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Programming and Project Formulation Wokshop
Manila Sep 30-Oct 4, 2002
International Training Centre
Methods and Tools for Project Formulation
Methods and Tools
Methods and Tools for Project Formulation
Problem Tree Analysis Stakeholder Analysis Logical Framework Analysis Goal-Oriented Project Planning (ZOPP)
Methods and Tools
1. The Problem Tree
to identify major problems and their main causal relationships. a graphical arrangement of problems differentiated according to µcauses¶ and µeffects
.Methods and Tools Core Problem Approach Identify a ³core´ or central problem List all the problems related to or stemming from the core problem Determine which related problems are causes and which are effects of the core problem Arrange the problems in a cause-effect heirarchy around the core problem 1. 3. 2. 4.
Methods and Tools Problem Tree Example .
Methods and Tools From Problems to Objectives The Problem Tree provides the basis for: a) the identification of specific project objectives (by converting problems or constraints into specific objectives) b) the definition of project activities and outputs (by substituting cause-effect relationships with means-end relationships) .
Workshop format Participation of key stakeholders Process facilitation Achieving consensus on problems. causes and effects .Methods and Tools Problem Tree Analysis Relies on: Group-based inter-action eg.
Methods and Tools 2. To determine. . through consultation. concerns and information needs of different stakeholders To estimate the probable impact which various stakeholders will have on the project To identify measures to enhance stakeholder support for the sustainable development objectives of the project. will affect or be affected by a project. directly or indirectly. the issues. Stakeholder Analysis Purpose: to identify those groups who.
.Methods and Tools What is a Stakeholder? Any group within or outside a project that has a stake in the project¶s activities and/or outcomes.
Methods and Tools Categories of Project Stakeholders Government Local Authorities Vulnerable groups Employers Workers NGOs .
Inclusion: that stakeholders feel they are valued.Methods and Tools Importance of Stakeholder Analysis Stakeholder Analysis promotes the three necessary conditions for the effective implementation of a project. Capability: that stakeholders believe they can cope with and benefit from the changes which the project is intended to bring 3. Awareness/Comittment: that stakeholders understand and believe in the objectives and implementation strategy of the project. 2. consulted and part of the change process which the project represents . 1.
) and then divide them amongst the categories mentioned earlier.Methods and Tools Conducting a Stakeholder Analysis Step 1: Identify and Categorize Project Stakeholders: Identify project stakeholders (including local institutions. suppliers etc. community interest groups. .
Methods and Tools Step 2 Create a Probable Character Profile for each Stakeholder by seeking answers to questions like: What is the importance of the stakeholders for the project? What does the stakeholder demand of the project? What are the expected goals of the stakeholders? .
what are the opportunities and threats of the external environment? . Weaknesses. Opportunities and Threats of the Stakeholders to the Project (SWOT) What are the strengths and weaknesses of the stakeholders? As a consequence.Methods and Tools Step 3 Identify the Strengths.
Methods and Tools Step 4 Identify the main individuals/groups of Stakeholders who need special attention and propose specific measures in a summary table: Stakeholder Stakeholder Interest(s) in the Project Assessment of Impact Potential Strategies for Obtaining Support or Reducing Obstacles .
Methods and Tools Alternative Stakeholder Analysis Technique a) (Draw up a Chart on a whiteboard or flipchart) Draw up a chart Att=attitude Inf=influence E=estimate C=confidence .
or both) Transfer them to the left hand column of the chart in order of (perceived) importance .Methods and Tools b) List stakeholders Identify and list the stakeholders (individuals. or stakeholder groups.
from fully supportive to fully opposed. eg. from +5 to ²5 Column 3: Record your level of confidence in this estimate eg. From 1 (fully confident) to 5 (wild guess) .Confidence Methods and Tools c) Estimate Attitude and Column 2: Record your best estimate of the stakeholder's attitude.
Methods and Tools d) Estimate Influence and Confidence Repeat (3) for Stakeholder¶s perceived influence on the project .
Methods and Tools e) Plan Strategies Plan your strategies for approaching and involving each person or group. or of involving the stakeholder in the planning of project activities . The estimates in columns 2 to 5 help you to do this. It usually takes the form of obtaining more information. Your strategy is written in column 6.
the underlying assumptions and risks which will be faced . the means whereby these objectives will be achieved how progress towards achieving objectives will be measured and.Methods and Tools 3. Logical Framework Analysis Q: A: What is Logical Framework Analysis? An analytical tool to assist project specialists and stakeholders in conceptualising: the objectives of a project.
Methods and Tools The LogFrame Matrix The Logical Framework Approach uses a matrix or LogFrame to present information about project objectives. as indicated in the next slide: . logical and systematic way. outputs and activities in a concise. The basic Log Frame matrix contains 16 cells organized into 4 columns and 4 rows.
Verifiable Indicators Means of Verification Important Assumptions .Methods and Tools The LogFrame Matrix Objectives (Narrative Summary) Goal: (Development Objective) Purpose: (Immediate Objectives) Outputs: Activities: .
Contents of the LogFrame Matrix Objectives (Narrative Summary) Goal: (Development Objective) erifiable Indicators Means of erification Important Assumptions What are the quantitative ways of measuring. time) What sources of information What external factors are exists. This is essential for projects reporting and monitoring against the Logical Framework. and by when will they be produced? (quantity. if not present. quality. whether these broad objectives are being achieved? (estimated time) What are the quantitative measures or qualitative evidence by which achievement and distribution of impacts and benefits can be judged (estimated time) What kind and quantity of outputs. What are sources of information? . or can be provided necessary for sustaining cost-effectively? objectives in the long run? What sources of information exists or can be provided cost-effectively? Does provision for collection need to be made under inputsoutputs? (Purpose to Goal): What conditions external to the project are necessary if achievements of the project¶s purpose is to contribute to reaching the project goal? (Output of Purpose): What are the factors not within the control of the project which. are liable to restrict progress from outputs to achievements of project purpose? (Activity to Output): 1) What external factors must be realised to obtain planned outputs on schedule? 2) What kind of decisions or actions outside the control of the project are necessary for inception of the project? Purpose: (Immediate Objectives) Outputs: Indicate each of the outputs that are to be produced by the project in order to achieve project purpose What sources of information? Activities: Indicate each of the activities that must be undertaken in order to accomplish the outputs. VI¶s should be included against all activities. or qualitative ways of judging.
outputs. beneficiaries and stakeholders . activities (and inputs) It is based on a consultative process between project authorities. It is ³logical´ in the internal relationship between project objectives.Methods and Tools The LFA Process Logical framework analysis is an iteritive process which seeks to promote clear conceptual thinking on what a project intends to do and how it intends to do it.
Development Objective Step 2: Define the Purpose(s) to be achieved by the project (Immediate objectives) Step 3: Define the Outputs for achieving this Purpose .Methods and Tools Steps in Constructing a LogFrame Step 1: Define the Overall Goal to which your project contributes ie.
Methods and Tools Step 4: Define the Activities for achieving each Output Step 5: Define the Assumptions under which success in achieving the objective of one level will contribute to achieving objectives at the next level Step 6: Define the Objectively Verifiable Indicators (OVI) at Goal. Output and Activity levels. Purpose. Step 7: Define the Means of Verification (MOV) ie. the source(s) of information for each indicator .
Methods and Tools Why Use Logical Framework Analysis? Because it demands clear thinking at the conceptual stage of project formulation Because it brings together in one place a statement of all the key components of a project Because it presents them in a systematic. concise and coherent way .
Methods and Tools Because it separates out the various levels in the hierarchy of objectives. outputs and activities helping to ensure that they are not confused with each other Because it identifies the main factors related to the success of the project Because it provides a basis for monitoring and evaluation project success « and because 9 out of 10 donors prefer it! .
Rigidity in project management may arise when objectives and external factors specified during design are over emphasised. economic. It cannot replace the use of professionally qualified and experienced staff.Methods and Tools Limitations of the LFA It is not a substitute for other technical. social and environmental analyses. .
. It requires a team process with good leadership and facilitation skills to be effective. The whole culture of the Logical Framework can be alien in some societies.
Methods and Tools Tips When Filling in a LogFrame start at the top and work down the first column (what do you want to do?) then think horizontally: how can I measure the progress of what I want to do and what sources of info do I need?) then reflect back up (under what assumptions will success at one level contribute to (or detract from) success at the next level? .
Methods and Tools 4. and management of projects Applied through iterative workshops with project authorities. Goal Oriented Project Planning: ZOPP Zopp is a systematic structure for identification. beneficiaries and stakeholders Utilizes problem analysis and stakeholder analysis to create a project planning matrix or logical project framework . planning.
Re-planning ZOPP: prepared in-country. adjustments during project implementation. preparation of the plan of operations with personnel responsible for project execution and counterpart authorities. Appraisal ZOPP: in-house appraisal for preparing Project TORs Partner ZOPP: in-country.Methods and Tools Stages in the ZOPP Process Pre-ZOPP: in-house exercise by agencies in preparation for a project. . presentation and discussion of previous phase conclusions and recommendations with staff of project country Take-off ZOPP: in-country.
1 week) participants selected to represent all interest groups basic premise: main interest groups must be represented from all levels exercise requires a facilitator with a high degree of experience and skill .Methods and Tools Zopp Workshops last from 1 day to 2 weeks (avg.
costbenefit ratio. Prepared on charts.Methods and Tools WS Content and Methodology Based on a series of analysis and planning exercises comprising: i) Analysis Participant analysis: (interests. . social risks. feasibility. sustainability and other factors as decided by group. attitudes and implications for project) Problem analysis: major problems grouped into a problem-tree with cause and effect and identification of the core problem Objectives analysis: a restatement of the problems into realistically achievable goals. Alternatives analysis: assessment of alternative objectives according to resources. motives.
how the project is going to achieve these results. It is central to ZOPP-based project work because the process of building it relies on repeated. where data is needed to assess project success. factors crucial for the success of the project. what the project will cost. how can success be measured.Methods and Tools ZOPP¶s Project Planning Matrix (PPM) The PPM is a Logframe Matrix. what the project is expected to achieve. collaborative stakeholder input. . The PPM It is a one-page summary of: why the project is carried out.
Methods and Tools ZOPP¶s Iterative Workshops ZOPP¶s Iterative Process ZOPP is not a oneshot exercise. No set formula for successful workshop. All need to create common language and understand one another divergent views . Each plannng phase has a specific goal Each goal is the subject of a workshop Each workshop comprised of different stakeholders Participants analyse key issues throughout the project cycle.
otherwise. borrower/donor. The project team.Methods and Tools Conclusion Conclusion Collaboration is not "automatically" part of the ZOPP process. . the ZOPP process is merely an organizing tool. and stakeholders must commit to adopting a participatory stance for the overall project.