The document provides an overview of project pre-planning and stakeholder analysis, detailing the steps involved in the initial phases of project management using tools like the problem tree, stakeholder analysis, and objectives analysis. It emphasizes the importance of identifying core problems faced by beneficiaries, assessing stakeholder influence, and developing alternative strategies for project implementation. The document outlines various techniques for analyzing problems and objectives, culminating in the need for a logical framework for effective project planning.

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