Project Formulation by lxv12805


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									      International Training Centre

Programming and Project
 Formulation Wokshop

     Sep 30-Oct 4, 2002
       International Training Centre

        Day Two:

  Methods and Tools
for Project Formulation
Methods      Methods and Tools for Project
and Tools

           Problem Tree Analysis
           Stakeholder Analysis
           Logical Framework Analysis
           Goal-Oriented Project Planning
and Tools   1. The Problem Tree

Purpose:         to identify major problems and
                       their main causal

Output:         a graphical arrangement of
                     problems differentiated
                     according to ‘causes’ and
and Tools    Core Problem Approach

    1.      Identify a “core” or central problem

    2.      List all the problems related to or stemming from
            the core problem

    3.      Determine which related problems are causes and
            which are effects of the core problem

    4.      Arrange the problems in a cause-effect heirarchy
            around the core problem
Methods     Problem Tree Example
and Tools
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)
and Tools   Problem Tree Analysis

Relies on:

• Group-based inter-action eg. Workshop
• Participation of key stakeholders
• Process facilitation
• Achieving consensus on problems,
  causes and effects
and Tools   2. Stakeholder Analysis

 to identify those groups who, directly or indirectly,
  will affect or be affected by a project.
 To determine, through consultation, the issues,
  concerns and information needs of different
 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
and Tools   What is a Stakeholder?

• Any group within or outside a
  project that has a stake in the
  project’s activities and/or
and Tools
                Categories of Project Stakeholders

                  Government
                  Local Authorities
                  Vulnerable groups
                  Employers
                  Workers
                  NGOs
and Tools   Importance of Stakeholder Analysis

   Stakeholder Analysis promotes the three necessary
   conditions for the effective implementation of a project.

1. Awareness/Comittment: that stakeholders
   understand and believe in the objectives and
   implementation strategy of the project.
2. Capability: that stakeholders believe they can
   cope with and benefit from the changes which the
   project is intended to bring
3. Inclusion: that stakeholders feel they are valued,
   consulted and part of the change process which
   the project represents
and Tools
            Conducting a Stakeholder Analysis

Step 1: Identify and Categorize Project

 Identify project stakeholders (including
  local institutions, community interest
  groups, suppliers etc.) and then divide
  them amongst the categories mentioned
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
    What are the expected goals of the
and Tools          Step 3
   Identify the Strengths, Weaknesses,
   Opportunities and Threats of the
   Stakeholders to the Project (SWOT)

     What are the strengths and weaknesses
      of the stakeholders?
     As a consequence, what are the
      opportunities and threats of the external
 and Tools                         Step 4

  Identify the main individuals/groups of
  Stakeholders who need special attention
  and propose specific measures in a
  summary table:
                Stakeholder                         Potential Strategies for
                                    Assessment of
Stakeholder   Interest(s) in the                    Obtaining Support or
                   Project                           Reducing Obstacles
                  Alternative Stakeholder
 and Tools          Analysis Technique
a)   (Draw up a Chart on a whiteboard or flipchart)

                               Draw up a chart

             Att=attitude Inf=influence E=estimate C=confidence
and Tools   b) List stakeholders
 Identify and list the stakeholders
  (individuals, or stakeholder groups, or

 Transfer them to the left hand column of
  the chart in order of (perceived)
Methods      c) Estimate Attitude and
and Tools

 Column 2: Record your best estimate of
  the stakeholder's attitude, from fully
  supportive to fully opposed. eg. from +5
  to –5
 Column 3: Record your level of
  confidence in this estimate eg. From 1
  (fully confident) to 5 (wild guess)
Methods     d) Estimate Influence and
and Tools

 Repeat (3) for Stakeholder’s perceived
  influence on the project
and Tools   e) Plan Strategies
   Plan your strategies for approaching and
    involving each person or group.
   The estimates in columns 2 to 5 help you to
    do this.
   Your strategy is written in column 6. It
    usually takes the form of obtaining more
    information, or of involving the stakeholder
    in the planning of project activities
 and Tools   3. Logical Framework Analysis

Q:     What is Logical Framework Analysis?
A:     An analytical tool to assist project specialists
       and stakeholders in conceptualising:

       the objectives of a project;
       the means whereby these objectives will
        be achieved
       how progress towards achieving
        objectives will be measured and,
       the underlying assumptions and risks
        which will be faced
and Tools   The LogFrame Matrix
• The Logical Framework Approach uses a matrix
  or LogFrame to present information about project
  objectives, outputs and activities in a concise,
  logical and systematic way.

• The basic Log Frame matrix contains 16 cells
  organized into 4 columns and 4 rows, as
  indicated in the next slide:
and Tools                          The LogFrame Matrix

                             Verifiable Indicators   Means of Verification   Important Assumptions
     (Narrative Summary)
   (Development Objective)

    (Immediate Objectives)

                                     Contents of the LogFrame Matrix

                              Verifiable Indicators            Means of Verification           Important Assumptions
 (Narrative Summary)
                          What are the quantitative
Goal:                     ways of measuring, or
                                                            What sources of information     What external factors are
(Development              qualitative ways of judging,
                                                            exists, or can be provided      necessary for sustaining
Objective)                whether these broad
                                                            cost-effectively?               objectives in the long run?
                          objectives are being
                          achieved? (estimated time)
                          What are the quantitative         What sources of information     (Purpose to Goal):
                          measures or qualitative           exists or can be provided       What conditions external to the
Purpose:                  evidence by which                 cost-effectively? Does          project are necessary if
(Immediate Objectives)    achievement and distribution      provision for collection need   achievements of the project’s
                          of impacts and benefits can be    to be made under inputs-        purpose is to contribute to
                          judged (estimated time)           outputs?                        reaching the project goal?
                                                                                            (Output of Purpose):
                                                                                            What are the factors not within
Indicate each of the      What kind and quantity of
                                                                                            the control of the project
outputs that are to be    outputs, and by when will         What sources of
                                                                                            which, if not present, are liable
produced by the project   they be produced? (quantity,      information?
                                                                                            to restrict progress from
in order to achieve       quality, time)
                                                                                            outputs to achievements of
project purpose
                                                                                            project purpose?
                                                                                            (Activity to Output):
                          VI’s should be included                                           1) What external factors must
                          against all activities. This is                                   be realised to obtain planned
Indicate each of the
                          essential for projects             What are sources of            outputs on schedule?
activities that must be
                          reporting and monitoring          information?                     2) What kind of decisions or
undertaken in order to
                          against the Logical                                               actions outside the control of
accomplish the outputs.
                          Framework.                                                        the project are necessary for
                                                                                            inception of the project?
    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.
       It is “logical” in the internal relationship
        between project objectives, outputs,
        activities (and inputs)
       It is based on a consultative process
        between project authorities, beneficiaries
        and stakeholders
and Tools   Steps in Constructing a LogFrame

   Step 1: Define the Overall Goal to which
    your project contributes ie. Development

   Step 2: Define the Purpose(s) to be
    achieved by the project (Immediate

   Step 3: Define the Outputs for achieving this
and Tools

   Step 4: Define the Activities for achieving each

   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, Purpose, Output and Activity levels.

   Step 7: Define the Means of Verification (MOV) ie. the
    source(s) of information for each indicator
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
 Because it presents them in a systematic,
  concise and coherent way
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

     Because it provides a basis for monitoring and evaluation project

  … and because 9 out of 10 donors prefer it!
Methods and
   Tools      Limitations of the LFA

   It is not a substitute for other technical,
    economic, social and environmental
    analyses. It cannot replace the use of
    professionally qualified and experienced

   Rigidity in project management may arise
    when objectives and external factors
    specified during design are over emphasised.
 It requires a team process with good
  leadership and facilitation skills to be
 The whole culture of the Logical
  Framework can be alien in some
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?
             4. Goal Oriented Project
and Tools        Planning: ZOPP

   Zopp is a systematic structure for
    identification, planning, and management of

   Applied through iterative workshops with
    project authorities, beneficiaries and

   Utilizes problem analysis and stakeholder
    analysis to create a project planning matrix
    or logical project framework
and Tools     Stages in the ZOPP Process

    Pre-ZOPP: in-house exercise by agencies in preparation for a

    Appraisal ZOPP: in-house appraisal for preparing Project TORs

    Partner ZOPP: in-country; presentation and discussion of previous
     phase conclusions and recommendations with staff of project

    Take-off ZOPP: in-country; preparation of the plan of operations
     with personnel responsible for project execution and counterpart

    Re-planning ZOPP: prepared in-country; adjustments during
     project implementation.
and Tools    Zopp Workshops

   last from 1 day to 2 weeks (avg. 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
and Tools
            WS Content and Methodology

          Based on a series of analysis and
       planning exercises comprising:
  i)   Analysis
                 Participant analysis: (interests, motives, 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, feasibility, cost-
                  benefit ratio, social risks, sustainability and other
                  factors as decided by group. Prepared on charts.
and Tools
            ZOPP’s Project Planning Matrix (PPM)

 The PPM is a Logframe Matrix. It is central to ZOPP-based
 project work because the process of building it relies on
 repeated, collaborative stakeholder input. The PPM It is a
 one-page summary of:

                 why the project is carried out,
                 what the project is expected to achieve,
                 how the project is going to achieve these results,
                 factors crucial for the success of the project,
                 how can success be measured,
                 where data is needed to assess project success,
                 what the project will cost.
and Tools
             ZOPP’s Iterative Process
            ZOPP’s Iterative Workshops

   • ZOPP is not a oneshot exercise;
   • Each plannng phase has a specific goal
   • Each goal is the subject of a workshop
   • Each workshop comprised of different
   • Participants analyse key issues throughout
     the project cycle.
   • No set formula for successful workshop.
   • All need to create common language and
     understand one another divergent views
and Tools

    Collaboration is not "automatically" part of
    the ZOPP process. The project team,
    borrower/donor, and stakeholders must
    commit to adopting a participatory stance
    for the overall project; otherwise, the
    ZOPP process is merely an organizing

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