Programming and Project
Formulation Wokshop
Manila
Sep 30-Oct 4, 2002
International Training Centre
Day Two:
Methods and Tools
for Project Formulation
International Training Centre
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
Purpose: to identify major problems and
their main causal
relationships.
Output: a graphical arrangement of
problems differentiated
according to ‘causes’ and
‘effects
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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
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Problem Tree ExampleMethods
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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)
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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
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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.
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What is a Stakeholder?
• Any group within or outside a
project that has a stake in the
project’s activities and/or
outcomes.
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Categories of Project Stakeholders
Government
Local Authorities
Vulnerable groups
Employers
Workers
NGOs
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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
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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.
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Step 2
Create a Probable Character Profilefor 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?
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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?
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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
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Alternative Stakeholder
Analysis Technique
a) (Draw up a Chart on a whiteboard or flipchart)
Att=attitude Inf=influence E=estimate C=confidence
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Draw up a chart
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
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c) Estimate Attitude and
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)
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d) Estimate Influence and
Confidence
Repeat (3) for Stakeholder’s perceived
influence on the project
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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
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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:
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The LogFrame Matrix
Objectives
(Narrative Summary) Verifiable Indicators Means of Verification Important Assumptions
Goal:
(Development Objective)
Purpose:
(Immediate Objectives)
Outputs:
Activities:
.
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Objectives
(Narrative Summary) Verifiable Indicators Means of Verification Important Assumptions
Goal:
(Development
Objective)
What are the quantitative
ways of measuring, or
qualitative ways of judging,
whether these broad
objectives are being
achieved? (estimated time)
What sources of information
exists, or can be provided
cost-effectively?
What external factors are
necessary for sustaining
objectives in the long run?
Purpose:
(Immediate Objectives)
What are the quantitative
measures or qualitative
evidence by which
achievement and distribution
of impacts and benefits can be
judged (estimated time)
What sources of information
exists or can be provided
cost-effectively? Does
provision for collection need
to be made under inputs-
outputs?
(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?
Outputs:
Indicate each of the
outputs that are to be
produced by the project
in order to achieve
project purpose
What kind and quantity of
outputs, and by when will
they be produced? (quantity,
quality, time)
What sources of
information?
(Output of Purpose):
What are the factors not within
the control of the project
which, if not present, are liable
to restrict progress from
outputs to achievements of
project purpose?
Activities:
Indicate each of the
activities that must be
undertaken in order to
accomplish the outputs.
VI’s should be included
against all activities. This is
essential for projects
reporting and monitoring
against the Logical
Framework.
What are sources of
information?
(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?
Contents of the LogFrame Matrix
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
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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
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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
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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
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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!
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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.
Methods and
Tools
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.
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?
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4. Goal Oriented Project
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
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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.
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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
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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
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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.
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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
ZOPP’s Iterative ProcessMethods
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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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