Programming and Project Formulation Wokshop

Methods and Tools for Project Formulation

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 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)

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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

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.

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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?

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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

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:

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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.

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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 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.

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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 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.

ConclusionMethods and Tools