M3_S0_overview-PFP_180916_KSD.pptx

Overview
Module 3: Project Formulation/Preparation
Sidaroth KONG; September 2016

Contents
1. What is Project Formulation/Preparation (PFP)?
2. Why is PFP important in Project Cycle Management (PCM)?
3. How to ensure obtaining effective PFP?
4. Objectives of the module
5. Contents of the module
6. Recommended techniques and tools to be used in the module
7. Reviewing summary report and prioritized problems from PPI
8. Module Pre-Test and Post-Test
9. Conclusion
2

Contents
9. Conclusion
3

Project Formulation/Preparation (PFP) is the second phase of
Project Cycle Management (PCM), which covers:
 The scoping and exploring possibilities define broad
parameters of project and provide the foundation for
subsequent analysis. A clear scope sets boundaries for
what the project will attempt to do.
4

 The risk assessment and management identify what are
potential risks and obstacles the project will likely
encounter and how to manage them.
 The objective analysis facilitates the systematic
identification and prioritization of objectives and
opportunities in a hierarchy or relationship of means-ends.
5

 The planning and organizing of project framework in the
Logframe through the analysis of inputs, activities, results,
purpose or outcome, and overall objective or goal as a
result of strategy analysis and selection.
 The communication plan which describes how the project
team is going to effectively communicate with each other
within the project and to those who engage with the
project externally.
6

 The monitoring and evaluation plan which develops a clear
plan for monitoring and evaluation.
 The work plan and budget plan which lay out detailed
arrangements for technical and operational aspects of project
implementation such as the scheduling of project activities and
budget planning.
 The consolidation of the above results into a complete project
document namely a project proposal which is used to
communicate with stakeholders and potential donors.
7

Scoping the Project
and Explore
Possibilities
Risk Assessment
and Management
Objective Tree
Analysis
Project Strategy
and Goal
Logframe
Communication
Plan
Formulation of
Monitoring and
Evaluation Plan
Work Plan and
Budget Plan
Elements of
Project Proposal
8

2. Why is PFP Important in Project Cycle Management (PCM)
 According to Project Cycle Management, PFP is the second
phase after the Problem/Project Identification (PPI) phase.
 This phase uses results of analysis – project viability,
context, stakeholders, and identified problems – from the
PPI as inputs for the next analysis in order to create a
coherent and convincing project proposal and to outline
necessary plans for the Project Implementation phase.
9

Contents
9. Conclusion
10

The importance of PFP to PCM includes
 Set a strong foundation for the implementation phase through
systematic and comprehensive analysis.
 Formulate a project that is capable of achieving its intended
purpose/objective, of addressing identified problems, of managing
potential risks, of designing activities and realistic time frame.
 Maintain effective communication with internal and external
stakeholders.
11

The importance of PFP to PCM includes
 Provide an estimate project cost.
 Prepare the project for monitoring and evaluation which is
vital in assessing change or impacts of the project at local
and national level.
 Develop a strong project proposal through incorporating
the principles of relevant techniques, tools and contexts.
12

Contents
9. Conclusion
13

3. How to Ensure Obtaining Effective PFP?
 PFP uses information or analysis results obtained from
Problem/Project Identification (PPI) phase such as project
viability, situation or context, stakeholders, and identified
problems.
 In addition to that, majority of information in PFP is generated
from discussion or meetings with project team and stakeholders.
It is important, therefore, to maintain effective and two-way
communication with them in order to obtain necessary
information or ideas or cooperation for relevant analysis of PFP.
14

 A good analysis normally requires enough time and the
process is highly iterative. That is why going back to a
previous questioning or analysis step reveals necessary most
of the time.
 Although analysis in PFP can rely a lot on stakeholder
consultation or participation, the analysis should be evidence
based – using observed or documented facts.
15

In some cases, the project team can consult more information, secondary
data, obtained from original and reliable sources in electronic/printing format:
 Improving the understanding on how to use relevant techniques and tools.
 Looking for examples on how various techniques or tools are used, in
similar areas, to formulate and prepare their projects.
 Looking for opportunities for funding or calls for proposal or potential
donors.
16

Contents
9. Conclusion
17

4. Objectives of the Module
 Participants understand the importance of PFP in Project Cycle
Management.
 Participants understand in depth how various techniques and
tools are used in:
 scoping the project and explore the possibilities
 assessing and managing risks
 analyzing objective tree
 forming and selecting project strategy and goal
 developing Logframe
18

4. Objectives of the Module
 Participants understand in depth how various techniques and
tools are used in:
 developing communication plan
 formulating of monitoring and evaluation plan
 developing work plan and budget plan
 examining elements of project proposal.
 Participants are able to conceptualize and apply these
techniques and tools in formulating and preparing a project.
19

Contents
9. Conclusion
20

5. Contents of the Module
Scoping the Project and Explore the Possibilities
Scoping
 What is project scoping?
 How important is project scoping?
 How to conduct project scoping?
 Recommended tools for project scoping
21

Exploring the possibilities
 What is the exploring possibilities?
 How important is exploring possibilities
 How to conduct exploring possibilities?
 Recommended tools for exploring possibilities
22

Risk Assessment and Management
 What is risk assessment and management?
 Why the risk assessment and management is important in PFP?
 How to conduct risk assessment & management?
 Recommended tools to be used in risk assessment
23

Objective Tree Analysis
 What is an Objective Tree Analysis?
 Reformulating problem statements into objective statements
 Steps in formulating an Objective Tree
 Examples of Objective Tree
24

Project Strategy and Goal
 Analysis of project strategy
 Criteria for choosing a project strategy
 Examples of project strategy selection
 SMART goal
25

Logframe
 What is Logframe?
 Why Logframe is important for PFP?
 How to develop Logframe?
 Recommended formats and tools for Logframe
26

Communication Plan
 What is communication plan
 Why communication plan is important?
 How to develop communication plan?
27

Formulation of Monitoring and Evaluation Plan
 What formulating M&E plan is?
 Why is it important for formulating M&E plan?
 How to formulate M&E plan?
28

Work Plan and Budget Plan
 What is a work plan?
 What types of work plan and its elements?
 Benefit of work plan
 Examples of different work plan formats
 What is a budget plan?
 How to develop a budget plan?
29

Elements of Project Proposal
 What are elements of project proposal?
 Why is it important to know about the elements of project
proposal?
 How to develop a project proposal?
 Project proposal checklist
 Planning for project report
30

Contents
9. Conclusion
31

6. Recommended Techniques and Tools to Be Used in the Module
The following techniques, and their tools,
are recommended to be used in PFP:
 Scoping the Project and Explore the Possibilities
 Tools: project scoping framework, expectations and
alignment analysis framework, exploring possibilities
framework, possibilities identification framework
 Risk Assessment and Management
 Tools: risk analysis matrix, risk analysis and management
framework, and risk management plan.
32

 Objective Tree analysis
 Tool: objective tree
 Project Strategy and Goal
 Tool: objective tree
 Logframe
 Tools: Problem Tree and Objective Tree
33

 Communication Plan
 Tools: communication analysis, communication activity,
communication budget and communication monitoring.
 Formulation of Monitoring and Evaluation plan
 Work Plan and Budget plan
 Tools: work plan and budget plan
 Elements of Project Proposal
34

Contents
9. Conclusion
35

7. Reviewing Summary Report and Prioritized Problems from PPI
 The results of analysis in Problem/Project Identification (PPI) allow the project
team to see viability or alternatives of a project, to understand national and
local situation around which a project evolves, to examine involvement or
influences or interests of varying stakeholders, and to appropriately select a
main problem and its sub problems.
 These results are inevitable inputs for subsequent analysis in PFP in which we
will scope and explore possibilities of the project, analyze and manage risks,
turn problems into objectives, select strategy and formulate project goal,
develop a logical framework matrix (Logframe) and other relevant plans in
order to create a coherent and convincing project proposal.
36

7. Reviewing Summary Report and Prioritized Problems from PPI
The information obtained in PPI that is useful for PFP is:
 Potential geographic areas of a project.
 Understand the context, demography and situation of those geographic areas.
 Enabling factors that can contribute to the success of a project.
 Existing strengths of a project that can be used to address the problem.
 Opportunities to improve a project.
 Stakeholders who have interests in and influence the project.
 Identified main problem, including its causes and effects.
37

Contents
9. Conclusion
38

 The pre-test is a test that will assess the existing
knowledge of participants at the beginning of the training.
 The post-test is a test that will assess the knowledge that
participants will have acquired after the training.
39

Contents
9. Conclusion
40

9. Conclusion
 Defining broad parameters of a project that provide the foundation for
subsequent steps or analysis, and setting approximate boundaries for
what the project will attempt to do.
 Defining what resources will need to be mobilized: staff, equipment and
materials, information technology, local documents, and finance.
 Designing a project framework that responds to particular problem with
clear objectives, expected results and activities.
41

9. Conclusion
There are two main purposes of conducting project scooping and
explore possibilities:
 When there is a need to respond to particular funding
opportunities or call for proposals from donors.
 When there is a need to explore more possibilities that can be
aligned with key priorities of donors’ areas of work.
42

9. Conclusion
Risk Assessment and Management
 Identify all potential risks that will negatively impact project
implementation.
 Analyze the level of each risk and its effect on the project.
 Identify what to do in order to manage those risks in a risk
management plan.
43

9. Conclusion
 Before being able to work an Objective Tree, we need to have a
Problem Tree and problem statements from Problem/Project
Implementation phase.
 The analysis of Objective Tree is important for a number of reasons:
 Reformulate problem statements into objective statements.
 Verify the hierarchy of objectives.
 Illustrate the means-ends relationships in a diagram.
44

9. Conclusion
 Once complete, the objective tree provides a summary picture of
the desired future situation.
 As with the problem tree, the objective tree should provide a
simplified but robust summary of reality. It is a tool to aid
analysis and presentation of ideas.
 Its main strength is that it keeps the analysis of potential project
objectives firmly based on addressing a range of clearly identified
priority problems.
45

9. Conclusion
Project Strategy
 It is a very important step in PFP because “project strategy is a direction
in a project that contributes to success of the project in its environment.”
(Artto, Kujala, Dietrich, & Martinsuo, 2008).
 During the strategy analysis, a decision is being made on which
objectives can or will and which objectives cannot or will not be pursued
within the frame of the project.
 The starting point for strategy analysis is the objective tree.
46

9. Conclusion
Project Strategy
The choice of one ore more strategies is made on the basis of criteria which
have to be agreed upon with the stakeholders and/or project team, which
could include, but not limited to:
 Expected contributions to a broad or national policy;
 Provide benefits to target groups including women and men, young and
old, disabled and able people;
 Financial and economic cost-benefit: costs produce deserving benefits;
47

9. Conclusion
Project Strategy
 Capital and operational cost implications, and local ability to
meet recurrent costs;
 Technical feasibility: strategy that is technically doable.
In the strategy selection, objectives responding to the agreed strategy
selection criteria are selected while others will be dropped. The
selected objectives will then be used for Logframe development.
48

9. Conclusion
Project Goal
 A Goal is very important for a project because it is a broad statement of
the overall purpose or outcome that the proposed project is expected to
achieve.
 A project goal derives from objective(s) at “ends” level of the objective
tree.
 It should explain why the project is important to society in terms of the
long term benefits to beneficiaries and of the wider benefits to other
groups.
49

9. Conclusion
Project Goal
 A project goal cannot be achieved by the project alone or
directly but through contribution of other projects.
 The goal should be SMART as it is specific, measurable,
appropriate, realistic and time-bound.
50

9. Conclusion
Logframe
 The Logframe consists of a table which usually has four columns and four
rows
 A vehicle for organizing a large amount of information in a coherent and
concise manner, assisting with the formulation/preparation,
implementation, monitoring and evaluation of projects.
 The Logframe helps in connecting overall objective, purpose, results,
activities, indicators, means of verification, and important assumptions
in one framework, and presents the tight relationship among them.
51

9. Conclusion
Logframe
Logframe is important for PFP for a number of reasons:
 The use of Logframe or shared terminologies facilitate common
understanding and better communication among project staff and
stakeholders.
 It provides systematic information and logical analysis, which
constitutes a well-designed project.
52

9. Conclusion
Logframe
Logframe is important for PFP for a number of reasons:
 It is the core reference document to be used throughout the entire
Project Cycle Management. Project team normally uses Logframe in
order to know what were planned, what have to be implemented, what
are the expected results, and to monitor whether implementation
follows the planning.
 Some donors require a summary of project information in Logframe to
be submitted with the project proposal.
53

9. Conclusion
Logframe
 The development process of Logframe starts from problems in the
problem tree, then to objectives in the objective tree, after to strategy
selection through the use of the objective tree, and finally to the Logical
Framework Matrix.
 Although the format of Logframe usually has four columns and four rows,
the number of columns and rows can be added or removed according to
the practical use and necessity of each organization.
54

9. Conclusion
Communication Plan
In order to implement a project successfully, it is very crucial to get all
key stakeholders to actively engage during the entire project
implementation period. They will be interested in involving in the
project when they understand it well.
Therefore, there is a need to communicate all project aspects to
internal and external key stakeholders:
55

9. Conclusion
Communication Plan
 It is important to develop internal and external communication plan.
 Communication plan should be reviewed regularly in order to keep
everyone updated and to improve whenever needed.
 The four tools can be used to develop communication plan:
communication analysis, communication activity, communication
budget and communication monitoring.
56

9. Conclusion
Formulation of Monitoring and Evaluation Plan
A clear monitoring and evaluation plan enables a project team to know:
 How far a project can achieve its goal and objectives.
 Challenges they have encountered and how to deal with them.
 Relevant measures that a project should do or change to become more
effective and efficient in utilizing time, money and resources.
 How to mitigate and manage crises, and ensure smoother implementation.
57

9. Conclusion
Work Plan and Budget Plan: Work Plan
 Work Plan or a project plan outlines in specific detail how a project will be
conducted.
 There are several types of a work plan: weekly, monthly, and annually.
 A work plan provides the following benefits:
 Define required resources in terms of persons and time: who are required
to do the tasks or activities, how many persons or team members are
needed, how much time is needed or can be allocated.
58

9. Conclusion
Work Plan and Budget Plan: Work Plan
 A work plan provides the following benefits:
 Define roles and responsibilities: who is doing which tasks and
therefore s/he is responsible for their tasks.
 Clarify expectations: which results can be expected and from whom.
 It can be used as a monitoring tool to check whether the project is
on-track, once it has started.
 To do a work plan: activities from the Logframe are needed.
59

9. Conclusion
Work Plan and Budget Plan: Budget Plan
A budget plan outlines planned and estimated expenditures of a project
for a specific period of time. A budget plan is important because:
 A plan that reflects on project activities and resources required in order
to implement a project.
 A proper and well planned budget is required to convince project
donors – when there is a need to request for funding.
60

9. Conclusion
Work Plan and Budget Plan: Budget Plan
A budget plan outlines planned and estimated expenditures of a project for a
specific period of time. A budget plan is important because:
 A principle document that project team needs to use at the project
implementation phase before making any actual expenditures as they have to
check whether the items were included in the budget and for which amount.
To develop a work plan: look for budget information at “inputs” of the Logframe, if
available, and use activities from Logframe or a work plan as budget items.
61

9. Conclusion
 It is very important to incorporate all project aspects in one document
that can be used to communicate with supporters and donors:
elements of project proposal.
 In addition to focusing on identified problems, contexts, and
stakeholders, the project aspects should also include, other issues in
elements of project proposal, cross-cutting issues: gender, climate
change, natural resources management, and people with disability.
62

9. Conclusion
There are three main steps in developing elements of project proposal:
 Pre-proposal writing: formulating a project that responds precisely to a
problem and its context.
 During proposal writing: putting all project aspects together and explain
how the project will be implemented successfully.
 Post-proposal writing: communicate the project proposal to supporters and
donors.
63

9. Conclusion
It should be noted that when a project proposal is successful to secure funding
support from donors, you will be asked to submit a project report so that they can
learn how well the project has been implemented.
 A project report is a brief description of achievements of a project within a specific
period of time and to be developed according to the agreement with the project
donors.
 Information contains in the project report has to respond precisely to the project
proposal submitted to donors, particularly the results, purpose/outcome and goal
stated in the Logframe.
64

9. Conclusion
 There are different types of project report, depending also on the time
frame of the project, which can be quarterly report, mid-year report,
annual report, mid-term report, and final project report.
 The common elements to be included in a report, in spite of different
types, are report title, author(s), table of contents, executive summary,
introduction, achievements, operation, and annexes.
65

References
• Constantini, G., & Quinti, G. (2004). SARD Project Toolkit: a Resource Guide for Promoting SARD in Projects and Programmes. Food and
Agriculture Organization of the United Nations.
• Artto, K., Kujala, J., Dietrich, P., & Martinsuo, M. (2008). What is Project Strategy? International Journal of Project Management(26), 4-12.
66

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