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4 Project Pre-Planning & Stakeholder Analysis

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A series of modules on project cycle, planning and the logical framework, aimed at team leaders of international NGOs in developing countries. (Part 4 of 11) …

A series of modules on project cycle, planning and the logical framework, aimed at team leaders of international NGOs in developing countries. (Part 4 of 11)

There is a handout to go with this presentation, a sample Watsan stakeholder analysis: http://www.slideshare.net/Makewa/4-watsan-stakeholder-analysis-jan091

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  • 3 – 4 hours. Need: Flip Charts 2-3, Marker pens Print: Basic Cycle, List of stages (slides 4 & 5), Problem Tree, Stakeholder grid
  • PRINT THIS AS HANDOUT
  • Ex-Ante Appraisal: A. Outline funding mechanisms and budget B. Define project PRINT THIS AS HANDOUT C. socio-economic context of the intervention D. Analysis of the strengths, weaknesses, opportunities and threats E. Take account of the success / failure of the past programmes F. Means to attain the Objectives G. Assessment the rationale and overall consistency of the strategy H. Quantify objectives (Output, and Impact indicators for each measure)
  • Ex-Ante Appraisal: A. Outline funding mechanisms and budget B. Define project C. socio-economic context of the intervention D. Analysis of the strengths, weaknesses, opportunities and threats E. Take account of the success / failure of the past programmes F. Means to attain the Objectives G. Assessment the rationale and overall consistency of the strategy H. Quantify objectives (Output, and Impact indicators for each measure)
  • 3 stages for the problem analysis: Identify the major problem faced by the beneficiaries: based on demand from the community, needs as assessed by experts or project staff or any other stakeholder Develop a problem tree identify the stakeholders affected in the proposed project
  • Last 3 stages for the problem analysis: Turn problem tree into objectives tree, look at different approaches and how they can be implemented
  • The technique is an integral part of the ZOPP approach assists in analysing an existing situation by identifying the major problems and their main causal relationships
  • Internal and External Primary and Secondary
  • May also use a ranking exercise
  • Primary stakeholders will usually be found in top two boxes and secondary in lower two
  • Primary stakeholders will usually be found in top two boxes and secondary in lower two
  • Example used: Children attending school Problem tree: intuitive central problem is low attendance; but many problems stem from low family income – is this the core? Stakeholder Analysis: Use a blank matrix
  • The technique is an integral part of the ZOPP approach assists in analysing an existing situation by identifying the major problems and their main causal relationships
  • See next slide to continue example
  • Based on the objective tree, there are several options for the project, either to tackle all the branches, or only one of them or only sub-problems. Next slide to discuss choices.
  • Certain criteria will have to be determined to decide between different alternatives: Available resources (usually the main criteria) Probability of achieving objectives Timeframe Cost Socio-political risks etc. Once the most appropriate strategy is chosen, this is summarised in the log-frame
  • Transcript

    • 1. Project Planning 2: Pre-Planning and Stakeholder Analysis
    • 2. Overview of this session
      • Project Cycle Step 1
      • What is Project Pre-Planning?
      • Planning Tools
        • PROBLEM TREE
        • STAKEHOLDER ANALYSIS
        • OBJECTIVES ANALYSIS
        • ALTERNATIVES ANALYSIS
      • Exercise and Comments
    • 3. “ ZOPP / GOPP / OOPP Goal Oriented Project Planning “ Planning … aimed at the needs of target groups, the key parts of a project agreed with those concerned ”
    • 4. Generic Project Cycle Identification Appraisal Negotiation and Approval Implementation & Monitoring Evaluation
    • 5. ZOPP and the Project Cycle GTZ - 5 ZOPP Stages
      • Pre-project planning
      • Starting Appraisal
      • Partner Negotiation
      • Plan Finalization
      • Implementation and Monitoring
      • Evaluation
    • 6. ZOPP and the Project Cycle GTZ - 5 ZOPP Stages
      • Pre-project planning
      • Starting Appraisal : (Ex-Ante) in-house, prepare Terms of Reference
      • Partner Negotiation : coordinate conclusions and recommendations with staff of project in-country
      • Plan Finalization ( Take-off): in-country preparation of the plan of operations with personnel responsible for project execution and counterpart authorities.
      • Implementation and Monitoring
      • Evaluation ( Replanning and ex-post): in-country; adjustments during project implementation, Review
    • 7. Pre Project Planning:
      • Identify Problem
      • Problem Analysis
        • Stakeholder consultations
      • Preliminary feasibility study
        • Identification of funding agencies
        • Consideration of possible approaches
        • Site consultation
    • 8. Pre Project Planning:
      • Possible outputs
        • Concept note/paper
        • Proposal
        • Preliminary feasibility report
    • 9. Pre-project planning
      • In-house exercise by agency
      • Problem Analysis
        • Problem Identification: Problem Tree
        • Stakeholder Analysis
        • Objectives Analysis
        • Alternatives Analysis
    • 10. 1. P r o b l e m Analysis
      • Identify the major problem faced by the beneficiaries
      • Develop a problem tree
      • Identify the stakeholders affected in the proposed project
    • 11. P r o b l e m Analysis
      • Objectives Analysis
      • Alternatives Analysis
      • Strategies Analysis
    • 12. Problem Tree
      • A process of putting a lot of problems on cards, and then sorting
        • causes
        • effects
      • By sorting these you will find a natural focal point (or points) – the core problem
      • Note: this is different to Visualisation in Participatory Processes where the core problem has already been identified
    • 13. How to do problem analysis
      • Identify key problems in a given situation (brainstorming)
      • Select a starter problem
      • Look for related problems to the starter problem
      • Establish hierarchy of causes and effects
        • problems which are directly causing the starter problem are placed above (or below)
        • problems which are direct effects of the starter problem are placed below (or above)
      • Complete with all other problems
      • Review the diagram
        • Is the starter problem you chose the core problem
        • Is it true and complete
    • 14. Problem Tree
    • 15. 2. Stakeholder Analysis
      • Consider appropriate level for analysis
      • Identify key stakeholders
      • Look at their needs, characteristics, circumstances
      • Identify patterns of interaction between stakeholders
      • Assess power (influence) and potential (importance)
    • 16. Stakeholder Analysis: List Secondary Primary Participation Influence on project Importance to Project Key Interests Stakeholders
    • 17. Stakeholder Analysis: List Example: School Attendance May be high Medium – depends on approach High – implementers? Their job, role, status Teachers Maybe small High – control children Have authority over the children Child’s future Parents Engaged at various stages Small – they do what they are told The target group Get work School Age Children Participation Influence on project Importance to Project Key Interests Stake-holders
    • 18. Sort into groups
      • Importance is how much a stakeholder stands to lose or gain from the project.
      • Influence is how much a stakeholder can affect project success.
      •  Matrix
    • 19. Stakeholder Analysis: Matrix Low Influence High Influence High Potential Significance or Importance Low Importance Influential stakeholders but with less importance for outputs. They affect outcome of activities and need careful management The interests of these should be monitored to ensure that they are not negatively affected Project Managers will need good working relationships with these stakeholders to ensure support for project activities May need special initiatives if needs are to be met. The Target Group should be here
    • 20. Stakeholder Analysis: Matrix Example: School Attendance Project Low Influence High Influence High Potential Significance or Importance Low Importance Elders Monks Women’s Association Teachers Dept of Education Children
    • 21. Take a Break
    • 22. Exercise: Problem Tree & Stakeholder Analysis
      • Choose a problem in the community
      • Divide in 2 groups
      • 1. Do a problem tree
      • 2. Do a stakeholder analysis matrix
    • 23. 3. Objectives Analysis
      • Change the Problem Tree into an Objectives Tree
      • Change the negative problems into positive outcomes
        • “ no staff in clinic’ becomes “fully staffed clinic”
    • 24. Example: Problem Tree
    • 25. Becomes: Objective Tree Sufficient Funds Best Practice Water Administration Low Rate of Disease Low Infant Mortality High Productivity High Incomes Low Infant Mortality High Incomes High Productivity Low Infant Mortality High Incomes Low Rate of Disease High Productivity Low Infant Mortality High Incomes Low Rate of Disease High Productivity Low Infant Mortality High Incomes Low Rate of Disease High Productivity Low Infant Mortality High Incomes Best Practice Water Administration All Houses Connected Low Rate of Disease High Productivity Low Infant Mortality High Incomes Best Practice Water Administration Adequate Clean WATER Low Rate of Disease High Productivity Low Infant Mortality High Incomes Sufficient Funds Good Water System Best Practice Water Administration Low Rate of Disease High Productivity Low Infant Mortality High Incomes MEANS ENDS DESIRABLE STATE If necessary, revise statements, delete objectives that appear unrealistic and add new objectives.
    • 26.
      • This is another sample of doing an analysis
      • It works on a problem already known
      • It is looking at the causes side only
      Objectives Analysis Example 2
    • 27. EFFECTS CAUSES The system receives no maintenance The irrigation system is faulty Some irrigation structures have been destroyed Support services for farmers are not available in the area The farmers have no investment capacity Rice production is insufficient for the population of village x Agricultural practices are unsuitable a) Problem tree
    • 28. b) Identifying stakeholders PUBLIC PRIVATE SMALL (micro) LARGE (macro) FAO MoA Irrigation Dept . Agric. Ext. services NGO Farmers’ groups Farmers Fertiliser suppliers
    • 29. c) Transforming Problems into Objectives Rice production is insufficient for the population of village x The irrigation system is faulty Agricultural practices are unsuitable The system receives no maintenance Some irrigation structures have been destroyed Support services for farmers are not available Farmers do not have investment capacity Rice production is sufficient for the population of village x The irrigation system is working Agricultural practices are appropriate The system receives proper maintenance Support services for farmers are available Damaged irrigation structures are repaired Farmers have the resources to invest Problems Objectives
    • 30. d) Objectives tree MEANS ENDS Rice production is sufficient for the population of village x The irrigation system is working Agricultural practices are appropriate The system receives proper maintenance Damaged irrigation structures are repaired Support services for farmers are available Farmers have the resources to invest
    • 31. 4. Alternatives Analysis
      • List all the different approaches
        • Assess
        • Compare
      • Look at inputs (cost) and outcomes (results)
    • 32. Look at Alternatives Rice production is sufficient for the population of village x The irrigation system is working Agricultural practices are appropriate The system receives proper maintenance Damaged irrigation structures are repaired Farmers have the resources to invest  Training of District staff  Channel & Dam Repair project  Strengthen Agriculture Dept  Start a Savings Group / Bank  Farmer Co-op Support services for farmers are available
    • 33. 4. Alternatives Analysis
      • Possible criteria to choose the intervention method of your project among different alternatives:
      • Available resources (especially HR)
      • Probability of achieving the project purpose and its results
      • Cost
      • Timeframe
      • Risks
    • 34. 5. Analysis of strategy SPECIFIC OBJECTIVE (or project purpose) EXPECTED RESULTS OVERALL OBJECTIVE CHOSEN STRATEGY Rice production is sufficient for the population of village x The irrigation system is working Agricultural practices are appropriate The system receives proper maintenance Damaged irrigation structures are repaired Support services for farmers are available Farmers have the resources to invest
    • 35. Next step…
      • Having chosen your intervention strategy,
      • you can write the log frame.
      • The next session will show how to do that
    • 36. Discussion
      • Questions and follow ups
      • Feedback
    • 37. Thank you ហាកុន
    • 38. Produced by Tony Hobbs Health Unlimited, Ratanakiri, Cambodia www.healthunlimited.org With the support of Australian Volunteers International www.australianvolunteers.com © 2009 HU. Use with Acknowledgement