TRAINING KIT

MODULE 4

RESULTS-BASED PLANNING:

PRELIMINARY STEPS FOR

IMPLEMENTING RBM

Summary

● Development Planning and the Concept of RBP

● Key Stages in the RBP Process

● Stakeholder Analysis

● Problem Analysis

● Objective Analysis

● Alternative Analysis

Development Planning: What is it?

Planning can be defined as a process which helps define

objectives, develop strategies, map out the great links of

implementation arrangements and allocate necessary resources

for the achievement of these objectives.

Good planning, associated with effective monitoring and

evaluation, can play a fundamental role in improving the

effectiveness of development interventions.

Good planning helps focus on important results so that

development interventions contribute to improving the socio-

economic conditions of populations.

General RBP Concept

● Results-based planning (RBP), as part of MfDR, is rooted in

the importance of a prior plan – for all development

interventions – the expected results before developing the

strategy for attaining these results.

● RBF targets country ownership of priorities and develpment

results.

● RBP must first respond to these 3 questions: 1. What are the key development problems?

2. Which social groups are most vulnerable to these key problems?

3. What are the major obstacles which impede the use of existing

capacities for implementing solutions?

Key stages in the RBP process (1/2)

1. Start by identifying an obstacle (shortcoming or a specific

problem) that is important and needs to be overcome. This is

the project idea.

2. Then identify the key stakeholders of the obstacle or identified

problem (stakeholder analysis).

3. Next, evaluate the development issues from the perspective of

potential beneficiaries (problem analysis).

4. Then examine possible solutions and determine the best

solution for each problem (objective analysis).

5. Next, define realistic results taking into consideration the

country situation, partner capacity and available resources

(alternative analysis).

Key stages in the RBP process (2/2)

Stakeholder analysis

Problem analysis

Objective analysis Analysis of alternatives

Results chain (first column of logical

framework)

Goal/impact

Objecive/ outcome

Product/ output

Activities Resources / Inputs

Stakeholder Analysis

● Agencies, organisations, groups or individuals who have a

direct or indirect interest in the development intervention or in

its evaluation (OECD glossary).

● Stakeholders are those who are affected, positively or

negatively, directly or indirectly, by the development problem

and its possible resolution. For example: Individuals or groups affected by the problem.

Individuals or groups who could influence the problem.

Individuals, groups or organisations with interests in resources

which could solve the problem.

Individuals or groups affected by a decision or who could

influence a decision related to the problem.

Stakeholders & the affected: who are they?

It allows for the identification of:

● The interests and needs of individuals and groups, notably

their capacities with regards to planning, execution,

monitoring and evaluation of the programme.

● The individuals and groups who will be directly involved in

different stages of the program cycle

● Changes in practices or in required, desired and feasible

attitudes from final programme beneficiaries’ viewpoint.

Stakeholder Analysis: What exactly is it?

Stakeholder Analysis Matrix

Staleholder type

Interest Perceived problem

Resources and Mandate

Potential conflict

Interest in a strategy

Take part in this first step End after step 4 in the logical framework

Problem Analysis

It is a participatory method of causal analysis of development

problems with the goal of identifying the causes and the effects of

identified problems as experienced and perceived by key

stakeholders.

Problem analysis is the first stage of results-based management

(RBM). It results in a diagram called the problem tree.

Problem Analysis (1/2)

The problem tree revolves

around three basic

components:

● Problems

● Causes

● Effects

Effect

Cause Logi

cal d

irec

tio

n

It is a process which facilitates:

● Analysis of a given situation with respect to development

issues (set of problems).

● Identification of important problems.

● Definition of the central problem in that situation.

● Visualisation of "cause and effect" relationships which

characterise these problems in a diagram (hierarchy).

A problem = an unsatisfactory state, which translates into a loss,

a risk, an unused potential or opportunity …

BUT NOT the lack of a possible solution to a problem.

Problem Analysis (2/2)

Only key problems should be part of the problem analysis in order

to make the exercise fluid and feasible.

● Write a problem (as perceived by stakeholders) in a negative

form. A problem must be clearly stated and without ambiguity.

● Write one problem per card.

● Only identify real problems – and not potential or probable

problems.

● A problem must not be a lack of a solution– it is a negative

state (or situation) that actually exists.

● The problem’s importance is not determined by its

position/level in the problem tree. ● Example of a problem linked to child diseases :

Lack of potable water in the area (incorrect) Children suffering from chronic diarrhoea (correct).

Problem Analysis: Technical Prerequisites

Problem existence

Why? Because…

The "central problem" (an inefficient,

lacking, insufficient public service,

etc.)

Immediate causes

Why? Because…

The most obvious causes, having a

direct influence on the "central

problem"

Underlying causes

Why? Because…

Insufficiences in social services, lack

of access, degrading practices, etc.

Structural, deep, root

causes

Economic and social organisation,

various policies, inequitable

distribution of natural resources,

governance, political situation

Structuring a problem tree (1/2)

Structuring a problem tree (2/2)

Main problem

Structural causes

Underlying causes

Immediate cause

Tertiary outcome

Secondary outcome

Primary outcome

Example of a problem tree

Customs restrictions

Lack of spare parts

lack of training

Poorly trained mechanics Lack of capital budget

Company in deficit

Ticket cost covers only 75% of

operational budget

Poor bus maintenance Old dilapidated bus

Bus fleet in disrepair

Frequent failures

no minimum required

driving threshold

Bad drivers

Police cannot control

the growing traffic

Inadequate traffic

management

City council has different

priorities

Insufficient budget Maintenance

Frequent delays Fequent bus accidents Bad roads

Poor public transport offer by RMB

Service request RMB in decline

Use of private vehicles

increase

Increased congestion High pollution Increased tansportation

cost per capita

1st stage: Identify the major problems linked to the situation

or issues under consideration (brainstorming).

2nd stage: State the central problem.

3rd stage: Identify the causes of the central problem.

4th stage: Identify the effects created by the central problem.

5th stage: Create a diagram summarizing the cause and effect

relations (a hierarchy of problems).

6th stage: Review the entire diagram and verify its validity and

comprehensiveness.

How to create a problem tree?

Objective Analysis

It’s a methodological approach for:

● Identifying possible solutions for the project.

● Describing the expected future situation after resolving the

problems.

20 Septembre 2012

Objective Analysis

Example of a problem tree

No customs restrictions

Availaibility of spare

parts

Effective training

Well trained mechanics Operational capital budget

Support obtained

Good bus maintenance Plan for replacing buses

Bus fleet in good shape

Rare bu failures

Required driving

threshold

Good drivers

Police can control

the growing traffic

Effective traffic

management

City council has provided

additional resources

Enough budget for

maintenance

Less delays Limited bus accidents Better roads

Improved public transport

quality by RMB

Service request RMB in growth

Use of private vehicles

decreased

Better city traffic Reduced pollution Reducedtansportation

cost per capita

1st stage: Reformulate all the negative situations of the

hierarchy of problems into desirable and

achievable positives. Formulate the objectives in

the past participle.

2nd stage: Check the "results-resources" relations to confirm

that the diagram is complete and valid.

3rd stage: If necessary: Modify certain formulations .

Add new objectives if these appear to be pertinent and

necessary for achieving the stated objective of the

next stage.

Remove objectives which appear not to be wanted or

necessary.

How to create an objective tree?

Alternative Analysis

An alternative analysis is a systematic tool for seeking and

taking decisions on solutions to problems. It occurs after the

problem analysis and objective analysis and is a prerequisite

condition for the design of an intervention strategy.

All the alternatives considered must have one thing in

common: they must contribute to solving a problem.

In other words, the alternatives must adapt to the

achievement of certain important objectives.

Alternative Analaysis

Example of an alternative analysis

No customs restrictions

Availaibility of spare

parts

Effective training

Well trained mechanics Operational capital budget

Support obtained

Good bus maintenance Plan for replacing buses

Bus fleet in good shape

Rare bu failures

Required driving

threshold

Good drivers

Police can control

the growing traffic

Effective traffic

management

City council has provided

additional resources

Enough budget for

maintenance

Less delays Limited bus accidents Better roads

Improved public transport

quality by RMB

Service request RMB in growth

Use of private vehicles

decreased

Better city traffic Reduced pollution Reducedtansportation

cost per capita

Alternative 1

Alternative 2 Alternative 3

1: Bus fleet 2: Bus drivers 3: Road Quality

Alternative Analysis: Link with LFM

Once the alternative analysis is finalised, the elements for starting work

on the Logical Framework Matrix (LFM) are combined; the first

important element being the results chain.

Objective /

outcomes

Goal / Impact

Activities Resources/Inputs

Product /

output

Selected alternatives Logical framework matrix

Thanks for your attention.

AfCoP Web Site: http://copmfdrafrica.ning.com