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


Summary ● Development Planning and the Concept of RBP ● Key Stages in the RBP Process ● Stakeholder Analysis ● Problem Analysis

● Objective Analysis ● Alternative Analysis


Development Planning: What is it? Planning can be defined as a process which helps define objectives, develop strategies, map out the great links of implementation arrangements and allocate necessary resources for the achievement of these objectives. Good planning, associated with effective monitoring and evaluation, can play a fundamental role in improving the effectiveness of development interventions. Good planning helps focus on important results so that development interventions contribute to improving the socioeconomic conditions of populations.


General RBP Concept ● Results-based planning (RBP), as part of MfDR, is rooted in the importance of a prior plan – for all development interventions – the expected results before developing the strategy for attaining these results. ● RBF targets country ownership of priorities and develpment results. ● RBP must first respond to these 3 questions: 1. What are the key development problems? 2. Which social groups are most vulnerable to these key problems? 3. What are the major obstacles which impede the use of existing capacities for implementing solutions?


Key stages in the RBP process (1/2) 1. Start by identifying an obstacle (shortcoming or a specific problem) that is important and needs to be overcome. This is the project idea. 2. Then identify the key stakeholders of the obstacle or identified problem (stakeholder analysis). 3. Next, evaluate the development issues from the perspective of potential beneficiaries (problem analysis). 4. Then examine possible solutions and determine the best solution for each problem (objective analysis). 5. Next, define realistic results taking into consideration the country situation, partner capacity and available resources (alternative analysis).


Key stages in the RBP process (2/2) Goal/impact

Stakeholder analysis

Objecive/ outcome Product/ output Activities

Resources / Inputs

Problem analysis

Results chain (first column of logical framework)

Objective analysis

Analysis of alternatives


Stakeholder Analysis


Stakeholders & the affected: who are they? ● Agencies, organisations, groups or individuals who have a direct or indirect interest in the development intervention or in its evaluation (OECD glossary). ● Stakeholders are those who are affected, positively or negatively, directly or indirectly, by the development problem and its possible resolution. For example:  Individuals or groups affected by the problem.  Individuals or groups who could influence the problem.  Individuals, groups or organisations with interests in resources which could solve the problem.  Individuals or groups affected by a decision or who could influence a decision related to the problem.


Stakeholder Analysis: What exactly is it? It allows for the identification of: ● The interests and needs of individuals and groups, notably their capacities with regards to planning, execution, monitoring and evaluation of the programme. ● The individuals and groups who will be directly involved in different stages of the program cycle ● Changes in practices or in required, desired and feasible attitudes from final programme beneficiaries’ viewpoint.


Stakeholder Analysis Matrix Staleholder Interest Perceived Resources type problem and Mandate

Potential conflict

Interest in a strategy

Take part in this first step

End after step 4 in the logical framework


Problem Analysis


Problem Analysis (1/2)

The problem tree revolves around three basic components: ● Problems ● Causes ● Effects

Effect

Cause

Logical direction

It is a participatory method of causal analysis of development problems with the goal of identifying the causes and the effects of identified problems as experienced and perceived by key stakeholders. Problem analysis is the first stage of results-based management (RBM). It results in a diagram called the problem tree.


Problem Analysis (2/2) It is a process which facilitates: ● Analysis of a given situation with respect to development issues (set of problems). ● Identification of important problems. ● Definition of the central problem in that situation. ● Visualisation of "cause and effect" relationships which characterise these problems in a diagram (hierarchy). A problem = an unsatisfactory state, which translates into a loss, a risk, an unused potential or opportunity … BUT NOT the lack of a possible solution to a problem. Only key problems should be part of the problem analysis in order to make the exercise fluid and feasible.


Problem Analysis: Technical Prerequisites ● Write a problem (as perceived by stakeholders) in a negative form. A problem must be clearly stated and without ambiguity. ● Write one problem per card. ● Only identify real problems – and not potential or probable problems. ● A problem must not be a lack of a solution– it is a negative state (or situation) that actually exists. ● The problem’s importance is not determined by its position/level in the problem tree. ● Example of a problem linked to child diseases : Lack of potable water in the area (incorrect) Children suffering from chronic diarrhoea (correct).


Structuring a problem tree (1/2) Problem existence Why? Because…

The "central problem" (an inefficient, lacking, insufficient public service, etc.)

Immediate causes Why? Because…

The most obvious causes, having a direct influence on the "central problem"

Underlying causes Why? Because…

Insufficiences in social services, lack of access, degrading practices, etc.

Structural, deep, root causes

Economic and social organisation, various policies, inequitable distribution of natural resources, governance, political situation


Structuring a problem tree (2/2) Tertiary outcome

Secondary outcome

Primary outcome

Main problem

Immediate cause

Underlying causes

Structural causes


Example of a problem tree Increased congestion

Increased tansportation cost per capita

High pollution Use of private vehicles increase Service request RMB in decline

Poor public transport offer by RMB

Fequent bus accidents

Frequent delays

Frequent failures

Bus fleet in disrepair

Poor bus maintenance

Lack of spare parts

Customs restrictions

Poorly trained mechanics

lack of training

Bad drivers

Inadequate traffic management

no minimum required driving threshold

Police cannot control the growing traffic

Old dilapidated bus

Lack of capital budget

Company in deficit

Ticket cost covers only 75% of operational budget

Bad roads

Insufficient budget Maintenance City ​council has different priorities


How to create a problem tree? 1st stage:

Identify the major problems linked to the situation or issues under consideration (brainstorming).

2nd stage:

State the central problem.

3rd stage:

Identify the causes of the central problem.

4th stage:

Identify the effects created by the central problem.

5th stage:

Create a diagram summarizing the cause and effect relations (a hierarchy of problems).

6th stage:

Review the entire diagram and verify its validity and comprehensiveness.


Objective Analysis


Objective Analysis It’s a methodological approach for: ● Identifying possible solutions for the project. ● Describing the expected future situation after resolving the problems.

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Example of a problem tree Better city traffic

Reduced pollution

Reducedtansportation cost per capita

Use of private vehicles decreased Service request RMB in growth

Improved public transport quality by RMB Limited bus accidents

Less delays Rare bu failures

Good drivers

Bus fleet in good shape Good bus maintenance Availaibility of spare parts

No customs restrictions

Well trained mechanics

Effective training

Required driving threshold

Plan for replacing buses Operational capital budget

Support obtained

Better roads

Effective traffic management

Enough budget for maintenance

Police can control the growing traffic

City ​council has provided additional resources


How to create an objective tree? 1st stage:

Reformulate all the negative situations of the hierarchy of problems into desirable and achievable positives. Formulate the objectives in the past participle.

2nd stage:

Check the "results-resources" relations to confirm that the diagram is complete and valid.

3rd stage:

If necessary:  Modify certain formulations .  Add new objectives if these appear to be pertinent and

necessary for achieving the stated objective of the next stage.  Remove objectives which appear not to be wanted or necessary.


Alternative Analysis


Alternative Analaysis An alternative analysis is a systematic tool for seeking and taking decisions on solutions to problems. It occurs after the problem analysis and objective analysis and is a prerequisite condition for the design of an intervention strategy. All the alternatives considered must have one thing in common: they must contribute to solving a problem. In other words, the alternatives must adapt to the achievement of certain important objectives.


Example of an alternative analysis Better city traffic

Reduced pollution

Reducedtansportation cost per capita

Use of private vehicles decreased Service request RMB in growth

Improved public transport quality by RMB Limited bus accidents

Less delays Rare bu failures

Good drivers

Bus fleet in good shape Good bus maintenance Availaibility of spare parts

No customs restrictions

Well trained mechanics

Effective training

Alternative 1

Required driving threshold

Plan for replacing buses

Better roads

Effective traffic management

Enough budget for maintenance

Police can control the growing traffic

City ​council has provided additional resources

Alternative 2

Alternative 3

Operational capital budget

Support obtained

1: Bus fleet 2: Bus drivers 3: Road Quality


Alternative Analysis: Link with LFM Selected alternatives

Logical framework matrix Goal / Impact

Objective / outcomes

Product / output Activities

Resources/Inputs

Once the alternative analysis is finalised, the elements for starting work on the Logical Framework Matrix (LFM) are combined; the first important element being the results chain.


Thanks for your attention.

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RBM Training Kit: Module 4