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 Interest Perceived Resources type problem and Mandate
Potential conflict
Interest in a strategy
Take part in this first step
End after step 4 in the logical framework
Problem Analysis
Problem Analysis (1/2)
The problem tree revolves around three basic components: ● Problems ● Causes ● Effects
Effect
Cause
Logical direction
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.
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…
The "central problem" (an inefficient, lacking, insufficient public service, etc.)
Immediate causes Why? Because…
The most obvious causes, having a direct influence on the "central problem"
Underlying causes Why? Because…
Insufficiences in social services, lack of access, degrading practices, etc.
Structural, deep, root causes
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
Increased tansportation cost per capita
High pollution Use of private vehicles increase Service request RMB in decline
Poor public transport offer by RMB
Fequent bus accidents
Frequent delays
Frequent failures
Bus fleet in disrepair
Poor bus maintenance
Lack of spare parts
Customs restrictions
Poorly trained mechanics
lack of training
Bad drivers
Inadequate traffic management
no minimum required driving threshold
Police cannot control the growing traffic
Old dilapidated bus
Lack of capital budget
Company in deficit
Ticket cost covers only 75% of operational budget
Bad roads
Insufficient budget Maintenance City ​council has different priorities
How to create a problem tree? 1st stage:
Identify the major problems linked to the situation or issues under consideration (brainstorming).
2nd stage:
State the central problem.
3rd stage:
Identify the causes of the central problem.
4th stage:
Identify the effects created by the central problem.
5th stage:
Create a diagram summarizing the cause and effect relations (a hierarchy of problems).
6th 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.
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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 Limited bus accidents
Less delays Rare bu failures
Good drivers
Bus fleet in good shape Good bus maintenance Availaibility of spare parts
No customs restrictions
Well trained mechanics
Effective training
Required driving threshold
Plan for replacing buses Operational capital budget
Support obtained
Better roads
Effective traffic management
Enough budget for maintenance
Police can control the growing traffic
City ​council has provided additional resources
How to create an objective tree? 1st stage:
Reformulate all the negative situations of the hierarchy of problems into desirable and achievable positives. Formulate the objectives in the past participle.
2nd stage:
Check the "results-resources" relations to confirm that the diagram is complete and valid.
3rd 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
Reducedtansportation cost per capita
Use of private vehicles decreased Service request RMB in growth
Improved public transport quality by RMB Limited bus accidents
Less delays Rare bu failures
Good drivers
Bus fleet in good shape Good bus maintenance Availaibility of spare parts
No customs restrictions
Well trained mechanics
Effective training
Alternative 1
Required driving threshold
Plan for replacing buses
Better roads
Effective traffic management
Enough budget for maintenance
Police can control the growing traffic
City ​council has provided additional resources
Alternative 2
Alternative 3
Operational capital budget
Support obtained
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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