TRAINING KIT MODULE 4 RESULTS-BASED PLANNING: PRELIMINARY STEPS FOR IMPLEMENTING RBM

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 socioeconomic 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) Goal/impact Stakeholder analysis Objecive/ outcome Product/ output Activities Resources / Inputs Problem analysis Results chain (first column of logical framework) Objective analysis Analysis of alternatives

Stakeholder Analysis

Stakeholders & the affected: who are they? 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.

Stakeholder Analysis: What exactly is it? 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 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

Logical direction Problem Analysis (1/2) 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. The problem tree revolves around three basic components: Problems Causes Effects Effect Cause

Problem Analysis (2/2) 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. Only key problems should be part of the problem analysis in order to make the exercise fluid and feasible.

Problem Analysis: Technical Prerequisites 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).

Structuring a problem tree (1/2) Problem existence Why? Because Immediate causes Why? Because Underlying causes Why? Because Structural, deep, root causes The "central problem" (an inefficient, lacking, insufficient public service, etc.) The most obvious causes, having a direct influence on the "central problem" Insufficiences in social services, lack of access, degrading practices, etc. Economic and social organisation, various policies, inequitable distribution of natural resources, governance, political situation

Structuring a problem tree (2/2) Tertiary outcome Secondary outcome Primary outcome Main problem Immediate cause Underlying causes Structural causes

Example of a problem tree Increased congestion High pollution Increased tansportation cost per capita Use of private vehicles increase Service request RMB in decline Poor public transport offer by RMB Frequent delays Fequent bus accidents Bad roads Frequent failures Bad drivers Inadequate traffic management Insufficient budget Maintenance Bus fleet in disrepair no minimum required driving threshold Police cannot control the growing traffic City council has different priorities Poor bus maintenance Old dilapidated bus Lack of spare parts Poorly trained mechanics Lack of capital budget Customs restrictions lack of training Company in deficit Ticket cost covers only 75% of operational budget

How to create a problem tree? 1 st stage: Identify the major problems linked to the situation or issues under consideration (brainstorming). 2 nd stage: State the central problem. 3 rd stage: Identify the causes of the central problem. 4 th stage: Identify the effects created by the central problem. 5 th stage: Create a diagram summarizing the cause and effect relations (a hierarchy of problems). 6 th stage: Review the entire diagram and verify its validity and comprehensiveness.

Objective Analysis

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

Example of a problem tree Better city traffic Reduced pollution Reducedtansportation cost per capita Use of private vehicles decreased Service request RMB in growth Improved public transport quality by RMB Less delays Limited bus accidents Better roads Rare bu failures Good drivers Effective traffic management Enough budget for maintenance Bus fleet in good shape Required driving threshold Police can control the growing traffic City council has provided additional resources Good bus maintenance Plan for replacing buses Availaibility of spare parts Well trained mechanics Operational capital budget No customs restrictions Effective training Support obtained

How to create an objective tree? 1 st stage: Reformulate all the negative situations of the hierarchy of problems into desirable and achievable positives. Formulate the objectives in the past participle. 2 nd stage: Check the "results-resources" relations to confirm that the diagram is complete and valid. 3 rd 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.

Alternative Analysis

Alternative Analaysis 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.

Example of an alternative analysis Better city traffic Reduced pollution Use of private vehicles decreased Reducedtansportation cost per capita Service request RMB in growth Improved public transport quality by RMB Less delays Limited bus accidents Better roads Rare bu failures Good drivers Effective traffic management Enough budget for maintenance Bus fleet in good shape Required driving threshold Police can control the growing traffic City council has provided additional resources Availaibility of spare parts No customs restrictions Good bus maintenance Well trained mechanics Effective training Alternative 1 Plan for replacing buses Operational capital budget Support obtained Alternative 2 Alternative 3 1: Bus fleet 2: Bus drivers 3: Road Quality

Alternative Analysis: Link with LFM Selected alternatives Logical framework matrix Goal / Impact Objective / outcomes Product / output Activities Resources/Inputs 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.

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