Strategic Planning and Monitoring of projects and programs Results –Based Management (RBM) Including LFA (The Logical Framework Approach) © Project Design AB Sweden Ms. Kari Örtengren 2012 [email protected]
Dec 25, 2015
Strategic Planning and Monitoring
of projects and programs
Results –Based Management (RBM)
Including LFA(The Logical Framework
Approach) © Project Design AB Sweden Ms. Kari Örtengren [email protected]
Purpose of this seminar
• Increased knowledge on a strategic tool for planning, the LFA-method
• Tool to use in change projects • Improved strategic planning of change
projects • Long –term objective: To contribute to
strengthen the results of your change projects, sustainable effects
© Project Design AB Sweden K. Örtengren 2012
Planning well is crucial to reach results
Thera are many different tools for planning
Thera are many different tools for planning
Many different supporting methods to be used
in RBM • ROPS • Balanced scorecard • SWOT analysis • PROPS • Lean • The LFA method (the Logical Framework Approach)
Methods with different purposes- for planning or monitoring
RBM in brief, a management strategy: o To manage the whole project cycle in a professional way o To plan correctly, with SMART objectives o Monitoring continuously - collecting data o Assessing/analysing results o Learning from results o Disseminating results o Managing and acting upon resultso Institutional learning to become better
Results-Based Management (RBM)- A Management Strategy
LFAThe Logical Framework Approach
an efficient tool for planning
Result - Oriented Strategic Planning
LFA HISTORY LFA was developed in the 1960s
The method is in use world wide, by all international development organizations when assessing, monitoring and evaluating projects and programs.
The UN-system, EU, multilateral and bilateral development agencies all act to have their counterparts to use result oriented planning, the LFA method, when planning, implementing and evaluating projects and programs.
By using the LFA-method correctly the project/program reaches;
RELEVANCE FEASIBILITY SUSTAINABILITY COST EFFECIENCY
Why LFA?
The nine steps of an LFA analysis- the planning
process • 1. Analysis of project´s Context• 2. Analysis of Stakeholders• 3. Problem Analysis/Situation Analysis• 4. Objectives Analysis• 5. Plan of Activities• 6. Plan of Resources/Inputs• 7. Indicators and Source of Verification • 8. Risk Analysis and Risk Management • 9. Analysis of Assumptions
Step 1. Context AnalysisBackground information
• Projects are part of a larger context - prior to start, collect relevant background information on the sector and on the relevant organizations to work with.
• Which environment will the project be situated in, the country, the region and the sector?
• Analysis of Context is made through studies (sector-, country- and /or regional studies etc.)
Step 2 Stakeholder Analysis
People with different knowledge, different background, different sex, different region
Listen and involve
© Project Design AB Kari Örtengren / [email protected] Mobil: 0733-795 568 www.kariortengren.se
Step 2. Stakeholder Analysis
• Stakeholders, those who are influenced by and exert an influence on the project entity. Who will be influenced, positively or negatively, by the project.
• Stakeholder analysis - mapping of stakeholders and their respective roles, include gender, age, ethnic, regional and aspects of experience!
• Which stakeholders should be involved in planning and / or implementing the project – important to include a broad group – people with different knowledge on the sector!
© Project Design AB Sweden K. Örtengren 2011
Step 2 Stakeholder Analysis
Five main groups of stakeholders to involve: Beneficiaries/Target group Implementers Financing agents Decision makers Experts
One stakeholder may belong to several groups. The stakeholders all have important information to give to the future project group/ implementers. They provide a relevant picture of the situation in order to find relevant, feasible and sustainable solutions.
© Project Design AB Sweden K. Örtengren 2011
Step 3 Problem Analysis Situation Analysis
Effects Focal Problems
Causes
© Project Design AB Kari Örtengren / [email protected] Mobil: 0733-795 568
How to involve stakeholders and get an understanding of the situation
Step 3. Problem AnalysisSituation Analysis
• Problem analysis is helping us finding “the roots of the evil”
• Three parts in a problem analysis;The main problem to be solved, one focusThe causes, reasons to the focal problem The effects of the focal problem
• Discuss who owns the problem?
• A problem analysis should always be made by the local stakeholders, the owners of the problem.
EXAMPLE on a PROBLEM TREE
High number of bus accidents
Careless busdrivers
Buses in poor condition
Roads in poor condition
People die and get injured
Buses are delayed
Disabled people
High cost for hospital care Effekr
Bus company gets a bad reputation
Stress
Tight schedule
Bad traffic situation
Too few drivers and buses
Poor maintenance
No maintenance routines
Old buses Poor maintenace
Corruption Weak knowledge on manintenace
Alcoholabuse
Weak management capacity at the bus company
Step 4 Objective Analysis
Formulating Objectives
Three/four levels of objectives
© Project Design AB Kari Örtengren / [email protected] Mobil: 0733-795 568
Why a Problem Tree?
Objective TreeOverall objectives
Project Objective
Expected results
Activities
Problem TreeEffects
Focal problem
Causes
Objectives vs. Activities There is a difference between objectives and activities.Objectives should describe; Which is the changed situation to acheive What to acheive when the project is completed. What the activities are aiming at
Whlle, an activity is a mean to acheive the objective Example on an objective: Enhanced competence on trade facilitation among ITP participants Example on an activity: Arrange a seminar on trade facilitation
Step 4. Objectives AnalysisThree levels
1. Long-term: Overall Objectives, Development Objectives: Often Governmental level, long term perspective, vision e.g. social welfare, economic growth... Time frame: Long term. Several different projects often aiming at the same overall objectives. Sometimes also called goals.
2. Medium-term: Project Objective, Project Purpose : The main objective that the intervention/project should be able to achieve. Solution to the focal problem. The very reason for implementing a project. Time frame: Medium term (the length of the project). Purpose should be “SMART (Specific, Measurable, Approved, Realistic and Time-Bound”)
3. Short-term: Expected results, immediate objectives: The results describe the services to be produced by the project. What services do the beneficiary get access to? Short term objectives. Directly after the project activities. Time frame: After the activities have been implemented. Results should be “SMART”.
Make it logic when planning, Example
© Project Design ABK. Örtengren 2012
Overall objectives: The project will contribute to increased trade and increased GDP in country X
Project objective: Increased efficiency in the customs service in country X
Expected results: 1.Enhanced competence on custom related trade facilitation mesures among customs service staff2.Strengthened management capacity in the Customs service 3.Improved customs clearence routines
Expected Outputs:1.500 staff members trained on trade facilitation 3. New manuals for customs clearance developed
Activities: Ex. some activities 1.1 Develop a training , 1.2 Implemeted a pilot training for 20 staff , 1.3 Evaluate the training
“SMART” project objective & results (short-term objectives)
• Specific
• Measurable
• Approved
• Realistic
• Time bound
Writing objective statementsObjective hierachyOverall objectives
(long term)---------------------------------Project objective
(mid-term): ----------------------------------Expected Results:
(Short term objectives)
-------------------------------Activities:
Example of how to write objectives To contribute to increased GDP in country X
------------------------- Improved service from the state sector to
exporting companies in country X ---------------------------------------- 1.Enhanced knowledge among officials on Trade
facilitation and Rules of Origin 2. Improved trade standards established and effectively enforced in the country.
-------------------------------------Activities for expected result 1: 1:1 Conduct a baseline survey of the vocational training and a need
assessment (knowledge gaps) 1:2 Analyse the findings of the study 1:3 Make a curriculum for trainings based on the findings 1:3 Prepare tender documents for new training programs 1.4 Select trainers /providers of the vocational trainings 1:5 Implement pilot trainings 1.6 Follow-up /monitor of the trainings , analyze results and
if needed change the trainings 1:7 Run a full scale training program for health care staff 1:8 Evaluate the program after 3 years, and analyze, if needd repeat
part of the training program
© Project Design AB Sweden K. Örtengren 2010
Different terminology for objectives used by different projects
and donors, choose what’s best for you Objectives
Think of the time – line, the logic
DFID (Great Britain)
EU RBM (Results-Based
Management)
World Bank
Long-term objectives
Goals Overall
Objectives
Impact Impacts/
Development Objectives
Medium-term
objective
Project Purpose
Project Objective
Outcome Project
Outcome
Short-term
Objectives
Immediate objectives
Expected Results
Outputs IntermediateOutcomes
Terminology differs, depends on the project owners
When selecting objectives, bear in mind…
• “SMART” objectives (Specific, Measureable, Approved, Realistic and Time bound) o Mandate of your Ministry/agency/NGO o The resources available for implementation o The problem to be solved (study the problem
analysis, see step 3 in LFA) o The target group o Diplomacy
© Project Design AB Sweden K. Örtengren 2012
Step 5 Plan of Activities Plan of Operation
© Project Design AB Kari Örtengren / [email protected] Mobil: 0733-795 568
Step 5. Activities/ Plan of Operation/Plan of Activities
• Activities are means to achieve the objectives, not the objectives. Activities tackle the causes to the focal problem (see problem analysis, step 3)
• Activities should be clearly specified and expressed as an action. They explain how to achieve the expected results of the project (the short term objectives).
• Activities should be connected to the expected results , the short-term objectives (Expected result 1: activities 1:1,1:2, 1:3… etc.)
© Project Design AB Sweden K. Örtengren 2012
Step 5. Activities/ Plan of Operation/ Plan of Activities
Activities should always be connected to the expected results/short-term objectives e.g.
Result 1: Improved knowledge among decision-makers at ministerial level on efficient trade facilitation measures Activity: 1:1 Make a need assessment among staff in Ministries and relevant authorities 1:2 Develop a training program, a curricula, and training material for trainings 1:3 Print training material 1:4 Train 15 teachers/trainers (ToT )1:5 Implement the training program for 25 persons, a pilot training 1:6 Follow-up of the training program, review evaluations, if needed make changes in the training curricula1:7 Complete the training program 1:8 Evaluation and dissemination of the results of the trainings 1:9 Integrate the program in to existing services
Specified plans of activities make it easier to implement, to monitor and much easier to make a realistic planning of resources (budget, manning schedule and time schedule etc.) . © Project Design AB /Sweden K. Örtengren 2012
Step 6 Planning of Resources
Staff Budget
Equipment Time
© Project Design AB Kari Örtengren / [email protected] Mobil: 0733-795 568
Step 6. Inputs/Resource planning
• Experts and personnel (human resource management, project group, reference group, which knowledge & capacity is needed?)
• Financing (loans, grants, funds, cost sharing, who is financing what? Future long term financing?)
• Equipment, equipment should be adapted to local conditions (Are spare parts and maintenance available?)
• Premises (office, training facilities, is there a contract for the premises?)
• Time (make a realistic time schedule, e.g. GANTT-schedule)
© Project Design AB Sweden K. Örtengren 2011
Step 7 Indicators &
Sources of verifications
To monitor results
© Project Design AB Kari Örtengren / [email protected] Mobil: 0733-795 568
Step 7. IndicatorsMeasure achievements
• Are the objectives achieved? Any positive results?
• The process of setting up indicators shows whether the objectives are vague and unrealistic.
• Indicators should be set for all expected results and for the project purpose (short-term objectives and medium-term objective).
• Indicators should state the quantity and the quality
© Project Design AB Sweden K. Örtengren 2012
Examples of indicators, quantity and/or quality,
Indicators for a management training e.g.: 1. Number of persons participating in the training
(SoV: List of participation) (quantity) 2. Number of occasions when knowledge among the trained
personnel has been used (Source of verification (SoV): Number, interviews) (quality)
3. Number of persons passing the test after the training (SoV: The test results from the training)
4. Examples of changes made in the organization after the training (SoV: Organizational study )
5. Staff recognition/comments 6 months after the management training ( SoV: Interviewing staff on management at the authority)
Indicator for service: e.g. Number of satisfied customers (SoV: statistics, interviews %) (measures quality).
Step 7. IndicatorsMeasure achievements
• A baseline study, input data is needed, in order to be able to measure the final results, to be able to compare. (E.g. how many custom clearances per year when we start our project)
• Each indicator should be connected to a Source of Verification (SoV), answering the questions how the information on the indicator should be collected, when/how it will be collected (e.g. SoVs interviews, exams, at the statistical office, questionnaires etc.)
Step 8 Risk Analysis and Risk Management
Continuous risk analysis & risk management
important to reach sustainability
Step 8. Risk Analysis & Risk Management
• Analysis of factors which may influence the implementation of the project and hence the achievement of the objectives.
• Internal and External risks
• Make a risk management plan – mitigation of risks, new activities.
• Killing factors? Important threats, threatening the whole implementation e.g. the political situation, corruption etc.
© Project Design AB Sweden K. Örtengren 2011
Risk value Risks Probability
1-5 Consequence 1-5
Risk value Risk management /mitigation
1.Brain-drain 5 4 20 a. Train more staff b. Develop manuals for
training c. Develop an internal
long term training module
d. Avoid dependence on one person, share responsabilities
2.Delayed deliveries
2 1 2 None
Step 9. Analysis of Assumptions
• Assumptions describe situations and conditions which are necessary for project success, problems needed to be solved, but which are largely beyond the control of the project group to solve (due to the resources of the project group, their mandate and knowledge etc.)
• An assumption, is a problem the project group realistically can assume that other projects/ authorities/actors will handle
Why different steps in LFA in the planning procedure?
• Relevance Step 1 – 4 The Context, the Stakeholder-, the Problem- and the Objectives analysis. Logical links between problems and solutions? Ensure that the problems of the target group are solved by the project.
• Feasible Step 5 – 7 Plan of Activities, Resources/inputs and Indicators. Are the activities and resources sufficient to achieve the objectives? (Resources: Personnel, time, funding, equipment)
• Sustainable Step 8 – 9 Risk analysis, Risk Management and Analysis of the Assumptions. If the project is sustainable, will the effects of the project remain without external assistance?
The nine steps of an LFA analysis - why?
1. Analysis of project´s Context 2. Analysis of Stakeholders 3. Problem Analysis/Situation Analysis RELEVANCE 4. Objectives Analysis
6. Plan of Resources/Inputs 5. Plan of Activities FEASIBILITY 7. Indicators/measurements
8. Risk Analysis and Risk Management 9. Analysis of Assumptions SUSTAINABILITY
GROUP ACTIVITY 1. PROBLEM: Identify one focal problem, e.g. You decided, but some proposals
a) Weak efficiency in the customs service b) Little knowledge in the trade sector on rules of origin (RoO)
c) Weak support from the state to the export industry
2. STAKEHOLDER ANALYSIS: Identify stakeholders in the sector (Beneficiaries/target group, Implementers, local financing agents, decision makers) List them.
3. PROBLEM ANALYSIS: Identify reasons/causes to the focal problem and effects. Make a brief problem tree, write notes.
4. OBJECTIVES: Set at least two expected results (short-term objectives), one project objective and two overall objectives. Formulate them “SMART” .
5. ACTIVITIES: Find solutions/activities to achieve result 1-3. Number the activities (1:1, 1:2, 1;3 etc.) and connect them to each expected result.
© Project Design AB Sweden K. Örtengren 2008
Overall Objectives Project Purpose Expected Results Activities
Indicators Indicators Indicators Resources
Sources of Verifications Sources of Verifications Sources of Verifications
Assumptions Assumptions
LFA matrix / Log Frame – a way to summarize a project plan
Preconditions
Two main types of project planning workshops
1.Initial planning workshop (GOPP or LFA workshop. WHY a project ? and WHAT a project aims at?). Initial workshop is step I. Enhances engagement from a broad group of stakeholders – facilitates the future planning and implementation, listen to stakeholders! Participatory approach! Report after workshop handed over to the project management team.
2. Management workshop
(HOW a project should be implemented, details ), detailed planning, specification. Planning meetings for the project management team.
© Project Design AB Sweden K. Örtengren 2011
© Project Design AB Sweden K. Örtengren 2010
LFA steps in an LFA workshop
STAKEHOLDER ANALYSIS PROBLEM ANALYSIS!! ANALYSIS of OBJECTIVES (proposal) OVERALL ACTIVITY PLANNING (proposal) RISK ANALYSIS (overall , proposal) (ANALYSIS of ASSUMPTIONS, proposal)
Proposals from the stakeholders to
the project group
LFA/GOPP WORKSHOP answers WHY a project and WHAT a project will handle, not HOW
LFA summaryProject Planning
• Structured the project planning procedure in 9 steps
• Relevant, Feasible and Sustainable projects/programs
– leads to success!• Involve local stakeholders – listen to the target group • LFA correctly used, strengthen local participation
& local ownership!
• Connection problems and objectives – relevant solutions
• LFA during all phases of the project cycle, LFA planning sets the basis for efficient monitoring
STEPS in MONITORING/ FOLLOW-UP of a PROJECT
CONTINUOUS MONITORING of OBJECTIVES (monitoring means using indicators & sources of verifications)
ANNUAL PROGESS or INTERIM REPORTS ANNUAL REVIEW MEETINGS ANNUAL WORK PLANS FINANCIAL REPORTS COMPLETION or FINAL REPORT AUDIT FOLLOW –UP MEETINGS WITH STAKEHOLDERS (incl. target group)
Narrative reporting and financial reporting
Every step in monitoring needs efficient planning
CONTINUOUS MONITORING of OBJECTIVES (monitoring means using indicators & sources of verifications)
ANNUAL PROGESS or INTERIM REPORTS ANNUAL REVIEW MEETINGS ANNUAL WORK PLANS FINANCIAL REPORTS COMPLETION or FINAL REPORT AUDIT FOLLOW –UP MEETINGS WITH STAKEHOLDERS (incl. target group)
Narrative reporting and financial reporting
Every step in monitoring needs efficient planning
MONITORING PLAN!
Make a monitoring plan for your project by deciding : WHAT to monitor (which objectives does your
project have )
HOW to monitor (Define Indicators & Sources of Verifications, SoVs such as interviews, studies, tests etc.)
WHO will collect the data (disseminate responsibilities for monitoring)
WHEN to monitor (when will you collect the data/the results)
Make a communication plan for your organisation to disseminate results to efficiently recieve sustainable results, Communication plan by defining the following:
WHO will/should receive the data on the results from the project, who needs it
WHY communicate to different stakeholders, the purpose with the communication
WHICH data is needed for different stakeholders
HOW to disseminate/communicate results WHEN to disseminate data
COMMUNICATION PLAN
LFA & RBM TERMINOLOGY TERMIOLOGY FOR PLANNING & MONITORING
LFA terminology use when planning
OVERALL OBJECTIVES (long-term)
PROJECT OBJECTIVE (medium-term)
EXPECTED RESULTS (short-term)
EXPECTED OUTPUTS (direct result from activities)
RESOURCES
RBM terminology , use when measuring performance, during implementation and evaluation
IMPACT
MEDIUM-TERM OUTCOME •
SHORT-TERM OUTCOMES
OUTPUTS
INPUTS
LEVELS of MONITORINGTERMIOLOGY IN MONITORING
1. IMPACT (Overall objectives)
2. MEDIUM-TERM OUTCOME (project objective)
3. SHORT-TERM OUTCOMES (expected results)
4. OUTPUTS
5. INPUTS
1. IMPACT (Overall objectives)
2. MEDIUM-TERM OUTCOME (project objective)
3. SHORT-TERM OUTCOMES (expected results)
4. OUTPUTS
5. INPUTS
1. Long term effects on life changes and living standards (e.g. Increased trade and/or improved GDP)
2. Medium term effects- access usage and satisfaction of users (E.g. Improved Efficiency in Customs Service in region X )
3. Short term effects, services produced (e.g. a. Improved technical administrative solutions in custom service in region X, b. Strengthened knowledge among administrative staff in Customs Service in Region X )
4. Very short-term results, direct effect of the
activities, such as 150 staff trained, 20.000 manuals printed etc.
5. Financial, staff, time input needed to implement project (e.g. 200 USD, 45 man months and 3 years)
1. Long term effects on life changes and living standards (e.g. Increased trade and/or improved GDP)
2. Medium term effects- access usage and satisfaction of users (E.g. Improved Efficiency in Customs Service in region X )
3. Short term effects, services produced (e.g. a. Improved technical administrative solutions in custom service in region X, b. Strengthened knowledge among administrative staff in Customs Service in Region X )
4. Very short-term results, direct effect of the
activities, such as 150 staff trained, 20.000 manuals printed etc.
5. Financial, staff, time input needed to implement project (e.g. 200 USD, 45 man months and 3 years)
Capacity development To achieve sustainable results, analyse capacity
development needs at different levels in the society.
© Project Design AB Sweden K. Örtengren 2011Kari.ortengren2telia.com+46-733-795 568
Institutional framework
System of organizationsOrganization
Unit within organiz.
Contextual analysis
Individual/Profession
(competence)
Capacity Building
To ensure sustainability- Make an Exit Strategy /Continous Risk Management
To ensure sustainability- Make an Exit Strategy /Continous Risk Management
To reach sustainable results, important factors to plan for at an early stage (to make a risk management plan regarding):
1. Local Capacity for ownership of the process, depends on: a. Knowledge among staff b. Willingness to change c. Participation and responsibility d. Future financing, long term financing e. Available time2. Methods for implementation of the project, have to be adapted to
local conditions, to cultural-, instititutional- and to gender aspects, age and capacity.
3. The distribution/dissemination of the knowledge needs to be efficient within the organisation and to other organisations and regions.
4. Political will and political awareness on the issue. 5. Legislation and regulations
Monitoring and Evaluation Monitoring: the systematic and continuous assessment of progress over time by collecting and analysing information, and using that information to improve the project’s work. The periodic The periodic measurement of progress of a program/project . Monitoring focus on: measurement of progress of a program/project . Monitoring focus on: Project/program implementation process, tracking progress towards a Project/program implementation process, tracking progress towards a predetermined set of objectives, by using indicators and sources of predetermined set of objectives, by using indicators and sources of verifications. verifications.
Evaluation: the assessment at one point in time of the impact of a project and the extent to which objectives have been achieved.
Both are tools for identifying strengths and weaknesses and for making good and timely decisions to reach progress.
Monitoring: the systematic and continuous assessment of progress over time by collecting and analysing information, and using that information to improve the project’s work. The periodic The periodic measurement of progress of a program/project . Monitoring focus on: measurement of progress of a program/project . Monitoring focus on: Project/program implementation process, tracking progress towards a Project/program implementation process, tracking progress towards a predetermined set of objectives, by using indicators and sources of predetermined set of objectives, by using indicators and sources of verifications. verifications.
Evaluation: the assessment at one point in time of the impact of a project and the extent to which objectives have been achieved.
Both are tools for identifying strengths and weaknesses and for making good and timely decisions to reach progress.
Evaluation Criteria
Relevance: The appropriateness of the project objectives to the problems it addresses and to the physical and policy environment.
Efficiency: Results acheived at reasonable cost i.e how well inputs/means have been converted into results in terms of quality, quantity and time?
Effectiveness: An assessment of the contribution made by the results to achievement of the project purpose and how assumptions have affected project achievements.
Impact: The effect of the project on its wider environment. Its contribution to the objectives for the sector (overall objectives)
Sustainability: Likelihood of the benefits produced by the project to continue to flow after end of project with particular reference to ownership, environment, policy support, institutional capacity and financial support.
The nine steps of an LFA analysis - why?
1. Analysis of project´s Context 2. Analysis of Stakeholders 3. Problem Analysis/Situation Analysis RELEVANCE 4. Objectives Analysis 5. Plan of Activities 6. Plan of Resources/Inputs FEASIBILITY 7. Indicators/measurements
8. Risk Analysis & Risk Management 9. Analysis of Assumptions SUSTAINABILITY
1. Analysis of project´s Context 2. Analysis of Stakeholders 3. Problem Analysis/Situation Analysis RELEVANCE 4. Objectives Analysis 5. Plan of Activities 6. Plan of Resources/Inputs FEASIBILITY 7. Indicators/measurements
8. Risk Analysis & Risk Management 9. Analysis of Assumptions SUSTAINABILITY
o Good planning with an efficient tool such as the LFA o Planning is a process , a participatory approach o Define SMART objectives including monitoring
tools such as indicators & source of verificationso Specify activities oMake a risk analysis & risk management plan
o Set aside time, resources and skills for planning & monitoring
o Responsible monitoring persons o Analysing data & learning from results o Dissemination of results to relevant stakeholderso Good project management skills helps
Summary