International Training Centre Programming and Project Formulation Wokshop Manila Sep 30-Oct 4, 2002 International Training Centre Day Two: Methods and Tools for Project Formulation Methods Methods and Tools for Project and Tools Formulation Problem Tree Analysis Stakeholder Analysis Logical Framework Analysis Goal-Oriented Project Planning (ZOPP) Methods and Tools 1. The Problem Tree Purpose: to identify major problems and their main causal relationships. Output: a graphical arrangement of problems differentiated according to ‘causes’ and ‘effects Methods 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 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) Methods and Tools Problem Tree Analysis Relies on: • Group-based inter-action eg. Workshop format • Participation of key stakeholders • Process facilitation • Achieving consensus on problems, causes and effects Methods and Tools 2. Stakeholder Analysis Purpose: 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 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. 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 Methods 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 Methods and Tools Conducting a Stakeholder Analysis Step 1: Identify and Categorize Project Stakeholders: Identify project stakeholders (including local institutions, community interest groups, suppliers etc.) and then divide them amongst the categories mentioned earlier. 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? Methods 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 environment? 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 Potential Strategies for Assessment of Stakeholder Interest(s) in the Obtaining Support or Impact Project Reducing Obstacles Methods 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 Methods and Tools b) List stakeholders Identify and list the stakeholders (individuals, or stakeholder groups, or both) Transfer them to the left hand column of the chart in order of (perceived) importance Methods c) Estimate Attitude and and Tools Confidence 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 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. 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 Methods 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 Methods 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: Methods and Tools The LogFrame Matrix Objectives Verifiable Indicators Means of Verification Important Assumptions (Narrative Summary) Goal: (Development Objective) Purpose: (Immediate Objectives) Outputs: Activities: . Contents of the LogFrame Matrix Objectives 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): Outputs: 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 Activities: 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? 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. 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 Methods and Tools Steps in Constructing a LogFrame Step 1: Define the Overall Goal to which your project contributes ie. 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 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, Purpose, Output and Activity levels. 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! 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 staff. 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 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 4. Goal Oriented Project and Tools Planning: ZOPP Zopp is a systematic structure for identification, planning, and management of projects Applied through iterative workshops with project authorities, beneficiaries and stakeholders Utilizes problem analysis and stakeholder analysis to create a project planning matrix or logical project framework Methods and Tools Stages in the ZOPP Process Pre-ZOPP: in-house exercise by agencies in preparation for a project. 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 country Take-off ZOPP: in-country; preparation of the plan of operations with personnel responsible for project execution and counterpart authorities. Re-planning ZOPP: prepared in-country; adjustments during project implementation. Methods 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 Methods 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. Methods 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. Methods 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 stakeholders • 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 Methods Conclusion and Tools Conclusion 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 tool.
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