provides a framework for management and
decision-making, clearly articulating the roles, responsibilities, and tolerances (authority) of each level in
the management. Governance is introduced in the Identification and Definition phase and further
detailed in Project Setup. During Planning, Implementation, and Closure, the governance structure will
be essential to determining changes and play an active role in Decision gates throughout the project. A

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well-governed project ensures that the project manager is clear on which decisions need to be made by
whom and when, while establishing a system of support and feedback to enable a more productive
project environment.
Participatory: Participation of stakeholders throughout the entire life of the project is important for
ensuring the project success. When stakeholders are actively involved, the ownership of the project
increases. The project manager is responsible for identifying to what extent each stakeholder should be
involved in each phase and how that engagement will happen. The Participatory Principle is woven
throughout the entire Project DPro Phase Model, through the tools and processes outlined in each of
the phases. In Identification and Definition, for example, stakeholders are identified and analyzed to
determine who they are and how they will be/want to be involved in the project.
Comprehensive: A project manager must be able to approach the project in a way that takes into
consideration which project components fit together to contribute to the goal. From identifying the
project – ensuring that the outcome aligns with organizational/program/sector objectives – to planning
for all project activities (direct and indirect) a comprehensive project puts the individual project pieces
together to create a complete picture, effectively working together to reach the project outputs and
outcomes.
Integrated: Phases, tools and processes in a project are not silos, they cannot efficiently function
together unless they are integrated with one another. The project manager is responsible for developing
a strategy in which each of the tools and processes builds upon the next, as well as understanding the
environment and context in which the project operates and working within constraints to ensure all
project elements are integrated.
Adaptive: Even the most well-defined and planned for projects will experience challenges and issues –
this is inevitable. The way in which the project manager responds to challenges, issues, and changes
determine the overall success and impact the project will have. Decision-making based on data and
information should guide the project manager in adapting the project activities and components to the
evolving environment.

1.2.6 Project manager Competencies

The Art and Science of Project Management

How many of us know a project manager who is not well rounded? This might be the manager who is
great at the technical skills of project management but is afraid or unable to collaborate with a team or
with project stakeholders. For example, this project manager might be an expert with spreadsheets,
diligently organizing the work and planning future scenarios, but is ineffective in communicating the
work that needs to be done to the project team. As a result, the project team is lost and stakeholders
hunger for leadership and communication.
This scenario naturally raises the questions: “What is effective project management? Is it an art or a
science? Does it require soft “art” skills related to human behavior and interactions, or is it a collection
of hard “science” skills that focus on the technical management of inputs and outputs?”
The answer, not surprisingly, is “both.” In project management, as in much of life, the secret to success
is balance.

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 The Art and Science of PM – A Short Story
David is a project manager for a local community-based organization, implementing an
education project that is focused on providing remedial tutoring services for students who
have stopped going to school so they can re-enter the school system. David is a well-
seasoned veteran in the project management world, a master at designing and planning
projects. However, he has been experiencing a lot of turnover recently that is resulting in a
lot of delays in the project.
So, one day David asks one of his most trusted team members, Allison, what is going on.
Why is there so much turnover happening in the project?
“Well, David, to be honest, you are an amazing project manager when it comes to making
sure that we do all of the work on time. Reports are always impeccable and we rarely have
issues with the donor. But to be honest, a lot of the team members feel that the only time
you communicate with them is to ask them to deliver something or to point out a mistake.
They don’t think you care about anything but meeting the deadlines and targets.” Allison
stated.
That made David think. Achieving objectives on time, budget, and within scope are really
important but what David forgot about was the “art” of project management. Providing a
motivating team environment and leading team members in a constructive way is just as
important as the “science” of project management.
In David’s project, though all technical aspects of the project indicated that it would be
delivered successfully, the turnover of team members caused a delay. New team members
had to be recruited and trained over and over again.
It is all about balance and a good project manager will be able to balance the “art” and
“science” of project management.

The art of project management focuses on the people elements of a project and requires skills that
enable project managers to lead, empower, motivate, and communicate effectively. The ‘artistic’ project
manager can direct the team when work challenges shift, realign priorities when the field realities
change resolve conflicts when they arise, and determine which information to communicate when and
to whom.
The ‘science’ of project management focuses on the technical, project management competencies of
planning, estimating, measuring, and controlling of work. The ‘science’ encompasses the who-does-
what-when questions and ensures that the technical project management components are being
actively managed. The ‘science’ of project management maintains the Triple Constraint Triangle and
constantly assess the activities of the project to ensure that targets will be met and outcomes achieved.

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A key to a successful project is balancing the ‘art’ and ‘science’ of project management. While it may be
unlikely that all project managers are strong in both the ‘art’ and ‘science’ of project management, it is
essential that an inventory of strengths and weaknesses of the project manager are conducted and that
the project manager actively works to balance the ‘art’ and ‘science.’

Science Art
How do we
What resources need to
communicate with
be actively managed?
stakeholders?

What kind of leadership

Are there risks that
is most effective for this
threaten the project?
project team?

Where are we with the How can the team be

project? motivated?

What kind of team

What is the forecasted
environment will be
cost of the project?
most effective?

Figure 7: Balancing the Art and Science of Project Management

The Project DPro Project Management Competency Model

While the classification of project management
skills into the categories of art and science is
helpful, it is only the first step in identifying the
characteristics of a successful project manager.
A more comprehensive project management
competency model helps to identify the
requisite skills of project managers and can
then serve as a tool to assess skill levels,
identify areas for improvement, and to map
areas for career development. While multiple
competency models exist for project managers,
the Project DPro model organizes project
management competencies into four areas:

Figure 8: Project DPro Competency Model

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PM Technical – These are often referred to collectively as the ‘science’ behind project management. Can
the project manager identify, select and employ the right tools and processes to ensure project
management success?
Leadership/Interpersonal – Often referred to collectively as the ‘art’ of project management. For
example, how does the project manager communicate, inspire, and resolve conflict?
Personal/Self-Management – The project manager’s ability to self-manage. For example, can the
project manager effectively prioritize, manage time and organize work?
Development Sector Specific – The ability to apply the PM technical, leadership/interpersonal and
personal/self-management competencies in the context of development projects. For example, can the
project manager identify, select and employ the right tools and processes that are unique and specific to
the development sector?

Competency Characteristic

ü Proactively manage scope

ü Comprehensively identify the activities required for project success
ü Manage the overall schedule to ensure work is on time
ü Define and collect metrics to measure project progress
ü Identify, track, manage and resolve project issues
PM Technical ü Proactively disseminate project information to all stakeholders
ü Identify, manage and mitigate project risk
ü Establish logistics systems
ü Ensure that project deliverables are of acceptable quality
ü Identify if and when changes need to occur and the impact of those changes on
the project
ü Plan and manage the budget and the expenditure of the project

ü Vision the ‘big picture’ of a project within an organization portfolio

ü Champion the project (promoting buy-in)
Leadership/Inter- ü Communicate vision – setting reasonable, challenging expectations
Personal ü Provide timely and helpful performance feedback to team members
ü Facilitate a productive team environment
ü Communicate proactively (verbal and written), including active listening
ü Motivate team members to willingly follow direction and achieve goals

ü Organizational skills
ü Attention to detail
Personal/Self- ü Ability to multi-task
Management ü Logical thinking
ü Analytical thinking
ü Self-discipline
ü Time management

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 ü Understand development sector values and paradigms (or mode of operation)
ü Understand the different stakeholders involved in development projects
Development- ü Understand and navigate complex development environments
Specific ü Work effectively with an array of implementing partners
ü Cope with the unique pressures of development environments
ü Exhibit cultural sensitivity
Table 2: Project DPro Competency Model Characteristics

• The competency level a project manager needs in each of these areas will vary in accordance to
the size, complexity, and risk of the project. However, despite their differences, all projects can
benefit from using this model to better ensure that: the activities are comprehensively
identified, prioritized, and sequenced;
• the schedule is thorough and identifies the interrelated elements of the project plan;
• procurement processes (for both materials and contractors) are identified and implemented;
• communications norms for appropriate stakeholders are in place and executed;
• personnel systems exist for staff, volunteers, and implementing partners;
• risks are anticipated and monitored;
• a system is in place to ensure that the projects meet acceptable quality standards; and
• a change management process is in place and managed.
As the responsibilities of a project manager increase – from relatively simple projects to more complex
projects – the knowledge, skills, and behaviors in each of these competency areas will need to increase
as well. Furthermore, one of the most distinct skills that project managers need to develop over time is
the ability identify alternatives that exist to address a challenge (budget overruns, team conflicts,
ambiguous roles, shifting schedules, unanticipated risks) and respond using the appropriate competency
that fits the unique needs of each situation.
While all four competency areas of project management are critical to ensuring project success, the
scope of the Project DPro Guide specifically focuses on the “science” competency areas of PM Technical
and Development Specific. However, to help project managers achieve their overall ranking in each of
the competency areas, a self-assessment is available at www.pm4ngos.org.

1.2.7 Phases in Development and Humanitarian Projects

For successful development and humanitarian projects, it is critical that the full array of project
management competencies (See Annex I for PM Competencies) is applied in a balanced way through the
entire life of the project. Many organizations have developed project lifecycle diagrams which they use
to identify the phases that map the process of the project from start to end. Together, these project
lifecycle phases identify the logical sequence of activities that accomplish the project’s goals or
objectives.

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Figure 9, for example, represents the lifecycle design for projects and programs for the World Wildlife
Federation. In this case, the project lifecycle is
represented by a series of steps within a cycle and is
just one example of a project lifecycle model.
Other development and humanitarian organizations
have adopted project lifecycles that are represented
by other designs, including circular models, linear
models, or modified spiral models. The exact
sequence and wording of project lifecycle diagrams
can vary considerably between industries and
organizations; however, their objectives are the
same. By grouping activities into a project lifecycle
sequence, the project manager and the core team
can better:
• Define the phases that connect the beginning of
a project to its end.
• Identify the processes that project
Figure 9: Example Project Management Lifecycle
teams must implement as they Source: wwf.panda.org
move through the phases of the
project lifecycle.
• Illustrate how the project management lifecycle can be used to model the management of projects.
• Model how projects work within an environment of ‘constraints’, where changes to one constraint
will result in consequential changes to the other project parameters.

1.2.8 The Project DPro Phase Model

The Project DPro uses a phase model approach, providing guidance on what ought to be covered in each
phase of the project. The Project DPro Phase Model can be incorporated into already existing project
lifecycles or can stand alone if a lifecycle is not available within the organization.
It is important to point out that the phases don’t necessarily take place consecutively, but rather they
interact with one another. You do not start one phase, stop it, and start the next phase. This allows for
more flexibility and adaptability of the phase model into a variety of different projects and sectors.
The revised Project DPro Phase Model has 5 phases: Identification and Definition, Project Setup, Project
Planning, Project Implementation, and Project Closure.

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 Figure 10: Project DPro Phase Model

The Project DPro Phase Model was designed with the express intent of ensuring that the model is
balanced and comprehensive which is especially important within the context of the development and
humanitarian sectors. Too often, organizations place strong emphasis on designing and implementing
the project which can overshadow the importance of other phases in the life of the project.
Clearly, strong design and implementation of projects are necessary but is not sufficient to guarantee
project success. A project must not only invest in strong, coherent project design and implementation,
but must also commit to investing similar levels of resources and effort in all phases in the life of the
project.

Monitoring, Evaluation, Accountability, and Learning (MEAL)

In the previous version of the Project DPro, Monitoring, Evaluation, and Control (MEC) were
included as a phase. However, in this version, the MEC has been expanded to include
Accountability and Learning and has been incorporated into each of the phases of the project,
providing guidance and tools on MEAL activities that should be done in each of the phases. This,
more integrated approach, more clearly articulates how MEAL and project management need to
work together to bring about the outputs and outcomes of the project.

Project DPro Phases

Identification and Definition: It is during this phase that the project teams define needs, explore
opportunities, analyze the project environment, and design alternatives for defining the project. The
decisions made during the Project Identification and Definition Phase set the strategic and operational
framework within which the project will subsequently operate.
Project Setup: It is during this phase that the project is officially authorized, and the overall parameters
of the project are defined and communicated to the main project stakeholders. It is also during this
phase that the project team establishes the high-level project governance structure

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Project Planning: Starting from the
documents developed in earlier
phases of the project, during the
planning phase the team develops
a comprehensive and detailed
implementation plan and
supplementary plans (MEAL,
Supply Chain, etc.) that provides a
model for all the work of the
project. These plans are revisited
throughout the life of the project
and updated to reflect the
changing contexts of the project.
Project Implementation: The day-
to-day work of project
implementation is to lead and Figure 11: Project DPro Phase Interaction
manage the application of the
project implementation plan: leading the team, dealing with issues, managing the project team and
creatively integrating the different elements of the project plan.
Project Closure: This phase includes implementing all closure activities that need to occur at the end of
a project, including (but not limited to): confirming the deliverables with beneficiaries, collecting lessons
learned, and completing the administrative, financial and contractual closure activities.
In general, certain phases of the project will take place only after others are completed –for example,
project closure will take place after the project is implemented. This does not mean that project closure
is ignored until after the implementation phase is completed. While closure activities will take place
toward the end or after the implementation of the project, considerations will be made starting from
the Identification and Definition phase and incorporated into the Setup and Planning phases as well.

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1.2.9 Decision gates
Consulting Stakeholders
Decision gates are critically important to effectively
managing projects. Decision gates are checkpoints As the team develops the documents
in the project where you will justify that the project associated with each decision gate (i.e., a
should move forward as is, make changes based business case document, concept paper,
upon information available, or stop the project letter of interest, project proposal, etc.),
altogether. Think about it this way, you are going to it will need to engage stakeholders to
ask yourself: “are we still doing the right project explore the central questions related to
and are we still doing it in the right way?” the potential project. These questions
include (but are not limited to) the
Decision gates can take several different forms and
following:
the number of formal decision gates will depend on
the length and complexity of the project and the • Has the project scope been reviewed
environment in which the project is operating. and accepted by the project’s
The decision gate process should also be linked to beneficiaries?
the project management tolerances and the • Is the high-level project schedule
governance structure of the project team. The consistent with the expectations and
governance of the project will help to guide and constraints of stakeholders?
assist the project manager in making any changes • Have stakeholders agreed on a
and decisions through the decision gate process. If minimum level quality requirement?
there is clarity on the authority level the project • Has the high-level project scope,
manager has to make decisions and an schedule and budget been reviewed
understanding of which stakeholders to involve and with the implementing organizations
when, the Decision gate process will be more who will conduct project activities?
efficient and effective. These questions, and others like them,
Navigating and managing a large group of provide check-in points early on in the
stakeholders through a number of Decision gates project design process that help to
often takes considerable time and runs the risk of ensure that the official project proposal is
communications challenges. Despite this complexity feasible and appropriate.
and risk, the advantages of moving through
Decision gates in a participatory manner help to:
• Ensure that the organization does not invest extensive amounts of time, money, personnel capacity
and organizational capital in developing project proposals that lack commitment and support from
key decision makers (donors, implementing partners, decision-makers internal to the agency).
• Provides a framework for project control, ensuring that mechanisms are in place and are effectively
being used and examined throughout the life of the project.
• Support a robust analysis of the project concept, providing multiple perspectives and encouraging
collective ownership for the project once it begins implementation. It maps out the process through
which a project needs to be vetted in order to ensure that it has the support (both internal and
external) that is required for the project to ultimately be approved and reduces the probability of
the “perfected but rejected” scenario.

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One of the “best practices” used to manage the risk of a ‘perfected, but rejected’ scenario, is by
establishing a decision gate process that consists of a series of authorization points at various stages of
the project. By using decision gates, organizations identify a series of points in the project that require a
decision to either proceed with the next phase of the project, modify the scope, schedule, and/or
budget of the project or end the project outright. Each successive decision gate builds on the work that
was developed in the previous stage.

Decision Gates – Perfected BUT Rejected Scenario Example

Take, for example, you are in the Identification and Definition Phase and you ask yourself: “At
this point we have already invested considerable amounts of time/money/effort into the
identification and definition of the project without having any guarantee that our project will
be approved. Isn’t this a significant risk?”
There is always a risk that an organization will invest extensive resources in the Project
Identification and Definition Phase and then find out the project is not officially approved.
In an ideal world, the project team would want to set up a system through which they can
receive a clear indication of whether a project will (or will not) receive support BEFORE
considerable resources are invested in the identification and definition of the project.
Project teams want to avoid the “perfected, but rejected” scenario, where organizations have
already spent thousands (and even tens of thousands) of dollars on project identification and
definition activities, but the project ultimately lacks the support of key stakeholders (inside the
organization, in the community, among government staff, or from the intended donors).

Within the context of the Project DPro Project Phase Model, the decision gates are represented by the
triangles located between the project phases.

Figure 12: Decision gates in the Project DPro Phase Model

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As previously mentioned, the number of
decision gates in a project will vary according to Decision Gates: An Adaptive and Agile Tool
the project, its complexity, and the key
stakeholders. For that reason, the triangle icons As projects progress through the five phases,
(decision gates) in the Project Phase Model are it is recommended that the project team
intended to serve as an illustrative model of revisit the justification and planning of the
where decision gates might be placed. Some project through a series of formal decision
projects might have more decision gates, others gates (represented by triangles in the Project
might have less. What should be clear is that a DPro project phase model).
system of decision gates will help ensure that At each Decision gate, the project team has
project investments are not made without the the opportunity to decide whether the initial
buy-in of key stakeholders. justification for the project is valid, whether
Placing decision gates at regular points in the any major changes are required, or whether
project (for example, at the beginning of each project investments need to be halted
year of the project’s implementation) helps to: altogether.

• Keep the project focused on the need that Every project and organization will have a
different approach to decision gates. The
the project was originally undertaken to
most frequently used decision gates tend to
address;
be those that are found in the early phases
• Ensure that the context and assumptions of the project. These include the concept
that initially led to the approval of the papers and project proposals that comprise
project still exist; the input documents to decide whether to
• Provide an opportunity for the project move forward with potential projects. It is
team and key stakeholders to decide advisable, however, to also include decision
whether to: continue the project as it is gates in later phases of the project.
presently conceived; modify the project During the implementation phase, for
plan; terminate a project (which is not example, it is helpful to formally check to
necessarily a failure if the intervention is ensure that the need the project is intended
no longer appropriate, feasible, or to address still exists, that the logic of the
necessary). intervention is still valid, and that
The example in Table 3 identifies three decision implementation plans are still accurate.
gates that were established for the Delta River
Latrine Construction Project during the Project
Identification and Definition Phase.

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 Decision gates in the Delta River Latrine Construction Project
The decision gates during the Project Identification and Definition Phase in this case could be the
following:

As an implementing partner, you submit a Concept Note to an INGO

outlining the high-level activities, budget, and timeline for a project
under the INGO’s program. The Concept Note will result in one of the
Decision gate 1
following scenarios:
Project Concept Note
1.) Your Concept Note is approved, and you move to the next stage of a
fully developed proposal.
2.) Your Concept Note is rejected.
3.) Your Concept Note is approved with changes.
Once the initial Concept Note has been approved, you will likely be asked
to develop a fully developed proposal. Much like the Concept Note, there
Decision gate 2 are 3 possible scenarios that could take place:
Project Proposal 1.) The proposal is approved, and you move forward with setting up
and planning for the project.
2.) The proposal is rejected.
3.) The proposal is approved with changes.
Decision gate 3 Most governments (local or national) in which a project operates
Government requires authorization before proceeding. Governments generally need
Authorization to approve the location, concept, and other key elements of the project
before it moves forward to the next phase.
Table 3: Delta Rive Decision Gates Examples

Decision gates within each phase will differ depending on the project, organization, and context. Internal
Decision gates must be closed before moving to the next phase of the project. If a Decision gate remains
open while moving to the next phase, it could impact the project team’s ability to effectively complete
the steps that need to be taken in the next phase.

Figure 13: Identification and Definition Internal Decision Gate Examples

For example, if government authorization is not achieved and this Decision gate remains open, the
project team may spend resources and effort in the Project Setup phase while not having formal

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approval to actually move forward with the project. This could negatively impact the project,
organization, and stakeholders if the project does not receive the government authorization.
The stakeholders who will be involved in each internal decision gate may also vary, so thought needs to
be put into determining which internal Decision gates to include and which stakeholders should be
consulted during these processes.

Emergency Decision Gates

There will be circumstances in which project operating environments can change quickly and
decisions need to be made to determine how to move forward with the project. This is where
Emergency Decision gates come into play. Emergency Decision gates are put in place when a
decision needs to rapidly be made on whether to continue with a project or whether to close it
down. An example of when this could happen is in a conflict environment, when the
circumstances quickly evolve, putting the project (and/or team members) at risk.
This decision will not always be within the authority (tolerance) level of the project manager, in
most cases it will not be. The project manager should work with the governance structure and
stakeholders to determine if and when an Emergency Decision gate should be considered.

1.2.10 How the Phases are Organized

We will go through each of the Project DPro Phases in detail, highlighting the tools and processes to
achieve the output for each phase. The format of each phase is:
• Introduction: Highlights the importance of the phase and provides a general overview of the key
components to consider during this phase.
• Key Output: For each phase, there is a specific output that should be produced based upon the
tools and processes highlighted.
• What Does this Mean in Practice: Summarizes the linkage from the previous phase to the current
phase and incorporates any additional considerations you need to make during the phase.
• Inputs: Outlines all of the documents and tools that will be helpful in completing the processes for
the phase.
• Processes: Defines and provides examples of all of the processes and tools to achieve the phase
output.
Additionally, we have provided stories and mini case studies that showcase concrete examples of what
the tools and processes look like in practice. The Project DPro Guide pulls from a variety of projects in
the development and humanitarian sectors to give you a wide array of perspectives.

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