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3 proj plan notes

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This document provides an overview of development project planning and management. It discusses various planning tools like stakeholder analysis, logical framework analysis, and monitoring and evaluation. It also outlines the typical stages of a project cycle including identification, appraisal, implementation, monitoring, and evaluation. Key aspects at each stage like needs assessment, baseline studies, work plans, budgets, and lessons learned are reviewed. Limitations of the rational planning approach are also acknowledged.

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Development Project Planning Need: Flip Charts 2-3, Marker pens Print: Basic Cycle slide 8, List of stages slide 17, (Included in handouts doc) Problem Tree, Stakeholder grid Overview of this session  What is Development Planning?  Project Cycle Management  Planning Tools o STAKEHOLDER ANALYSIS o LOGICAL FRAMEWORK ANALYSIS o MONITORING & EVALUATION  Comments on Project Planning “If you don’t know where you are going, any road will get you there” Development Planning Theory Some of the principles  What ‘just happens’ vs. intentional acts  Development as Vision  Positive or Negative  Development Administration/Management o Structure o Agency and Agencies o Institutions  Trusteeship  Reductionism: power and capacity Structure: the pattern or framework of relationships between social institutions such as markets, families, classes and political factions. It includes rules of behaviour associated with moral norms and hierarchies Agency: actions of individuals or groups and capacities to influence events Institutions: laws and codes etc. Trusteeship: acting on behalf of others to promote improvements – to “develop” them Reductionism: An attempt to explain complex phenomena or structures by relatively simple principles Power: control of resources, physical and cultural Capacity: western view vs IP Plans, Programmes, Projects  Plan: a statement of forward looking decisions, how they work together and the criteria used in making them  Programme: usually a long-term series of interventions, sometimes with no defined end point  Project: a discrete activity aimed at a specific objective with a defined budget and limited timeframe Plan Millennium Development Goals Programme: DFID, EU, HU Project: Novelty, Finite Duration and Budget, Clear Objectives, Some Complexity Aspects of Project Cycle Management  Credibility  “Ownership”  Efficiency  Monitoring and control  Formal contingency planning  Despite talk…the approach requires some form of “blueprint” to ensure adherence to budgets and timeframes

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‘Reductionist’ Project Approach  Scientific Management o Simplifies and reduces management to a series of inter-related and quantifiable components  Inputs Outputs Outcomes Defined processes and relationships  Has serious flaws, but used in all development work Generic Project Cycle Identification Appraisal Evaluation Implementation & Monitoring Negotiation and Approval PRINT THIS AS HANDOUT Generic Project Cycle Exercise: Who does each stage? Identification Appraisal Evaluation Implementation & Monitoring Negotiation and Approval Group Discussion Some examples of project cycle methods Here we have a generic project cycle, but this version shows some iterations of steps – feed back lessons learned, modify to suit the situation Asian Development Bank Asian Development Bank Project Cycle

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World Bank World Bank Project Cycle International Fund for Agricultural Development International Fund for Agricultural DevelopmentAWP&Bs = Annual Work Plans & Budgets MTR Mid-term Review PRA Participatory Rural Appraisal Logical Framework Approach  ZOPP (Zielorientierte Projektplanung) o GOPP- Goal Oriented Project Planning  Planning, by a participatory process,  aimed at the needs of target groups,  the key parts of a project are agreed with those concerned Developed by USAID in 1960s to be developed by various UN agencies, then adopted by GTZ in 1980s but now optional. In widespread use by the larger donor organizations, partially because of the orderly structuring and documentation of information and its demand for more skill in use DFID require it Logical Framework Approach  Use a planning matrix – the logical framework – which: o summarises the main parts of a project, and o highlights logical linkages between  intended inputs,  planned activities and  expected results. ZOPP and the Project Cycle GTZ - 5 ZOPP Stages 1. Pre-project planning 2. Starting Appraisal 3. Partner Negotiation 4. Plan Finalization 5. Implementation and Monitoring 6. Evaluation 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) 1. Pre Project Planning:  Identification  Problem Analysis o Stakeholder consultations  Preliminary feasibility study o Identification of funding agencies o Consideration of possible approaches o Site consultation  Possible outputs o Concept note/paper o Proposal o Preliminary feasibility report

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Pre-project planning  In-house exercise by agency  Situation Analysis o Problem Identification: Problem Tree o Stakeholder Analysis o Objectives Analysis o Alternatives Analysis Problem Tree 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 Becomes: Objective Tree Funds Best Practice Water Administration Low Rate Disease Low Infant Mortality All Houses Connected High Productivity Incomes Adequate Clean WATER Sufficient Funds Good Water System Best Practice Water Administration Low Rate of Disease Low Infant Mortality High Productivity High Incomes MEANS DESIRABLE STATE ENDS If necessary, revise statements, delete objectives that appear unrealistic and add new objectives. Stakeholder Analysis 1. Consider appropriate level for analysis 2. Identify key stakeholders 3. Analyse interests characteristics, circumstances 4. Identify patterns of interaction between stakeholders 5. Assess power (influence) and potential (importance) Internal and External Primary and Secondary Stakeholder Analysis Primary Secondary Influence Participation on project Importance to Project Key Interests Stakeholders May also use a ranking exercise Stakeholder Analysis Influential stakeholders but with less importance for achieving project purpose and outputs. They affect outcome of activities and need careful management The interests of these stakeholders should be monitored to ensure that they are not adversely affected Project Managers will need to develop good working relationships with these stakeholders to ensure effective mobilization of support for project activities May need special project initiatives if interests are to be projected. The Target Group should be in this category Low Influence High Influence High Potential/Significance/Importance Low Potential/Significance/Importance Primary stakeholders will usually be found in top two boxes and secondary in lower two

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Exercise: Problem Tree & Stakeholder Analysis • Choose a problem in Ratanakiri • Divide in 2 groups 1. Do a problem tree 2. Do a stakeholder analysis 2. Starting Appraisal:  Appraisal (ex-ante) o Full feasibility study o Baseline study, needs assessment  Possible outputs o Needs assessment report o Baseline data o Detailed set of indicators o Amended proposal o Project plan, Gantt chart etc. o Project Planning Matrix - Logframe Ex Ante – before the event Gantt chart – bar chart showing project schedule - see next slide Gantt Chart Project Planning Matrix (PPM)  Logframe, Logical Framework (Analysis), LFA  4x4 matrix o Ensures clear statement of objectives (distinction between purpose and objectives) o Introduces indicators of progress o Focuses attention on the assumptions and risks involved Helps to control scope creep Logframe Purpose Outputs Activities Milestones (Inputs) Assumptions Risks MOVs Means of Verification OVIs Objectively Verifiable Indicators Goal More detail in the Logframe session How do you fill in/prepare a logframe? This is the first style of Logframe – activity oriented. Then introduced results oriented

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3. Partner Negotiation:  Negotiation with finance provider  Possible outputs o Project memorandum o Signed contract 4. Plan Finalisation:  work plans,  staff structures, ToR’s  budgets 5. Implementation and Monitoring :  Team selection and startup o Person specification/job allocation o Interviews and selection o Terms of engagement o Lines of responsibility o Briefing 5. Implementation and Monitoring :  Do the work o Implementation of project management regime o Regular reports, meetings, workshops o Monitoring: systematic documentation of performance - indicating whether project is performing as intended Monitoring (Performance Measurement )  Monitoring o Inputs o Outputs o Outcomes (Results Based Management ) o Logical framework approach  Tools: o Progress reports o Team meetings, team briefing reports o Mid term review Focussing on the PROCESS

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Monitoring (Performance Measurement )  Levels of Indicators o Strategic o Sustainability o Attainment o Performance Quality, Quantity, Time Focussing on the PROCESS 6. Evaluation and Closure:  Obtain “sign off” from project participants  Project evaluation (Ex-post ) o When possible to assess full effects o External evaluator may be necessary/appropriate o Record lessons learned o Formulate recommendations for next phase  Submission of completion report and evaluation o Donors may reserve right to demand concluding activities External evaluator may be necessary (for donor) / appropriate (for objectivity) Evaluation: Impact Assessment  Approach o Baseline and End of Project o Impact from beneficiaries’ point of view o What do they think is significant? o To whom is it important?  Criteria o Efficiency – relate inputs to outputs o Effectiveness- extent to which achieved objectives o Consistency- methods/approaches with objectives o Impact – change to lives/environment Focussing on the IMPACTS At evaluation level a social cost-benefit analysis as well as cost-benefit analysis is useful Roche’s model assumes sustainability – generic indicators Rights, Livelihoods, Knowledge, Resources Evaluation: Feedback  Lessons Learned o Used to replan the project o Used to plan the next project  Most useful in development of LFA Limits to Rational Planning and Systematic Management

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Trade Offs: Too much project planning? Amount of planning Cost Too little planning costs, too much planning costs Things that Limit using the process  Costly and ineffective analysis  Full planning vs. flexible interaction  Inflexibility and unnecessary constraints on managers,  Delegation to experts and inappropriate intervention  No involvement of intended beneficiaries in planning and management  Reluctance to engage in evaluation and error detection Constraints (that limit effectiveness)  Difficulty in precise definition of objectives and goals  Lack of appropriate or adequate data  Not understand social and cultural activities  Weak ways to guide behaviour  Low administrative capacity Rondinelli

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3 proj plan notes

  • 1. Development Project Planning Need: Flip Charts 2-3, Marker pens Print: Basic Cycle slide 8, List of stages slide 17, (Included in handouts doc) Problem Tree, Stakeholder grid Overview of this session  What is Development Planning?  Project Cycle Management  Planning Tools o STAKEHOLDER ANALYSIS o LOGICAL FRAMEWORK ANALYSIS o MONITORING & EVALUATION  Comments on Project Planning “If you don’t know where you are going, any road will get you there” Development Planning Theory Some of the principles  What ‘just happens’ vs. intentional acts  Development as Vision  Positive or Negative  Development Administration/Management o Structure o Agency and Agencies o Institutions  Trusteeship  Reductionism: power and capacity Structure: the pattern or framework of relationships between social institutions such as markets, families, classes and political factions. It includes rules of behaviour associated with moral norms and hierarchies Agency: actions of individuals or groups and capacities to influence events Institutions: laws and codes etc. Trusteeship: acting on behalf of others to promote improvements – to “develop” them Reductionism: An attempt to explain complex phenomena or structures by relatively simple principles Power: control of resources, physical and cultural Capacity: western view vs IP Plans, Programmes, Projects  Plan: a statement of forward looking decisions, how they work together and the criteria used in making them  Programme: usually a long-term series of interventions, sometimes with no defined end point  Project: a discrete activity aimed at a specific objective with a defined budget and limited timeframe Plan Millennium Development Goals Programme: DFID, EU, HU Project: Novelty, Finite Duration and Budget, Clear Objectives, Some Complexity Aspects of Project Cycle Management  Credibility  “Ownership”  Efficiency  Monitoring and control  Formal contingency planning  Despite talk…the approach requires some form of “blueprint” to ensure adherence to budgets and timeframes
  • 2. ‘Reductionist’ Project Approach  Scientific Management o Simplifies and reduces management to a series of inter-related and quantifiable components  Inputs Outputs Outcomes Defined processes and relationships  Has serious flaws, but used in all development work Generic Project Cycle Identification Appraisal Evaluation Implementation & Monitoring Negotiation and Approval PRINT THIS AS HANDOUT Generic Project Cycle Exercise: Who does each stage? Identification Appraisal Evaluation Implementation & Monitoring Negotiation and Approval Group Discussion Some examples of project cycle methods Here we have a generic project cycle, but this version shows some iterations of steps – feed back lessons learned, modify to suit the situation Asian Development Bank Asian Development Bank Project Cycle
  • 3. World Bank World Bank Project Cycle International Fund for Agricultural Development International Fund for Agricultural DevelopmentAWP&Bs = Annual Work Plans & Budgets MTR Mid-term Review PRA Participatory Rural Appraisal Logical Framework Approach  ZOPP (Zielorientierte Projektplanung) o GOPP- Goal Oriented Project Planning  Planning, by a participatory process,  aimed at the needs of target groups,  the key parts of a project are agreed with those concerned Developed by USAID in 1960s to be developed by various UN agencies, then adopted by GTZ in 1980s but now optional. In widespread use by the larger donor organizations, partially because of the orderly structuring and documentation of information and its demand for more skill in use DFID require it Logical Framework Approach  Use a planning matrix – the logical framework – which: o summarises the main parts of a project, and o highlights logical linkages between  intended inputs,  planned activities and  expected results. ZOPP and the Project Cycle GTZ - 5 ZOPP Stages 1. Pre-project planning 2. Starting Appraisal 3. Partner Negotiation 4. Plan Finalization 5. Implementation and Monitoring 6. Evaluation 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) 1. Pre Project Planning:  Identification  Problem Analysis o Stakeholder consultations  Preliminary feasibility study o Identification of funding agencies o Consideration of possible approaches o Site consultation  Possible outputs o Concept note/paper o Proposal o Preliminary feasibility report
  • 4. Pre-project planning  In-house exercise by agency  Situation Analysis o Problem Identification: Problem Tree o Stakeholder Analysis o Objectives Analysis o Alternatives Analysis Problem Tree 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 Becomes: Objective Tree Funds Best Practice Water Administration Low Rate Disease Low Infant Mortality All Houses Connected High Productivity Incomes Adequate Clean WATER Sufficient Funds Good Water System Best Practice Water Administration Low Rate of Disease Low Infant Mortality High Productivity High Incomes MEANS DESIRABLE STATE ENDS If necessary, revise statements, delete objectives that appear unrealistic and add new objectives. Stakeholder Analysis 1. Consider appropriate level for analysis 2. Identify key stakeholders 3. Analyse interests characteristics, circumstances 4. Identify patterns of interaction between stakeholders 5. Assess power (influence) and potential (importance) Internal and External Primary and Secondary Stakeholder Analysis Primary Secondary Influence Participation on project Importance to Project Key Interests Stakeholders May also use a ranking exercise Stakeholder Analysis Influential stakeholders but with less importance for achieving project purpose and outputs. They affect outcome of activities and need careful management The interests of these stakeholders should be monitored to ensure that they are not adversely affected Project Managers will need to develop good working relationships with these stakeholders to ensure effective mobilization of support for project activities May need special project initiatives if interests are to be projected. The Target Group should be in this category Low Influence High Influence High Potential/Significance/Importance Low Potential/Significance/Importance Primary stakeholders will usually be found in top two boxes and secondary in lower two
  • 5. Exercise: Problem Tree & Stakeholder Analysis • Choose a problem in Ratanakiri • Divide in 2 groups 1. Do a problem tree 2. Do a stakeholder analysis 2. Starting Appraisal:  Appraisal (ex-ante) o Full feasibility study o Baseline study, needs assessment  Possible outputs o Needs assessment report o Baseline data o Detailed set of indicators o Amended proposal o Project plan, Gantt chart etc. o Project Planning Matrix - Logframe Ex Ante – before the event Gantt chart – bar chart showing project schedule - see next slide Gantt Chart Project Planning Matrix (PPM)  Logframe, Logical Framework (Analysis), LFA  4x4 matrix o Ensures clear statement of objectives (distinction between purpose and objectives) o Introduces indicators of progress o Focuses attention on the assumptions and risks involved Helps to control scope creep Logframe Purpose Outputs Activities Milestones (Inputs) Assumptions Risks MOVs Means of Verification OVIs Objectively Verifiable Indicators Goal More detail in the Logframe session How do you fill in/prepare a logframe? This is the first style of Logframe – activity oriented. Then introduced results oriented
  • 6. 3. Partner Negotiation:  Negotiation with finance provider  Possible outputs o Project memorandum o Signed contract 4. Plan Finalisation:  work plans,  staff structures, ToR’s  budgets 5. Implementation and Monitoring :  Team selection and startup o Person specification/job allocation o Interviews and selection o Terms of engagement o Lines of responsibility o Briefing 5. Implementation and Monitoring :  Do the work o Implementation of project management regime o Regular reports, meetings, workshops o Monitoring: systematic documentation of performance - indicating whether project is performing as intended Monitoring (Performance Measurement )  Monitoring o Inputs o Outputs o Outcomes (Results Based Management ) o Logical framework approach  Tools: o Progress reports o Team meetings, team briefing reports o Mid term review Focussing on the PROCESS
  • 7. Monitoring (Performance Measurement )  Levels of Indicators o Strategic o Sustainability o Attainment o Performance Quality, Quantity, Time Focussing on the PROCESS 6. Evaluation and Closure:  Obtain “sign off” from project participants  Project evaluation (Ex-post ) o When possible to assess full effects o External evaluator may be necessary/appropriate o Record lessons learned o Formulate recommendations for next phase  Submission of completion report and evaluation o Donors may reserve right to demand concluding activities External evaluator may be necessary (for donor) / appropriate (for objectivity) Evaluation: Impact Assessment  Approach o Baseline and End of Project o Impact from beneficiaries’ point of view o What do they think is significant? o To whom is it important?  Criteria o Efficiency – relate inputs to outputs o Effectiveness- extent to which achieved objectives o Consistency- methods/approaches with objectives o Impact – change to lives/environment Focussing on the IMPACTS At evaluation level a social cost-benefit analysis as well as cost-benefit analysis is useful Roche’s model assumes sustainability – generic indicators Rights, Livelihoods, Knowledge, Resources Evaluation: Feedback  Lessons Learned o Used to replan the project o Used to plan the next project  Most useful in development of LFA Limits to Rational Planning and Systematic Management
  • 8. Trade Offs: Too much project planning? Amount of planning Cost Too little planning costs, too much planning costs Things that Limit using the process  Costly and ineffective analysis  Full planning vs. flexible interaction  Inflexibility and unnecessary constraints on managers,  Delegation to experts and inappropriate intervention  No involvement of intended beneficiaries in planning and management  Reluctance to engage in evaluation and error detection Constraints (that limit effectiveness)  Difficulty in precise definition of objectives and goals  Lack of appropriate or adequate data  Not understand social and cultural activities  Weak ways to guide behaviour  Low administrative capacity Rondinelli