techniques in project management

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Participatory Programme Planning & Management

Unit III: Administration of the Project:

Concept, Professional Management techniques to promote participation

Stakeholder Analysis

Force field Analysis

SWOT Analysis

PERT & CPM

Logical Framework Analysis

Ways to Channel Participation:

Participation in decision making requires good communication; the more channels you

can open up the more you can have staff participate in managing the organization.

Every chance you get, look for ways to talk with staff. Let them show you theirachievements and frustrations. Develop a genuine interest in what they do. Show respect.

Set up a routine and regular participatory management meeting.. Set up special sessions

that allow (and encourage) staff input. Use job descriptions as your programme ofincreasing staff participation, and arrange annual review sessions to obtain staff input for

making annual work plans.

Brainstorming is another method of pro-actively seeking participation in decisionmaking. It is different than the others here in that it is aimed at communal decision

making, not decision making that is moderated by them.

Look at how your organization is running at present. Ask how in what ways staff

already participate in management decision making. Generate ways you think that theycan be encouraged to participate more. Design your programme to be appropriate for the

conditions you face, and choose only what will work.

Paying Attention:

Management Meetings:

Meetings should be held routinely and regularly. If you absent yourself from meetings, or

cancel them too often, you lower the respect and importance you show to them. Both youand your staff can schedule other work around the time you select. Do not select a time

when it is likely that anyone outside your control can call a different meeting that you are

obliged to attend. The optimum frequency is two weeks (or a half month) betweenmeetings. Some managers meet weekly, others monthly. Choose what is most

appropriate. Ensure that they are held on the same week-day and at the same time every

meeting.

Make every attempt to make these meetings decision-making meetings.. What is

important here is that you want staff members to contribute to the management decision

making process Not all of their suggestions will be automatically accepted, if they are

contradicted by the board (of directors or a steering committee with powers of makingpolicy), the constitution or official policy document of the organization (if it has one), the

law of the land, the available budget for the organization, or its stated purpose, goals,

objectives, strategy or other officially stated parameters. Suggestions that can not befollowed through because of those limitations may be made by some staff members.

Thank the staff member for his/her contribution, explain why it can not be accepted, and

ensure them that management can only make executive decisions, and can not contradictpolicy.

Meetings are opportunities to let staff know how, in various ways, that they are valuable,

have useful ideas to offer, and are respected. Just inviting them to attend meetings is not

sufficient. They may feel that they have better things to do, especially if meetings are not
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productive and meaningful to them. It is necessary to ensure that their attendance is

productive, and seen to be productive.

It is OK to have different meetings for different categories of staff; eg one for supportstaff and another for professional or line staff. Sometimes it is useful for the manager of

the support staff to chair support staff participatory management meetings. If so, theoverall manager should sit in the meetings to show interest and make sure that support

staff know that they are needed and respected.

If you ask a secretary or other support staff to take notes during management meetings,

they may have to concentrate on recording and not participate fully in the decision

making process. In such cases make sure that you spend time with that person, dependingon the topics, asking for opinions.

Special Sessions:

By organizing special sessions, you have a further opportunity to encourage honest andcandid contributions by the staff. Special sessions can be set up for various occasions,

including the visit of a VIP from the head office, from the government, or from a majordonor agency. It can be for a major restructuring exercise, or a national event that calls

for refection by all organizations in the country.

The SWOT session, as part of an agency transforming from an emergency response

(charity) agency to a sustainable development (empowerment) agency, is an example of aspecial session. SWOT stands for "Strengths, Weaknesses, Opportunities, Threats," and

can be used on many occasions as well as the one in that module aimed at transforming

an agency or programme.

The appearance of an organizational crisis, whether it has internal or external factors, orboth, is also a good opportunity to organize a special occasion. The arrival of an outside

intervening consultant, eg for management training or monitoring and assessment, are all

further events that can offer opportunities for setting up special sessions in which you canencourage staff participation in management decision making.

Job Descriptions:

The way you use job descriptions can also be an opportunity for contributing to

participatory management.Very often a job description is designed initially when an

organization is set up. Regular reviews of a job description, by the concerned staff andhis/her supervisor, modifying its content to reflect changing conditions and in response to

changing tasks and responsibilities, then signing it by both staff and supervisor, can

contribute to participatory management in many ways. It is not the job descriptionsthemselves, but how you use them, that contributes to participatory management.

Annual Reviews:

Conducting an annual review with all the stake holders in a development programme is

an important and valuable way to get feedback on recent activities, and input to beinserted in the upcoming annual work plan. Similarly, an annual review for staff within a

single organization can be (if done right) a useful way to review the past year, successes,

failures, lessons learned, and to obtain suggestions that can be put into the next annualwork plan for that organization. It is a good tool for exercising participatory

management.It is interesting and useful to hire an outside experienced participatory

appraisal (PRA, PAR) facilitator to conduct the review.

Participatory management can improve the effectiveness and capacity of an organization.It contributes to increased transparency in organizational decision making.
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Stakeholder analysis

Stakeholder may refer to:

Stakeholder (corporate) - a person, group, organization, or system who affects or can be

affected by an organization's actions

Project stakeholder- a stakeholder with an interest in a project

Stakeholder analysis is a term used in conflict resolution, project management, and

business administration to describe a process where all the individuals or groups that are

likely to be affected by a proposed action are identified and then sorted according to howmuch they can affect the action and how much the action can affect them. This

information is used to assess how the interests of those stakeholders should be addressed

in aproject plan,policy, program, or other action.

Overview

Stakeholder analysis is a term that refers to the action of analyzing the attitudes of

stakeholders towards something (most frequently a project). It is frequently used during

the preparation phase of a project to assess the attitudes of the stakeholders regarding theincoming changes. Stakeholder analysis can be done one shot or on a regular basis to

track how stakeholders changed their attitudes over time.

A stakeholder is any person or organization, who can be positively or negatively

impacted by, or cause an impact on the actions of a company, government, ororganization. Types of stakeholders are:

Primary stakeholders : are those ultimately affected, either positively or

negatively by an organization's actions.

Secondary stakeholders : are the intermediaries, that is, persons or organizationswho are indirectly affected by an organization's actions.

Key stakeholders : (who can also belong to the first two groups) have significant

influence upon or importance within an organization.

Therefore, Stakeholder analysis has the goal of developing cooperation between the

stakeholder and the project team and, ultimately, assuring successful outcomes for the

project. A stakeholder analysis is performed when there is a need to clarify the

consequences of envisaged changes, or at the start of new projects and in connection withorganizational changes generally. It is important to identify all stakeholders for the

purpose of identifying their success criteria and turning these into quality goals.

Stakeholder Mapping

The first step in building any stakeholder map is to develop a categorised list of themembers of the stakeholder community. Once the list is reasonably complete it is then

possible to assign priorities in some way, and then to translate the highest priority

stakeholders into a table or a picture. The potential list of stakeholders for any projectwill always exceed both the time available for analysis and the capability of the mapping

tool to sensibly display the results, the challenge is to focus on the right stakeholderswho are currently important and to use the tool to visualise this critical sub-set of the total

community.

The most common presentation styles use a matrix to represent two dimensions of

interest with frequently a third dimension shown by the colour or size of the symbol

representing the individual stakeholders.

Some of the commonly used dimensions include:

Power (high, medium, low)

Support (positive, neutral, negative) Influence (high or low)
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Other Forms of Stakeholder Analysis

There are three basic approaches used to help visualize, map and understand

stakeholders.

The approach with the highest profile in general business is the customer relationshipmanagement or CRM approach. This approach requires substantial data sets to be

gathered about a key segment of the business stakeholder community (typically

customers) followed by the use of data mining techniques allow trends and opportunitiesto be identified, graphed and communicated. These reports inform management decision

making and help the business prosper. CRM works effectively in situations where the

business is relatively stable and there are a large class of stakeholders interacting with thebusiness in a reasonably common way.

A second approach that cannot be ignored is the extensive body of work focusing on

influence networks. This research focuses on the importance of relationships through the

study of influence networks, social networks, social capital, viewing projects astemporary knowledge organizations (TKOs) and more recently the idea of CRPR

(Complex Responsive Processes of Relating)(Weaver 2007). All of these theories

emphasize the critical importance of the relationships between different stakeholders both

within and around the project team. The strength and effectiveness of the internalrelationships enable the project team to function effectively and allows the team (or the

project) to interact and influence its surrounding stakeholder community. The difficulty

in using these strands of research lies in building the influence/relationship maps; thework is difficult, time consuming and invasive requiring extensive interviews with the

stakeholders. Consequently whilst an appreciation of these ideas is critical for effective

stakeholder management, the opportunities to undertake a detailed analysis of a particular

stakeholder community are very limited and typically only occur as part of an academicresearch assignment.

The need for a practical, usable approach to visualizing many different stakeholder

communities has led to the development of a range of listing and mapping techniques byacademics, consultants and businesses over the years. These approaches trade the

richness of data available under the CRM approach for a holistic view of the whole

stakeholder community and largely ignore the complex network of relationshipsconsidered in CRPR and the other network theories outlined above for a simpler

consideration of importance in some form. Obviously the importance of a stakeholder

is directly associated with his or her ability to influence the project through their network

of relationships; the difference in the analysis is in the way this is assessed. All of themapping techniques discussed above use a qualitative perception of a stakeholders

importance rather than a quantitative analysis of the influence networks and

relationships surrounding the stakeholder to determine an absolute value for that personsimportance.

What is Stakeholder Analysis?

Stakeholder Analysis (SA) is a methodology used to facilitate institutional and policy

reform processes by accounting for and often incorporating the needs of those who have astake or an interest in the reforms under consideration. With information

onstakeholders, their interests, and their capacity to oppose reform, reform advocates can

choose how to best accommodate them, thus assuring policies adopted are politicallyrealistic and sustainable. Although Stakeholder Analysis originated from the business

sciences, it has evolved into a field that now incorporates economics, political science,

game and decision theory, and environmental sciences. Current models of SA apply avariety of tools on both qualitative and quantitative data to understand stakeholders, their

positions, influence with othergroups, and their interest in a particular reform. In addition,

it provides an idea of theimpact of reform on political and social forces, illuminates the

divergent viewpoints towards proposed reforms and the potential power struggles among

groups and individuals, and helps identify potential strategies for negotiating withopposing stakeholders.


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Who Are Stakeholders?

A stakeholder is any entity with a declared or conceivable interest or stake in a policy

concern. The range of stakeholders relevant to consider for analysis varies according to

the complexity of the reform area targeted and the type of reform proposed and, wherethe stakeholders are not organized, the incentive to include them. Stakeholders can be of

any form, size and capacity. They can be individuals, organizations, or unorganized

groups. In most cases, stakeholders fall into one or more of the followingcategories:international actors (e.g. donors), national or political actors (e.g. legislators,

governors), public sector agencies (e.g. MDAs), interest groups (e.g. unions, medical

associations), commercial/private for-profit, nonprofit organizations (NGOs,

foundations), civil society members, and users/consumers.

Major Attributes to Consider

Four major attributes are important for Stakeholder Analysis: the stakeholders positionon the reform issue, the level of influence (power) they hold, the level of interest they

have in the specific reform, and the group/coalition to which they belong or canreasonably be associated with. These attributes are identified through various data

collection methods, including interviews with country experts knowledgeable about

stakeholders or with the actual stakeholders directly. The level of influence depends onthe quantity and type of resources and power the stakeholder can marshal to promote its

position on the reform. The level of interest or salience is the priority and importance the

stakeholder attaches to the reform area. Broadly, these attributes signal the capability the

stakeholder has to block or promote reform, join with others to form a coalition ofsupport or opposition, and lead the direction/discussion of the reform. SA therefore

provides a detailed understanding of the political, economic, and social impact of reform

on interested groups, the hierarchy of authority and power among different groups andthe actual perceptions of the reform among different groups, all of which are important

for reform advocates to consider.

When to Conduct Stakeholder Analysis

Timing is an important factor in the implementation of Stakeholder Analysis to assure the

usefulness of the results for policy formulation. In most cases, SA should precede thefinalizing of reform proposals. In early stages of policy formulation, SA can help gauge

the likelihood of acceptance and sustainability of anticipated policy reforms. By initiating

SA prior to the introduction of the reform and continuing to modify the policy proposalduring the design process, potential obstacles to implementation and results can be

avoided. When used at the right time and in conjunction with other tools such as

qualitative political economy analyses and social impact assessments, StakeholderAnalysis can inform task team strategies to overcome opposition, build coalitions, and

channel information and resources to promote and sustain proposed reform.

Data Collection

Several methods can be employed to collect data on stakeholders in a comprehensive and

efficient manner. Prior to the actual collection, a brief review of background literatureand country studies can provide a useful understanding of the countrys political

economy. One method of collecting data is to conduct interviews directly with the

stakeholders involved in the specific policy area. The second method is to interview localexperts in the field who are knowledgeable about the issue and the important groups and

individuals involved in the policy area.

Some country team members (e.g. country managers) often hold extensive local

knowledge and can provide a critical first hand understanding of which stakeholders are

relevant to the reform area. However, unless resources and time do not permit,

interviewing of local and international experts in the policy area or country and/or thestakeholders themselves is imperative.


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Broad, all-inclusive interviews will lead to an effective Stakeholder Analysis process

since it will uncover many facets of the countrys political economy. The content and

questions of the interviews should focus on background information on the policy makingprocess, information that identifies key stakeholders from a variety of groups in the

reform process, and clarifying assumptions about stakeholders power and interest in the

decision-making process. The number of interviews is determined by the research team,taking into consideration field conditions and logistical constraints (e.g. sensitivity,

access, time, budget, etc.).

Analyzing Data and Designing Strategy

Data from interviews including scaled values assigned to the attributes and relative

rankings calculated accordingly are catalogued and presented in charts and/or matrices,highlighting the following attributes:

group

their interest (or salience)

influence (power) position on the reform

An important measure called effective power (degree of power the stakeholder holdsover other groups in relation to a reform area) is determined by weighting a combination

of a stakeholders salience and influence. A clear assessment of each stakeholders power

and likely impact on the policy making process is conducted through several steps. Thefirst step is to create a continuum.Stakeholders are mapped on a continuum indicating

support for the reform on a scale of 0 to 100 from low (far left) to high (far right). The

varying degrees of support are marked on the line with a value indicating their reform

preference. This implement also provides a quick visual of the lay of the land,illuminating clusters of groups that support, oppose or are indifferent to reform.

The next step is to organize the stakeholder data according to relative power/influenceand salience of each stakeholder to understand their potential support or opposition for

the proposed reform. Often, a matrix is used to organize and classify the stakeholder data.

One form is to map salience/interest and influence on the axes. This matrix provides ashorthand categorization and analysis of which stakeholders will gain or lose from a

proposed reform and whether they can significantly impact the process.

To guide strategic responses, stakeholders are categorized by their power and salience ina grid according to the following attributes:

Promoters: Stakeholders who attach a high priority to the reform policy a priorityand whose actions can have an impact on the implementation of the policy

Defenders: Stakeholders who attach a high priority to the reform policy but

whose actions cannot have an impact on the implementation of the policy Latents: Stakeholders whose actions can affect the implementation of the reform

policy but who attach a low priority to this policy

Apathetics: Stakeholders whose actions cannot affect the implementation of the

reform policy and who attach a low priority to this policy

The above grid and an additional one facilitate scenario-building and discussion and

helps task teams determine appropriate responsive strategies (e.g. which stakeholders totarget for negotiations and trade-offs, or which to buttress with resources and

information, etc.).

One of the main goals of Stakeholder Analysis is to reveal, and therefore potentiallyassist in reducing, the power imbalance among weaker groups which is often revealed

during policy reform process. Depending on the attributes of the stakeholder (e.g. their

level of influence vs. their salience on the issue), strategies may be tailored to addresstheir concerns.

For example:

Maintain or increase power of reform supporters through building coalitions, and

providing information and resources Convert opposition into support through negotiations, information and/or

coalition building, including offering tradeoffs.

Offset or counter powerful and not so powerful opponents


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Because stakeholders and their positions may change over the course of negotiations and

analyses, SA should remain an ongoing process allowing for policy design to adjust asmore is known about the political reality. Ultimately, Stakeholder Analysis is a critical

tool in clarifying the micro political economy of a policy area and can help identify

interested parties that should be incorporated in the decision-making process, in additionto understanding the basis for their inclusion.

Force Field Analysis

Force field analysis is a management technique developed by Kurt Lewin, a pioneer in

the field of social sciences, for diagnosing situations. It will be useful when looking at thevariables involved in planning and implementing a change program and will undoubtedly

be of use in team building projects,when attempting to overcome resistance to

change.Lewin assumes that in any situation there are both driving and restraining forces

that influence any change that may occur.

Driving Forces

Driving forces are those forces affecting a situation that are pushing in a particular

direction; they tend to initiate a change and keep it going. In terms of improving

productivity in a work group, pressure from a supervisor, incentive earnings, andcompetition may be examples of driving forces.

Restraining Forces

Restraining forces are forces acting to restrain or decrease the driving forces. Apathy,

hostility, and poor maintenance of equipment may be examples of restraining forcesagainst increased production. Equilibrium is reached when the sum of the driving forces

equals the sum of the restraining forces. In our example, equilibrium represents the

present level of productivity, as shown below.

Equilibrium

This equilibrium, or present level of productivity, can be raised or lowered by changes inthe relationship between the driving and the restraining forces.


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For illustration, consider the dilemma of the new manager who takes over a work group

in which productivity is high but whose predecessor drained the human resources.

The former manager had upset the equilibrium by increasing the driving forces (that is,being autocratic and keeping continual pressure on subordinates) and thus achieving

increases in output in the short run. By doing this, however, new restraining forces

developed, such as increased hostility and antagonism, and at the time of the formermanager's departure the restraining forces were beginning to increase and the results

manifested themselves in turnover, absenteeism, and other restraining forces, which

lowered productivity shortly after the new manager arrived. Now a new equilibrium at asignificantly lower productivity is faced by the new manager.

Now just assume that our new manager decides not to increase the driving forces but to

reduce the restraining forces. The manager may do this by taking time away from the

usual production operation and engaging in problem solving and training anddevelopment.In the short run, output will tend to be lowered still further. However, if

commitment to objectives and technical know-how of the group are increased in the long

run, they may become new driving forces, and that, along with the elimination of the

hostility and the apathy that were restraining forces, will now tend to move the balance toa higher level of output.

Managers are often in a position in which they must consider not only output but also

intervening variables and not only short-term but also long-term goals. It can be seen thatforce field analysis provides framework that is useful in diagnosing these

interrelationships.

Force Field Analysis

Force Field Analysis is a simple but powerful technique for building an understanding of

the forces that will drive and resist a proposed change. It consists of a two column form,with driving forces listed in the first column, and restraining forces in the second.

The force field diagram is derived from the work of social psychologist Kurt Lewin.

According to Lewins theories, human behavior is caused by forces beliefs,

expectations, cultural norms, and the like within the "life space" of an individual orsociety. These forces can be positive, urging us toward a behavior, or negative, propelling

us away from a behavior. A force field diagram portrays these driving forces andrestraining forces that affect a central question or problem. A force field diagram can beused to compare any kind of opposites, actions and consequences, different points of

view, and so on.

In the context of process improvement, driving forces could be seen as pushing for

change while restraining forces stand in the way of change. A force field diagram is usedto analyze these opposing forces and set the stage for making change possible. Change

will not occur when either the driving forces and restraining forces are equal, or the

restraining forces are stronger than the driving forces. For change to be possible, thedriving forces must overcome the restraining forces. Usually, the most effective way to

do this it to diminish or remove restraining forces. It can be tempting to try strengtheningthe driving forces instead, but this tends to intensify the opposition at the same time.

The balance sheet structure of the force field diagram makes it applicable to situationsother than comparing driving and restraining forces as well. For example, you could use

it to list possible actions and reactions, compare ideal situations and reality, or in

negotiation, weigh what you want from someone with what they would have to face ifthey agreed.

You can also use a force field diagram to:

1. List pro's and con's.2. List actions and reactions.


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3. List strengths and weaknesses.

4. Compare ideal situations and reality.

5. In negotiation, compare the perceptions of opposing parties.6. List "what we know" in the left column, and "what we don't know" in the right.

SWOT analysis

SWOT Analysis is a strategic planning method used to evaluate the Strengths,

Weaknesses, Opportunities, and Threats involved in a project or in abusiness venture. Itinvolves specifying the objective of the business venture or project and identifying the

internal and external factors that are favorable and unfavorable to achieving that

objective. The technique is credited to Albert Humphrey, who led a convention atStanford University in the 1960s and 1970s using data from Fortune 500 companies.

A SWOT analysis must first start with defining a desired end state or objective. A SWOT

analysis may be incorporated into the strategic planning model. An example of a strategic

planning technique that incorporates an objective-driven SWOT analysis is StrategicCreative Analysis (SCAN)[1]. Strategic Planning, including SWOT and SCAN analysis,

has been the subject of much research.

Strengths: attributes of the person or company that are helpful to

achieving the objective.

Weaknesses: attributes of the person or company that are harmful

to achieving the objective.

Opportunities: external conditions that are helpful to achieving theobjective.

Threats: external conditions which could do damage to the

objective.

Identification of SWOTs is essential because subsequent steps in the process of planningfor achievement of the selected objective may be derived from the SWOTs. First, the

decision makers have to determine whether the objective is attainable, given the SWOTs.

If the objective is NOT attainable a different objective must be selected and the processrepeated. The SWOT analysis is often used in academia to highlight and identify

strengths, weaknesses, opportunities and threats. It is particularly helpful in identifying

areas for development.

Matching and converting

Another way of utilizing SWOT is matching and converting. Matching is used to find

competitive advantages by matching the strengths to opportunities. Converting is to apply

conversion strategies to convert threats or weaknesses into strengths or opportunities. Anexample of conversion strategy is to find new markets. f the threats or weaknesses cannot

be converted a company should try to minimize or avoid them.[2]

Internal and external factors

The aim of any SWOT analysis is to identify the key internal and external factors that are

important to achieving the objective. These come from within the company's unique

value chain. SWOT analysis groups key pieces of information into two main categories:

Internal factors The strengths and weaknesses internal to the

organization.

External factors The opportunities and threats presented by the

external environment to the organization. - Use a PEST or PESTLE

analysis to help identify factors

The internal factors may be viewed as strengths or weaknesses depending upon theirimpact on the organization's objectives. What may represent strengths with respect to one

objective may be weaknesses for another objective. The factors may include all of the

4P's; as well as personnel, finance, manufacturing capabilities, and so on. The externalfactors may include macroeconomic matters, technological change, legislation, and socio-
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cultural changes, as well as changes in the marketplace or competitive position. The

results are often presented in the form of a matrix.

SWOT analysis is just one method of categorization and has its own weaknesses. Forexample, it may tend to persuade companies to compile lists rather than think about what

is actually important in achieving objectives. It also presents the resulting listsuncritically and without clear prioritization so that, for example, weak opportunities may

appear to balance strong threats.

Use of SWOT Analysis

The usefulness of SWOT analysis is not limited to profit-seeking organizations. SWOT

analysis may be used in any decision-making situation when a desired end-state

(objective) has been defined. Examples include: non-profit organizations, governmentalunits, and individuals. SWOT analysis may also be used in pre-crisis planning and

preventive crisis management. SWOT analysis may also be used in creating a

recommendation during a viability study.

Corporate planning

As part of the development of strategies and plans to enable the organization to achieve

its objectives, then that organization will use a systematic/rigorous process known as

corporate planning. SWOT alongside PEST/PESTLE can be used as a basis for the

analysis of business and environmental factors.[8]

Set objectives defining what the organization is going to do

Environmental scanning

o

Internal appraisals of the organization's SWOT, this needsto include an assessment of the present situation as well as a

portfolio of products/services and an analysis of the

product/service life cycle

Analysis of existing strategies, this should determine relevancefrom the results of an internal/external appraisal. This may include gap

analysis which will look at environmental factors

Strategic Issues defined key factors in the development of acorporate plan which needs to be addressed by the organization

Develop new/revised strategies revised analysis of strategic

issues may mean the objectives need to change

Establish critical success factors the achievement of objectivesand strategy implementation

Preparation of operational, resource, projects plans for strategy

implementation Monitoring results mapping against plans, taking corrective

action which may mean amending objectives/strategies.[9]

Using SWOT to analyse the market position of a small management consultancy withspecialism in HRM.[10]

Strengths Weaknesses Opportunities Threats

Reputation inmarketplace

Shortage of consultants at

operating level rather

than partner level

Well establishedposition with a well

defined market niche.

Large consultanciesoperating at a minor

level

Expertise at partner

level in HRM

consultancy

Unable to deal with

multi-disciplinary

assignments because

Identified market for

consultancy in areas

other than HRM

Other small

consultancies looking

to invade the
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of size or lack of

ability

marketplace

Track record successful

assignments

Strengths, Weaknesses, Opportunities and Threats (SWOT) Analysis

Strengths, Weaknesses, Opportunities and Threats (SWOT) Analysis

is a business management tool used to evaluate an organizations strengths, weaknesses,opportunities, and threats. The tool is used to produce a model that can serve to provide

direction in the development, formulation, and assessment of project management plans.

Strengths, Weaknesses, Opportunities and Threats (SWOT) Analysis is an important stepin the planing process that is often undervalued and omitted in constructing the project

management plan. This basic management tool is straightforward and easy to use.

Basically, factors are divided into internal and external issues. Based on the analysis of

the information provided by the model, project management can better decide if theinformation gathered is something that will assist in accomplishing its objectives.

Conversely, Strengths, Weaknesses, Opportunities and Threats (SWOT) Analysis can

also identify potential obstacles to success, as well as flaws in the plan that must beaddressed, controlled, or eliminated if the desired results are to be achieved.

In order for the Strengths, Weaknesses, Opportunities and Threats (SWOT) Analysis to

be effective, project management must do more than simply identify the strengths,

weaknesses, opportunities, and threats involved. Risk management demands that it isnecessary to avoid, eliminate, or at the very least, minimize identified weaknesses and

threats. Weaknesses should be closely scrutinized in order to determine whether or not itis possible to convert them into assets. Similarly, threats should be closely examined for

the opportunity of building strength in areas where they stood, once they have been

eliminated. Strengths and opportunities should be closely studies as well in order to

maximize their effectiveness. Project management would be well advised to takeadvantage of this simple, cost effective management tool and to make it a fundamental

step in the planning process.

Programme Evaluation and Review Technique / Critical Path Method

(PERT/CPM)

Complex projects require a series of activities, some of which must be performed

sequentially and others that can be performed in parallel with other activities. This

collection of series and parallel tasks can be modeled as a network.

In 1957 the Critical Path Method (CPM) was developed as a network model for projectmanagement. CPM is a deterministic method that uses a fixed time estimate for each

activity. While CPM is easy to understand and use, it does not consider the time

variations that can have a great impact on the completion time of a complex project.

The Program Evaluation and Review Technique (PERT) is a network model that allowsfor randomness in activity completion times. PERT was developed in the late 1950's for

the U.S. Navy's Polaris project having thousands of contractors. It has the potential to

reduce both the time and cost required to complete a project.

The Network Diagram

In a project, an activity is a task that must be performed and an event is a milestone

marking the completion of one or more activities. Before an activity can begin, all of its

predecessor activities must be completed. Project network models represent activities andmilestones by arcs and nodes. PERT originally was an activity on arc network, in which

the activities are represented on the lines and milestones on the nodes. Over time, some
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people began to use PERT as an activity on node network. For this discussion, we will

use the original form of activity on arc.

The PERT chart may have multiple pages with many sub-tasks. The following is a verysimple example of a PERT diagram:

PERT Chart

The milestones generally are numbered so that the ending node of an activity has a higher

number than the beginning node. Incrementing the numbers by 10 allows for new ones to

be inserted without modifying the numbering of the entire diagram. The activities in theabove diagram are labeled with letters along with the expected time required to complete

the activity.

Steps in the PERT Planning Process

PERT planning involves the following steps:

1. Identify the specific activities and milestones.2. Determine the proper sequence of the activities.

3. Construct a network diagram.

4. Estimate the time required for each activity.5. Determine the critical path.

6. Update the PERT chart as the project progresses.

1. Identify Activities and Milestones

The activities are the tasks required to complete the project. The milestones are the eventsmarking the beginning and end of one or more activities. It is helpful to list the tasks in a

table that in later steps can be expanded to include information on sequence and duration.

2. Determine Activity Sequence

This step may be combined with the activity identification step since the activity

sequence is evident for some tasks. Other tasks may require more analysis to determinethe exact order in which they must be performed.

3. Construct the Network Diagram

Using the activity sequence information, a network diagram can be drawn showing the

sequence of the serial and parallel activities. For the original activity-on-arc model, theactivities are depicted by arrowed lines and milestones are depicted by circles or

"bubbles". If done manually, several drafts may be required to correctly portray the

relationships among activities. Software packages simplify this step by automaticallyconverting tabular activity information into a network diagram.

4. Estimate Activity Times

Weeks are a commonly used unit of time for activity completion, but any consistent unit

of time can be used.

A distinguishing feature of PERT is its ability to deal with uncertainty in activitycompletion times. For each activity, the model usually includes three time estimates:

Optimistic time - generally the shortest time in which the activity can be

completed. It is common practice to specify optimistic times to be three standard

deviations from the mean so that there is approximately a 1% chance that theactivity will be completed within the optimistic time.

Most likely time - the completion time having the highest probability. Note thatthis time is different from the expected time.


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Pessimistic time - the longest time that an activity might require. Three standard

deviations from the mean is commonly used for the pessimistic time.

PERT assumes a beta probability distribution for the time estimates. For a betadistribution, the expected time for each activity can be approximated using the following

weighted average:

Expected time = ( Optimistic + 4 x Most likely + Pessimistic ) / 6

This expected time may be displayed on the network diagram.

To calculate the variance for each activity completion time, if three standard deviationtimes were selected for the optimistic and pessimistic times, then there are six standard

deviations between them, so the variance is given by:

[ ( Pessimistic - Optimistic ) / 6 ]2

5. Determine the Critical Path

The critical path is determined by adding the times for the activities in each sequence anddetermining the longest path in the project. The critical path determines the total calendar

time required for the project. If activities outside the critical path speed up or slow down

(within limits), the total project time does not change. The amount of time that a non-

critical path activity can be delayed without delaying the project is referred to as slacktime.

If the critical path is not immediately obvious, it may be helpful to determine the

following four quantities for each activity:

ES - Earliest Start time

EF - Earliest Finish time

LS - Latest Start time

LF - Latest Finish time

These times are calculated using the expected time for the relevant activities. The earlieststart and finish times of each activity are determined by working forward through the

network and determining the earliest time at which an activity can start and finish

considering its predecessor activities. The latest start and finish times are the latest times

that an activity can start and finish without delaying the project. LS and LF are found byworking backward through the network. The difference in the latest and earliest finish of

each activity is that activity's slack. The critical path then is the path through the networkin which none of the activities have slack.

The variance in the project completion time can be calculated by summing the variances

in the completion times of the activities in the critical path. Given this variance, one can

calculate the probability that the project will be completed by a certain date assuming anormal probability distribution for the critical path. The normal distribution assumption

holds if the number of activities in the path is large enough for the central limit theorem

to be applied.

Since the critical path determines the completion date of the project, the project can beaccelerated by adding the resources required to decrease the time for the activities in the

critical path. Such a shortening of the project sometimes is referred to as project crashing.

6. Update as Project Progresses

Make adjustments in the PERT chart as the project progresses. As the project unfolds, theestimated times can be replaced with actual times. In cases where there are delays,

additional resources may be needed to stay on schedule and the PERT chart may be

modified to reflect the new situation.


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Benefits of PERT

PERT is useful because it provides the following information:

Expected project completion time.

Probability of completion before a specified date. The critical path activities that directly impact the completion time.

The activities that have slack time and that can lend resources to critical path

activities.

Activity start and end dates.

Limitations

The following are some of PERT's weaknesses:

The activity time estimates are somewhat subjective and depend on judgement. In

cases where there is little experience in performing an activity, the numbers maybe only a guess. In other cases, if the person or group performing the activity

estimates the time there may be bias in the estimate.

Even if the activity times are well-estimated, PERT assumes a beta distributionfor these time estimates, but the actual distribution may be different.

Even if the beta distribution assumption holds, PERT assumes that the probability

distribution of the project completion time is the same as the that of the critical

path. Because other paths can become the critical path if their associated activitiesare delayed, PERT consistently underestimates the expected project completion

time.

The underestimation of the project completion time due to alternate paths becomingcritical is perhaps the most serious of these issues. To overcome this limitation, MonteCarlo simulations can be performed on the network to eliminate this optimistic bias in the

expected project completion time.

Logical Framework Analysis

A log frame (also known as a Project Framework) is a tool for planning and managingdevelopment projects. It looks like a table (or framework) and aims to present

information about the key components of a project in a clear, concise, logical and

systematic way.

History

The log frame model was developed in the United States and has since been adopted andadapted for use by many other donors. The logical framework approach (LFA) has

evolved since the 1970s as a methodology for improving the systematic planning of

development projects. Over time, it has evolved from simply a framework for structuringproject objectives to more sophisticated, process-orientated approaches for involving

stakeholders in project design and management.

Various groups and facilitators have integrated an extensive range of participatory

planning methodologies and tools with the basic LFA framework and quite sophisticatedplanning workshops have been developed.

Logical framework

The Logical Framework Approach involves problem analysis (problem tree), stakeholder

analysis, objectives tree, objectives hierarchy and selecting a preferred implementationstrategy. The Logical Framework Approach (LFA) is an analytical, presentational and

management tool which can help planners and managers to: Analyse the existing situation during project preparation;
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Establish a logical hierarchy of means by which objectives will be reached;

Identify some of the potential risks;

Establish how outputs and outcomes might best be monitored and evaluated; and

Present a summary of the project in a standard format.

The product of this analytical approach is the matrix (the Logframe), which summarises

what the project intends to do and how, what the key assumptions are, and how outputsand outcomes will be monitored and evaluated.

A

log frame summarises, in a standard format:

What the project is going to achieve?

What activities will be carried out to achieve its outputs and purpose? What resources (inputs) are required?

What are the potential problems which could affect the success of the project?

How the progress and ultimate success of the project will be measured and verified?

Key steps in the Logical Framework Approach

Establish the general scope and focus of the project.

Agree on the specific planning framework, terminology and design process.

Undertake a detailed situation analysis.

Develop the project strategy (objective hierarchy, implementation arrangementsand resources).

Identify and analyse the assumptions and risks for the chosen strategies and

modify the project design if assumptions are incorrect or risks are too high.

Develop the monitoring and evaluation framework.

Summary Contents of a logical framework

Narrative

Summary

Verifiable Indicators Means of Verification Important Assumptions

Goal:

What are the quantitative ways

of measuring, or qualitative

ways of judging, whether these

broad objectives are beingachieved? (estimated time)

What sources of information

exists, or can be provided cost-

effectively?

(Goal to Supergoal):

What external factors are

necessary for sustainingobjectives in the long run?

Purpose:

What are the quantitativemeasures or qualitative

evidence by which

achievement and distributionof impacts and benefits can be

judged (estimated time)

What sources of informationexists or can be provided cost-

effectively? Does provision for

collection need to be madeunder inputs-outputs?

(Purpose to Goal):What conditions external to the

project are necessary if

achievements of the projectspurpose is to contribute to

reaching the project goal?

Outputs:Indicate each of

the outputs that

are to beproduced by the

project in order toachieve projectpurpose

What kind and quantity of

outputs, and by when will theybe produced? (quantity,

quality, time)

What sources of information?

(Output of Purpose):

What are the factors not within

the control of the project

which, if not present, are liableto restrict progress from

outputs to achievements of

project purpose?

Goal

The ultimate result to which your project is contributing - the impact of the

project.

Wider problem the project will help to resolve

Purpose

The change that occurs if the project outputs are achieved - the effect of the

project.
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The immediate impact on the project area or target group i.e. the change or benefit

to be achieved by the project

Outputs

The specifically intended results of the project activities - used as milestones of

(date). what has been accomplished at various stages during the life of the project.

These are the specifically deliverable results expected from the project to attainthe purpose

Activities

The actual tasks required producing the desired outputs.

These are the tasks to be done to produce the outputs

Indicators

Also referred to as measurable or objectively verifiable indicators (OVI)

quantitative and qualitative ways of measuring progress and whether project

outputs; purpose and goal have been achieved.

Measuring or qualitative ways of judging timed achievement of goal

Quantitative ways of measuring or qualitative ways of judging timed achievementof purpose

Quantitative ways of measuring or qualitative ways of judging timed productionof outputs

Factors out of project control which, if present, could restrict progress fromactivities to achieving outputs

Process indicators Which measure the extent to which you have achieved your stated

objectives.

Impact indicators Which help to monitor the achievement and the impact of your work.

Means of verification

M.O.V is the information or data required to assess progress against indicators

and their sources.

Cost-effective methods and sources to quantify or assess indicators



Assumptions

Factors external to the project which are likely to influence the work of the project

management has little control, and which need to exist to permit progress to the

next level in the LFA. External factors necessary to sustain objectives in the long run -impact

External conditions necessary if achieved project purpose is to contribute to

reaching project goal -objectives

Factors out of project control which, if present, could restrict progress from

outputs to achieving project purpose -output

Factors out of project control which, if present, could restrict progress fromactivities to achieving outputs-activities

Super goal

The long-term results of continued achievement of the goal of the project.

Inputs

What materials, equipment, financial and human resources are needed to carry out

the activities of the project?

This is a summary of the project budget Financial out-turn report as agreed in

grant agreement

Strengths of LFA:

During initial stages can be used to test project ideas and concepts for relevance

and usefulness.

When designing logframes help to make comprehensive plans that are feasible

within acceptable levels of risks.


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Logframes can form the basis of contracts with explicit statements of what will

be delivered.

During implementation the logframe serves as the main reference for drawing updetailed work plans, terms of reference, budgets, etc.

Logframe provides indicators against which the project progress and

achievements can be assessed.

Weaknesses of LFA

LFA has become widely accepted as a useful and necessary tool for project

planning. However, it does have weaknesses, including:

Focusing too much on problems rather than opportunities and vision;

Being used too rigidly, leading people into a blueprint approach to project

design;

Limited attention to problems of uncertainty where a learning or adaptiveapproach to project design and management is required; and

A tendency for poorly-thought-through sets of activities and objectives to beentered into a PPM table, giving the appearance of a logical framework when in

fact the key elements of the analytical process have been skipped.

Despite these limitations and provided due attention is given to the participation

of stakeholders and it is not used too rigidly, the LFA approach remains a veryvaluable tool for project planning and management.

========================

WHAT IS LFA:-

LFA is a method and an instrument to improve the planning, implementation,monitoring and evaluation of a development intervention.

LFA is based on the idea that the user, the project owner, assumes the mainresponsibility for the planning process.


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LFA has the aim of improving the quality of project operations and can only

achieve this if the user has a good grasp of the method and uses it throughout theentire project cycle.

identify problems and needs in a certain sector of society

facilitate selecting and setting priorities between projects

plan and implement development projects effectively follow-up and evaluate development projects.

An instrument for logical analysis and structured thinking in project planning

A framework, a battery of questions which, if they are used in a uniform way,

provide a structure for the dialogue between different stakeholders in a project.

A planning instrument, which encompasses the different elements in a process of

change (problems, objectives, stakeholders, plan for implementation etc).Theproject plan may be summarized in a LFA matrix, the log frame,

An instrument to create participation/accountability/ownership Common sense.

Make a dialogue possible between all parties involved (beneficiaries,implementers, decision-makers and financiers)

Offer a tool for the identification of problems and correct solutions to problems

Contribute to clarifying and concretizing the projects objectives and to specifyingcorrect activities that are necessary to realize the objectives

Facilitate the production of follow-up reports and evaluations

Create a joint approach to the project, reducing complexity.

Ensure that the ownership of the project ends up with the partner in co-operation

Make the implementation of the project more efficient, reduce the amount of time

required and make the project/programme sustainable.

Objective oriented planning

Objective-oriented planning means that the point of departure of the planning process isthe problem analysis, which leads to the objectives and finally makes it possible tochoose the relevant activities. Hence, before making a plan of activities, an analysis of

the problems and objectives is necessary.

The factors of success for good goal fulfilment

the commitment of all parties involved the project owners sense of ownership

and responsibility,

definite roles for all parties involved (division of work & responsibilities),

realism, realistic objectives, specific and clear goal fulfilment,

specific links between what is done within the framework of the project the

activities) and what will be achieved (the objectives), capacity, the project groups ability to deal with risks,

flexibility to adjust processes if conditions change, projects in which the usersbeneficiaries) have participated in and

exerted an influence on the planning of the project.

Steps in LFA

1. Analysis of the projects Context2. Stakeholder Analysis

3. Problem Analysis/Situation analysis

4. Objectives Analysis5. Plan of Activities6. Resource Planning

7. Indicators/Measurements of Objectives

8. Risk Analysis and Risk Management9. Analysis of the Assumptions

Step 1 Context analysis:

(The projects environment/background information)

All projects/processes of change are part of a wider context. The project is influenced

continuously by different economic, social and political processes taking place in society.

It is essential that the project group has a clear picture of the context when planning the


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project. What environment will the project be implemented in? What external factors are

important for the fulfillment of the projects objectives? It is therefore necessary to make

an initial overall scanning of the projects context (an exhaustive analysis of risks andassumptions is made later, in steps 89). This step is often performed by making a study,

for example of a sector or a region etc, and/or by making a SWOT analysis (SWOT

stands for an analysis of strengths, weaknesses, opportunities and threats3).

Step 2 Stakeholder Analysis/Participation Analysis:

(Those who should be involved when planning and implementing the project)

Stakeholders are those who are influenced by and exert an influence on those things that

take place in the project directly or indirectly.

Stakeholders can be divided up into four main groups:

1. Beneficiaries/Target group

2. Implementers

3. Decision-makers4. Financiers

During the project planning process, information should be obtained from all the different

stakeholder groups. All of them have important information to give to the future project

group. For the project group it is crucial to structure all the reasons/causes of problems inorder to find sustainable solutions.

Step 3 Problem Analysis/Situation Analysis:

(An analysis of the problem that shall be solved by the project and the reasons for itsexistence)

The causes are analysed in order to find the reasons for the focal problem and, thereby,the solutions/the relevant activities. The effects demonstrate the arguments (the needs) for

implementing the change/the project.

In the problem tree, the causes are the roots of the focal problem, which, in turn, is

symbolised by the trunk of the tree. The effects of the problem form the top of the tree.

A problem tree is always read from the bottom up. The problems below lead to the

problems above.

The project activities, they should try to eliminate as many causes as possible by

activities. It is important to find the relevant activities in order to eliminate the causes ofthe problem. Often several activities are needed in order to eliminate one problem, and

one cause.

Without a problem analysis it will be very complicated, if possible at all, to find the right

sustainable solutions (activities) to solve a problem. The problem analysis has to be made

by the relevant stakeholders, including the owners of the problem, the people who know

the situation, not by consultants or financing agencies.

The basic questions that a problem analysis should answer are the following:

What is the main/focal problem that shall be solved with the aid of the project?

(Why is a change/a project needed?) What are the causes of this problem? (Why does it exist?)

What effects does the problem have? (Why is it important to solve the problem?)

Who is affected by the problem and Who owns the problem?

Step 4 Objective Analysis:

(The picture of the future situation)

The objective analysis is the positive reverse image of the problem analysis. During

the objectives analysis, the project group should set three levels of objectives: Overall objectives


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Project purpose

Results

The relationship between the problem analysis and the objective analysis:

Problem tree Objective treeEffects Development Objectives

Focal problem Project Purpose/Immediate Objective

Causes Immediate results/Outputs

Activities

The objectives should answer the following questions:

What shall the project contribute to achieving in the long run?

Why is the project important? What are the long-term policy objectives to which the project will contribute?

(Overall Objectives)

What is the project-owners picture of the ideal situation?

It clarifies why the target group needs the project.

What is the focus of this project? (Project Purpose)

Which different components/sub-goals is needed in order to achieve the purpose andthe overall objectives? (Results)

Hence, the objectives are explanations of what the project is going to achieve in the short,medium and in the long run.

A more comprehensive explanation of the three levels of objectives is given below:

Goal/Overall Objectives/Development Objectives:

The highest level of objectives is the overall objective, which states the direction theproject shall take, i.e. the changes which will take place in the long term partly as a result

of the project. State the long-term social and/or economic (impact) benefits to which the

project will contribute, and describe why the project is important for the beneficiaries and

for the society. External factors outside the scope of the project are important for thefulfillment of the overall objectives. Hence, this objective level is often difficult to

measure.

One example of an overall objective is increased incomes for small scale farmers or

higher completion rates for girls in primary education, improved social welfare or

poverty reduction. It cannot be expected that this goal will be achieved until possiblysome 510 years after the project has ended. The goals constitute the long-term vision for

the project owner.

The Project Purpose/Immediate Objective:

It states the expected outcomes, or direct effects, of the project. The project purpose is thevery reason why the project is needed. The purpose describes the situation which is

expected to prevail if the project delivers the expected results, and the assumptions made

of the external factors, which must act together with the project.

The project purpose and the results shall be: (SMART)

Specific, Measurable,

Approved by the project owner and the project group

Realistic


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Time-bound

The project purpose is the objective that should have been achieved directly in one to

three years or at the end of the project. If it is achieved, the causes of the problem willhave been eliminated and, hence, the focal problem itself will disappear.

Results/Outputs:

The outputs are the direct results of the activities that are implemented within the

framework of the project. The outputs/results are a description of the value of theservices/products produced by the project within the framework of what the project

stakeholders can guarantee. Outputs are actual, tangible results that are a direct

consequence of the projects activities. Several activities are often necessary in order to

reach one result/output.

Step 5 Plan of Activities

(means to achieve the objectives & means to eliminate the causes of the focal problem)

Activities constitute the means to achieve the goals. If the activities are planned and

implemented in a suitable way, the results will be achieved. This, in turn, will lead to theachievement of the project purpose and, in the long term, will also influence the overall

objectives. The activities shall tackle the causes/reasons of the focal or core problem(s),

the roots of the tree. The activities are the work that is done by those involved in theproject.

Step 6 Plan of Resources, inputs in order to implement the activities:

Before the project starts, the project group needs to make a detailed plan of the resources

which are needed to implement the project. The project plan, including the plan of

resources, is formulated in the Scope of Work.

Resources provided for implementing activities within the framework of the project can

consist of:

Technical expertise (local and/or foreign expertise: what

kind of know-how is needed to support the development of capacity)

equipment /spare parts /training in the use of the equipment

premises

funds

time

Step 7 Indicators measurements of results:

Establishing a suitable indicator for an objective is a way of ensuring that an objective

becomes specific, realistic and tangible. There should be at least as many indicators as

there are results and some for the project purpose.

It is important to think about the following when establishing indicators of the fulfillmentof objectives and results:

What shall the project achieve in the terms of quality?

What shall the project achieve in terms of quantity?

During which period of time? When shall the fulfilment of

objectives have taken place? Which group is the target group?

Which geographical region or sector is affected by the project?

The process of setting up indicators reveals whether the objectives are non-specific and

unrealistic.An indicator shall be objectively verifiable. In other words, anybody shall be able to

measure the results. It shall be clear where data for measurement purposes can be found.

(State sources of verification in the project document.)

Step 8 Risk Analysis and Risk Management

(Analysis of the risks affecting the projects objectives and plans to avoid these risks)


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Goal or Impact The longterm development impact

(policy goal) that the

activity contributes at anational or sectoral level

How theachievement will be

measured

includingappropriate targets

(quantity, qualityand time)

Sources of information on

the Goal

indicator(s)

including

who will collect it

and how often

Purpose or Outcome The medium term result(s)

that the activity aims to

achieve in terms ofbenefits to target groups

How theachievement of the

Purpose will be

measured including

appropriate targets

(quantity, qualityand time)

Sources of information on the

Purpose indicator(s)

including whowill collect it and

how often

Assumptionsconcerning the

Purpose to Goal

linkage

Component Objectives orIntermediate Results This level in the objectives

or results hierarchy can be

used to provide a clear linkbetween outputs and

outcomes (particularly for

larger multi-component

activities)

How theachievement of theComponent

Objectives will be

measured including

appropriate targets

(quantity, quality

and time)

Sources of information on theComponent

Objectives

indicator(s) including who will

collect it and how

often

Assumptionsconcerning theComponent

Objective to Output

linkage

Outputs The tangible

products or services that

the activity will deliver

How the

achievement of the

Outputs will bemeasured

including

appropriate targets(quantity, quality

and time)

Sources of

information on the

Output indicator(s) including who

will collect it and

how often

Assumptions

concerning the

Output toComponent

Objective linkage

*************************************

Risk analysis:

The project group should analyse the risks, one by one, identified by the project group

and other stakeholders, as shown below.


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1. Will this factor/risk affect the implementation of the project or make the objectives

unachievable?

Yes = Continue No = Ignore2. Is it possible that the identified obstacle/risk will occur?

Yes = Continue Perhaps = Continue No = Ignore

3. Will anyone outside the project deal with the obstacle/risk?No = Continue Perhaps = Continue Yes = Ignore

4. Can project management deal with the obstacle/risk?

If the answer to question no. 4 is:YES = thenthe project group has to allocate resources and integrate activities in the

plan in order to avoid the risk

NO = thenThe project group has to monitor the obstacle carefully since the obstacle

can be a killing factor and then the project group needs to plan alternative strategies forimplementation in order to avoid the obstacle (The project group has to make a risk

management plan)

Analysis of Participants/Stakeholders

1.1 Which agencies, organisations, groups and people will influence/be influenced by theproject, directly or indirectly? Define their roles in relation to each other.

1.2 Describe the target group (sex, age, income, work situation, etc) and analyse effects

on different parts of the target group.1.3 In what way does the target group participate in the planning, implementation and

follow-up of the project? To what extent does the project group own the project?

1.4 How will the effects of the project help/hinder weak/poor people or groups?

1.5 How are men and women each affected by the project?1.6 Can any groups be affected negatively?

The main steps in stakeholder analysis include

1 identifying the principal stakeholders (these can be at various levels, eg local,

regional, national)

2 investigating their roles, interests, relative power and capacity to participate

3 identifying the extent of cooperation or conflict in the relationship between

stakeholders, and

4 interpreting the findings of the analysis and defining how this should be incorporated

into activity design.

When looking at who the stakeholders are, it is useful to distinguish between the targetgroup and the final beneficiaries. A summary of the terminology used in these

Guidelines is provided below.

Stakeholders: Individuals or institutions that may directly or indirectly, positively or

negatively be affected by or affect an Activity.

Beneficiaries: Are those who benefit in whatever way from the implementation

of the Activity. Distinction may be made between:

Target group(s): The group/entity who will be directly positively affected by the

Activity at the Activity , Outcome level. This may include the staff from partnerorganisations;

Final beneficiaries: Those who benefit from the Activity in the long term at thelevel of the society or sector at large, e.g. children due to increased spending on

health and education, consumers due to improved agricultural production and

marketing.

Partners: Those who implement the Activity in-country (who are alsostakeholders, and may be a target group).

Objective analysis

Once the negative statements from the problem tree have been re-worded to positive

statements, you should then check


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are the statements clear and unambiguous?

are the links between each statement logical and reasonable? (Will the achievement

of one help support the attainment of another that is above it in the hierarchy?)

is there a need to add any other positive actions and/or statements? More detail may

be required.

are the positive actions at one level sufficient to lead to the result above?

do the risks to achieving the objectives and also having sustainable outcomes appear

to be manageable?

is the overall structure simple and clear? Simplify if possible or necessary.

Means of verification

The following questions should be asked and answered

how should the information be collected, eg sample surveys, administrative records,national statistics (as in the census), workshops or focus groups, observation, PRA or

rapid rural appraisal techniques?

what source is most appropriate? eg Who should be interviewed? Does the Bureau of

Statistics already collect the required information? Is the source reliable?

who should do it? eg extension staff, supervisors, an independent team?

when and how often should the information be collected, analysed and reported? eg

monthly, annually, according to seasonal cropping cycles?

what formats are required to record the data being collected?

Steps in conducting problem tree analysis

A.1 Identifying and listing the main problems

Explain the purpose of the exercise and the context within which it is taking place, egpreparation of a primary health care activity. Explain the problem tree method and the

input expected from the participants. Provide some examples of the cause and effect

relationship before starting, emphasising the importance of identifying root causes.

Using contributions from the group, list all the negative statements about the situation

you are analysing. This can be undertaken as a brainstorming session.

Print each problem statement in clear language on a card and display this on some

suitable wall space.

A.2 Identifying core problems

Through discussions, identify a consensus core problem - the one(s) which appear to be

linked to most negative statements.

Print a precise definition of the core problem on a card (if the existing statement

requires further clarification).

Display the card on a wall (or on the floor) so that the whole group can clearly see it.

A.3 Identifying cause and effect

Begin to distribute the negative statement cards according to whether they are causes,

i.e. leading to the core problem, or effects, ie resulting from the core problem. Do this

until all causes are below the core problem and all effects are above the core problem. Atany stage in the exercise, those statements that are considered to be unclear should either

be more clearly specified or discarded. Problems that are clear but very general in nature

and which affect not only this issue but would apply to almost any development problemcan be treated as overall constraints and moved to the side of the main problem tree.

This helps keep the core problem tree focused and manageable. You can be guided in this

by considering whether or not the problem is likely to be one which can be addressed by

an activity based solution. If not, it is a constraint.

Then the guiding questioning for further structuring the statements into a problem treebecomes What leads to that? Choose any negative statement printed as a problem on


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the cards and ask: What leads to that? Then select from the cards the most likely cause

of the problem, and place it below the chosen statement.

If there are two or more causes combining to produce an effect, place them side by side

below the resulting effect.

After you have placed the card or cards for each relationship, pause to review. Then ask

the group if there are more causes leading to that problem.

Similarly you must ask if there are any more effects resulting from that problem.

If there are multiple effects resulting from a cause, place them side by side and above

the cause(s).

A.4 Checking the logic

At each stage you should invite participants to move the cards, i.e. to suggest or

hypothesise other relationships.

When you have placed all cards, review the structure to ensure that related streams of

cause and effect are close to each other on the problem diagram. Choose one of the cards at the top line of your Problem Tree, then work back through

the diagram according to the guiding question: What leads to, or causes, that? in orderto check the logic or completeness of your cause-effect structure.

A.5 Drafting the problem tree diagram

Then draw in vertical links to show cause-effect relationships, and horizontal links to

show joint causes and combined effects; and

Copy your diagram onto a sheet of paper and distribute it for further comment andvariations within an appropriate time period.

A.6 Dealing with overall constraints

Overarching development problems that are identified during the analysis, but whichcannot be addressed directly by an activity based intervention, should be taken out of the

main problem tree diagram and considered as overall constraints. Examples might

include: institutional corruption, lack of government revenue, high population pressure.

These overall constraints should then be considered as part of the risk and sustainabilityanalyses undertaken later in the preparation process.

Output

The idea is that a team can be held accountable for producing a set of deliverables(Outputs),

Outputs are the key components of the project. They are the results for which theproject is held directly accountable and for which it is given resources. These are

the main deliverables of the research project.

Assumptions

But ultimat

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