project planning a guide for use when according to the applying … · 2019-11-07 · step 9:...

CONTENTS NAME CALIBRI 13 TYPE OF CONTENTS CALIBRI 13 BOLD

Project Planning according to the

LFA- method

A guide for use when applying for financing under the Municipal Partnership Programme.

Author: Kari Örtengren

© Project Design AB/201s

Kari Örtengren

www.kariortengren.se

tel: +46 733-795 568

ICLD | VISITING ADRESS Söderväg 1D, SE-621 58 Visby, Sweden | POSTAL ADRESS P.O. BOX 1125, SE621 22 Visby, Sweden TELEPHONE 0498-29 91 00 | E-MAIL [email protected] | REG. NR. 802441-7480 | WEB www.icld.se

2

1. Content 1. INTRODUCTION – The objective of this publication ......................................... 3

2. WHAT IS LFA? .................................................................................................... 4

3. HOW IS SUCCESS IN A PROJECT ACHIEVED? ..................................................... 6

4. THE PLANNING PROCESS .................................................................................. 7

THE LFA METHOD’S STEPS ................................................................................ 7

5. PLANNING PROCESS STEPS ACCORDING TO LFA .............................................. 8

STEP 1: CONTEXT ANALYSIS ........................................................................... 8

STEP 2: STAKEHOLDER ANALYSIS ................................................................... 8

STEP 3: PROBLEM ANALYSIS / SITUATION ANALYSIS ................................... 10

STEP 4: Objective ANALYSIS ......................................................................... 12

STEP 5: ACTIVITY PLAN ................................................................................. 15

STEP 6: RESOURCE PLANNING .................................................................... 17

STEP 7: INDICATORS and SOURCES OF VERIFICATION ................................. 17

STEP 8: RISK ANALYSIS and RISK MANAGEMENT ......................................... 19

STEP 9: ANALYSIS OF ASSUMPTIONS .......................................................... 20

6. WHY DOES THE LFA METHOD HAVE NINE DIFFERENT STEPS? ....................... 22

7. SUMMARIZING THE PROJECT PLAN IN AN LFA MATRIX ................................. 23

8. MONITORING PROJECTS AND PROGRAMMES ................................................ 25

9. COMMUNICATIONS PLAN/DISSEMINATION ................................................... 27

10. RISK ANALYSIS/ and RISK MANAGEMENT ....................................................... 28

11. LEARNING ORGANISATIONS ........................................................................... 29


3

Results-based management – Project planning

according to the LFA-method (The Logical Framework Approach)

The LFA in Summary

1. INTRODUCTION – The objective of this publication

This publication seeks to facilitate the planning process for project groups. It contains a description of a tool for an effective project planning process known as the LFA metho2d. The publication is aimed primarily for project groups planning to apply for funds via the ICLD (International Centre for Local Democracy) and the Municipal Partnership Programme (MP). The publication is also of interest for people working with various types of change processes who seek to broaden their knowledge of results-based management project planning. The ICLD’s overall objective is to promote the development of sustainable democracy on the local and regional levels. A municipal partnership shall contribute to increased citizen influence by strengthening local and regional politically controlled organisations within one (or if relevant, some) of the following core areas: Equity/inclusion; Citizen participation; Transparency and Possibility to demand accountability (Read more here: http://www.icld.se/eng/pdf/New_results_framework_1_January_2016.pdf). When drafting project applications it is important to proceed according to ICLD guidelines and the Municipal Partnership programme’s budget guidelines. This LFA project planning manual does not replace the ICLD guidelines. However, the ICLD application form follows the LFA method, as do many other application forms. The ICLD recommends that LFA be used during planning for the application preparation process. The LFA is an excellent means of ensuring a good, functional planning process that facilitates project execution – a well-structured plan with clear objectives, activities and explicit allocation of responsibilities makes projects easier to steer toward a good outcome. In this publication, the term project group refers to the people appointed to carry out the MP project, i.e. people on both the Swedish side and in the partner country. Reference to the ICLD application form is made in the text.


4

2. WHAT IS LFA? Without a good plan, objectives are just a dream

The Logical Framework Approach (LFA) is a method for project planning that emphasizes stakeholder participation in all phases of project design. LFA is a bottom-up approach that always begins by listening to the target group’s own assessment of their situation and needs, and designs project objectives based on this, in dialogue with the project team and local stakeholders. The method makes sure planning is a structured process that follows nine different steps characterized by participation. LFA originated in the USA and was first used in the 1960’s. Since then, LFA has spread around the world and is used today as a planning tool for projects, programmes and strategic planning in every type of sector. LFA made its début in Sweden via international development cooperation during the 1990’s. Today methods such as LFA fall under the umbrella term Results-Based Management (RBM), an approach to planning, monitoring and evaluating programmes and projects that originated in Australia and that is characterized by analyzing problems in detail before setting objectives and then planning steps to meet them, activities. The LFA method is one of many methods in results-based management. Other methods are Balanced Scorecard, SWOT analysis, TQM (Total Quality Management) and Prince. However, in contrast to some of the other methods, LFA is a comprehensive planning model, i.e. it comprises every step in the planning process from listening to stakeholders to developing a complete detailed project plan – a plan that can be easily implemented, monitored and evaluated. For its comprehensiveness and inclusiveness many financiers recommend LFA.


5

The LFA method in brief: • a results-based planning method for projects and programmes

• a process based on participation with a focus on the target group´s needs

• a method that leads to relevant, feasible and sustainable projects

• a tool that provides the preconditions for learning through ongoing monitoring of results

• an instrument which, in addition to planning, is also used by financiers for the analysis, assessment, monitoring and evaluation of projects, programmes and activities

In the Municipal Partnership Programme, project planning is undertaken during the Inception phase. This is the opportune time to go through the nine different LFA steps to prepare a good project plan for the ICLD application. The LFA method is based on the idea whereby the justification for a project is whether or not its delivered outcomes meet the target group’s needs and requirements. In other words, it is not the activities implemented, such as consulting, training and field studies, that are important, but what is achieved, namely the improvements in the target group’s situation, the outcomes that are important. Examples of outcomes could be increased employment levels for young people with disabilities in County X, greater gender equality at workplace Y or a lower HIV prevalence among young men and women in region Z. LFA ensures that the project group, in close collaboration with stakeholders, always analyses which problems are to be solved before it establishes the objectives, objectives based on these problems. Relevant activities can then be developed. It is important to begin at the right end – first observe and analyse what must be solved before developing the solutions.


6

3. HOW IS SUCCESS IN A PROJECT ACHIEVED?

The LFA method evolved through experience of what makes a project successful. Evaluations carried out in the EU have shown that certain factors are essential for achieving good outcomes.

The following is important for good results achievement: • the commitment of all concerned and a strong sense of local ownership

• clear allocation of responsibilities

• realism – clear, realistic goals

• a clear link between what must be achieved and what is carried out within the project framework, i.e. a clear link between goals and activities

• the capacity to manage risks

• the flexibility to adapt project plans when needed

• a project in which the users/target group have taken part and influenced project design – good project management skills are needed

• ongoing monitoring and outcome analysis – learning in order to achieve sustainable outcomes

A properly executed and adapted LFA analysis will provide great help in the successful achievement of the above points, and thus lead to a successful project.


7

4. THE PLANNING PROCESS THE LFA METHOD’S STEPS

A project planning process according to the LFA method contains the following nine steps:

The LFA planning process is divided into nine steps: 1. Analysis of the project context/setting (background information)

2. Stakeholder analysis (which individuals and involved parties are affected by and affect the

project)

3. Problem analysis/situation analysis (what are the challenges the project must solve)

4. Formulating the objectives (what do we want the project to achieve?)

5. Activity plan (what actions must be taken to achieve the objectives)

6. Resource planning (time, personnel including allocation of responsibilities, budget,

equipment)

7. Indicators and sources of verification (methods for measuring results achievement,

monitoring results)

8. Risk analysis and risk management (How to avoid factors that negatively affect goal

achievement)

9. Analysis of the assumptions (what are other involved parties able to manage)

Planning change processes/projects is a process in itself – time and human resources must be set aside for reflection before project execution can begin. This planning requires systematic thinking and a good method such as LFA. ICLD financing makes a good planning process possible through the Inception Phase. The different steps in LFA planning do not always follow the order shown above. The order in which the steps are taken may vary somewhat from project to project depending on preconditions and the information already in hand when planning has begun. The project group may need to perform the steps in a somewhat different order and sometimes they also need to revert to previously executed steps to add information, as represented by the circle shown in the picture above. The project group receives more information further on in the planning process, which may require adaptation of the project plan. For example, when the project group arrives at risk analysis (step 8), risk management actions may need to be added to the activity plan (step 5).


8

5. PLANNING PROCESS STEPS ACCORDING TO LFA

Set out below is a description of what each of the nine steps in an LFA-planning process entails. Each of the nine steps includes a reference to the questions in the ICLD project application.

STEP 1: CONTEXT ANALYSIS Collection of background information All targeted change processes are a part of a greater context referred to as the project context/environment (setting). The project is constantly influenced by different financial, social and political processes taking place in society, about which it is important to have a clear picture during project planning. What external factors are important for the project’s results achievement; what is the project environment? Therefore, first carry out a general study of the project environment through a preliminary study of the sector, project country and the region concerned. When collecting background material, make good use of for example regional development plans, other organizations and other projects. Use existing materials; new studies are often unnecessary. Therefore, contact other projects and other involved parties and inquire about available information. ICLD has a Knowledge Centre that supports the research in this field. Ask ICLD employees if more information is available or if contact with similar MP projects is possible.

STEP 2: STAKEHOLDER ANALYSIS Who is affected by the project and who does the project affect?

Who needs to take part in the planning process and who should be informed during the implementation of the project?

LFA is based on broad stakeholder participation in planning and execution. Stakeholders are those who affect and are affected by what takes place in the project, directly or indirectly. Stakeholders can be individuals or organizations such as public corporations, companies and Non-Governmental Organizations (NGOs). They might be for or against a change. They might have a minor or major ability to influence project execution and outcome. The project planning process includes a survey of project stakeholders, their relationship to the project and their participation in shaping the project plan. It is necessary to listen to various appropriate parties, stakeholders, to find relevant solutions. Remember to involve people with different experiences, from different backgrounds, different departments in a workplace, different age groups, from different regions, cultural backgrounds and genders; people with disabilities, vulnerable groups and minorities. Bear in mind equal opportunities aspects and accessibility. When planning the project, it is important to investigate whether women and men and children are affected differently by the situation.


9

Grouping stakeholders: Stakeholders can be divided into the following five main groups. It is important that the project group include one or more individuals from each of these groups during the planning process. All of the parties have different perspectives and important information to provide the project group: 1. Target group (direct and indirect,) 2. Project owner and project group (applicant organizations and

implementers) 3. Decision-makers 4. Experts in the field/subject (experts such as researchers, interest groups) 5. Financier(s) The target group can be split into those directly and indirectly affected. The target group directly affected is the group where ICLD want to see results, such as the staff working with waste management, water purification or the management, while the indirectly affected group might include organizations or individuals who have an interest in, and will benefit from, project outcomes in the long-term. Those directly affected, the direct target group, include the participants in project activities, such as healthcare personnel under training, while the indirectly affected are those who benefit from the project outcome, in this case patients, who will hopefully enjoy better care in the long term. A stakeholder might belong to several of the above groups. For example, a participant in the project group (implementer) might also belong to one of the project's target groups. The project group must always gather information from people from different stakeholder groups before planning the project. They all have important information to provide the project group. Most importantly, the target group must naturally be involved in the planning, implementation including monitoring and evaluation process. Having taken stock of who should be involved, we begin the step of planning HOW (question 5f in the ICLD project application) information should be gathered from these individuals. Information can be collected in different ways, e.g. by arranging workshops, seminars, dispatching questionnaires and/or holding interviews such as focus interviews with men and women parties in the target group in order to highlight any differences between the various groups. LFA workshops that bring together different important stakeholders are often the most efficient way of collecting information. To facilitate the process, workshops can be led by a trained LFA moderator (a process facilitator). Stakeholders invited to a workshop carry out a problem analysis (refer to step 3). They also prepare proposals for project 0bjectives (step 4) and develop a preliminary proposal for an activity plan (step 5). Time permitting; they also perform an initial risk analysis (step 8). After the workshop, the problem analysis and the proposals for


10

objectives and activities prepared by the stakeholders are submitted to the project group, as a draft project plan. The project team is responsible for establishing the final, detailed project plan. The LFA stakeholder workshop summarizes what must be done within the project/programme framework, and why. Next, the project group proceeds by developing the details of HOW the project must be executed in the light of information from the stakeholders.

STEP 3: PROBLEM ANALYSIS / SITUATION ANALYSIS How does the situation appear before we begin the project, and why?

A problem analysis must be carried out by the appropriate stakeholders – those who understand the local situation and the subject concerned. Preferably, the analysis will be carried out in a workshop as described above to which the different stakeholders are invited and given time to discuss and analyse together. If for any reason it is not possible to hold a workshop, the project group must gather background information by first interviewing different stakeholders and then meeting to structure their responses in a problem analysis.

The problem analysis is divided into three parts:

• Main problem The main problem – a single problem – is what the project should concentrate on solving within the project time frame. When formulating the main problem, bear in mind who is included in the target group and the mandates and resources the project group has. Solving the problem within the project time frame must be a realistic proposition for the project group. Remember that the main problem must not be formulated as the lack of a solution.

• Causes The various causes underlying the main problem.

• Effects The consequences to the individual and society the main problem leads to.

A problem’s causes and effects can be rendered clearly visible if the relevant stakeholders draw a so-called problem tree (situation analysis). It will show how the different problems relate to one another, and will form the basis for a well-structured plan. This is best achieved by stakeholders anonymously writing the problems on Post-it notes and affixing them to a wall in the order cause-effect, i.e. what leads to what?


11

In a problem tree, the roots represent the causes of the main problem, which in turn is symbolized by the trunk of the tree, the main focus of the project. The problem's effects are shown as the tree's crown. The effects in the tree constitute an explanation to decision-makers as to why the main problem is important to solve. Problem analysis makes it possible to create relevant project objectives and activities at a later stage. In order to find enduring solutions it is important to get at the root of the evil. The causes of the main problem are remedied by means of activities. The more causes a project group succeeds in addressing through activities, the more enduring the solution to the main problem. As with weeds, the roots must be attacked if we want to be rid of the problem. It's not enough just to cut back the weeds and think the problem will solve itself. LFA reminds us never to begin a project whose solutions, activities, are already provided without first having analysed the problem and its causes and effects in the prevailing social and cultural context and in close collaboration with the stakeholders concerned. All projects have individual main problems. It is the project owner and project group who determine which main problem the project must solve. An example of a main problem for a labour market authority at regional level would be “High unemployment among young adults, women and men with disabilities in County X (age group 19-29 years).” This example is used throughout this guide.

PROBLEM TREE

Main problem

Causes

Effects Effects


12

A precondition for financing a project under the Municipal Partnership Programme is that the main problem refers to a lack of capacity at the organizational level among the applicant parties. In the ICLD project application, the main problem shall be related to one, or if relevant some of the core areas described in the introduction to this guide;

• Equity/inclusion

• Citizen participation

• Transparency

• Possibility to demand accountability Examples of main problems within the Municipal Partnership programme: “Municipality A does not consider the opinions of youth”. “Men and women have different access to health care in County Council B”. “Sustainable waste collection is not accessible for all inhabitants in Municipality C”. “Tourism in city D does not benefit the inhabitants”. “It is not possible for the inhabitants of Municipality E to gain information about the budget process”. “Educational guidance in Municipality F does not meet the needs of young adults with disabilities”.

STEP 4: Objective ANALYSIS What must be achieved in the short, medium and long terms?

Once the problems the project must help remove are identified and a stakeholder analysis has been carried out, it is time to develop the objectives. Given that the problem analysis is carefully carried out and relevant stakeholders including the target group have had their say, formulating objectives is not difficult. The causes, main problem and effects identified are reformulated to describe their respective opposite states. Project objectives are obtained by flipping or mirroring the causes, main problem and effects. Flip the causes to obtain intermediate objectives; flip the main problem to obtain the project objective and flip the effects to obtain the overall objectives. These links are illustrated in the figure below. However, not every cause noted in the problem tree may be an intermediate objective, otherwise there will be too many and they will overlap each other. Accordingly, group the causes in the problem analysis e.g. into subject areas such as poor external collaboration, weak leadership, insufficient knowledge in a specific field, failed communications. Next, base the intermediate objectives on these subjects. A common mistake is to include activities in objective formulations; these are not determined until Step 5 – Activity Plan when the objectives are first established. The project group establishes an activity plan for each intermediate objective with the assistance of the stakeholders.


13

The analysis of objectives must provide answers to:

• What must the project achieve in the longer term; why is this important? (overall objectives, development objectives)

• How would the project owner and target group like the ideal situation to appear in the medium term? Why does the target group need the project? (Project objectives – the ideal situation which must be achievable upon completion of the project)

• What different parts/intermediate objectives constitute the situation? (Intermediate objectives/short-term objectives – to be achieved in the project time frame)

OVERALL OBJECTIVES/ DEVELOPMENT OBJECTIVES (long term) The objective's highest level determines direction. What long-term changes have taken/will take place in society as a result of the project? It is not realistic to expect these objectives to be achieved until several years after project completion. Furthermore, there are many other projects and change processes that contribute to the fulfilment of the same overall objectives. The ICLD’s overall objective is to promote the development of sustainable democracy on the local and regional levels. A municipal partnership shall contribute to increased citizen influence by strengthening local and regional politically controlled organisations within one (or if relevant, some) of the following core areas: Equity/inclusion; Citizen participation; Transparency and Possibility to demand accountability (Read more here: http://www.icld.se/eng/pdf/New_results_framework_1_January_2016.pdf). A project always leads to several overall objectives. To identify the overall objectives, refer to the effects in the problem analysis (see step 3 in LFA).


14

PROJECT OBJECTIVE/PROJECT PURPOSE (medium term) The project objective is the very purpose of project execution. The objective describes the situation that is expected to prevail at the end of the project if the project delivers anticipated outcomes and if the assumptions regarding external factors that must interact with the project prove to be correct. The project objective is the objective achieved in the medium term and which project group is responsible for achieving within the project time frame. The purpose of the project objective is to solve the main problem (see step 3, the

problem analysis). The project objective must be SMART, i.e. Specific, Measurable, Approved, Realistic and Time bound.

In more detail, SMART stands for:

o Specific (clear)

o Measurable (it must be possible to set indicators; see step 7)

o Approved (by the project group and the project owner)

o Realistic (based on conditions such as mandates and resources)

o Time bound (objective must be achieved within the project

time frame)

If the project objective is not achieved, the project has not fully reached its goal. If the project objective is achieved, the causes to the main problem should have been removed, thus the main problem is solved. An important rule of thumb is that whatever the project stakeholders identify as the project's main problem corresponds to the project objective. Every project has its specific project objectives. It is important that project objectives be set realistically based on prevailing conditions and the mandates and resources a given project group has. The example of the main problem given on page 8 can correspond to the following project objective: ”Increased employment level among young adults (19-29 years) with disabilities in County X”.

INTERMEDIATE OBJECTIVE (short term) Intermediate objectives are short-term objectives. They are the result of activities carried out within the project framework. Intermediate objectives describe the value of what the project produces under the limits of what its stakeholders can guarantee and must therefore be achievable within the project time frame. A clear, specified activity plan is linked to each intermediate objective (see step 5 in LFA below for examples).


15

Examples: Intermediate objectives in earlier project examples regarding employment among young adults with disabilities could be; a) Reinforced vocational skills in the target group within five specific occupations b) Improved employment assistance via the Public Employment Service to people with disabilities in County X c) Improved conditions for employers in County X for providing employment to long-term unemployed young adults in the 19-29 age group. The three objectives levels (overall objectives, project objectives and intermediate objectives) differ in respect of when they must be achieved and the ability of the project group to control their achievement. It is difficult for the project group to control overall objectives, but the project objectives and intermediate objectives are the responsibility of the project group. Achieving objectives at the higher levels naturally requires their achievement at the lower levels. The three objectives levels are logically linked and follow a time line. A fourth objective level known as expected outputs is often mentioned. Outputs are seen immediately after the execution of an activity, such as: “Twenty personnel from youth clinics in the county trained according to special methods” or “10,000 information brochures concerning drug and alcohol prevention printed and distributed to parents in the municipality” or “A training manual developed and printed”. Outputs could not, as the other objectives, be developed through the problem analysis (step 3), but after having developed the activity plan. It is important that the project group assess the expected outputs in order to calculate a detailed budget and to be able to establish a good time schedule. However, this fourth objective level, expected outputs, is not always considered worthwhile following up in a change process as it is more interesting to know the outcomes - what was actually achieved as an outcome of for example training – changes that have taken place – than merely how many persons that have been trained. A more important outcome would be knowing for example whether personnel at youth clinics indeed feel that they have improved skills and a better ability to help youth (i.e. an intermediate objective, an outcome that measures quality) and whether youths feel they receive good support thanks to the personnel’s skills and competence, rather than merely informing how many of the personnel were trained (i.e. presenting objective level outputs that only measure quantity).

STEP 5: ACTIVITY PLAN What must be done to achieve the objectives – how do we achieve them?

Activities constitute the means to achieve the objectives. If activities are planned well and suitably executed, intermediate objectives will be achieved, leading in turn to the achievement of the project objective which in the long term will also help accomplish the overall objectives. The activities must attack the causes of the main problem (refer to the problem tree above, step 3). The activities consist of work performed and measures taken by people involved in the project. Activities may include planning training activities, holding seminars, implementing consultancy initiatives, writing manuals and translating them into the local language and making study-tours.


16

Every intermediate objective has an activity plan. The intermediate objective is that which must be achieved – a changed situation – for example “Enhanced knowledge of labour market legislation among youth job seekers in County X.” However, the activities are actions taken in order to achieve the objectives. The activities must always be logically linked to the intermediate objectives – one activity plan for each intermediate objective. Because the activities must be clear, specific and described in a step-by-step sequence, they are often enumerated according to the number of the intermediate objective; thus activities for intermediate objective 1 would be 1.1, 1.2, 1.3 and so forth, while activities for intermediate objective 2 would be 2.1, 2.2, 2.3 etc.

Example of an activity plan for an intermediate objective: Intermediate objective 1. “Enhanced support for youth jobseekers with special needs in County X” Activities for intermediate objective 1: 1.1 Perform a need assessment for youth jobseekers with special needs (Responsible: Mr x in the project group)

1.1.1 Establish a schedule of tasks for the requirements analysis (Responsible: Ms Y and Mr X in the project group)

1.1.2 Procurement of consultancy services (evaluation and selection of tenders) (Responsible: Ms Y and Mr X in the project group)

1.2 Study analysis and conclusions (Responsible: Assigned Expert group)

1.3 Development of a youth training package, development of training material needs-based for various target groups in accordance with study outcomes (Responsible: Expert group and training group)

1.4 Printing of educational material (Responsible: Expert group and training group)

1.5 Training the trainers (at least 10 trainers to be trained in the county) (Responsible: Training group)

1.6 Establishment of a training plan for various youth groups with different needs. (Responsible: Training group)

1.7 Implementation of a test training/pilot training scheme with selected people from the target group (Responsible: External contract trainers supervised by the

training group)

1.8 Follow-up of training/possible revision of training (Responsible: Training group)

1.9 Full-scale implementation of training schemes for the target group throughout the county (2 x 3-day training courses per month with 20 participants per course) (Responsible: Training group with assistance from contract

personnel) 1.10 Evaluation of the initiative, the training through interviews with the target group (Responsible: Steering group in collaboration with the training group) 1.11 Dissemination of information concerning the outcome of the training initiative (Responsible: Steering group in collaboration with the training group)


17

STEP 6: RESOURCE PLANNING The resources a project must be provided with in order to carry out its activities are:

• Technical expertise/personnel – knowledge (a manning plan per activity must be drawn up clearly showing the division of responsibilities)

• Money/budget (detailed budget divided into activities)

• Time (a schedule linked to the activity flow)

• Equipment (if necessary) Regarding project group composition, make sure there is sufficient subject and project management competence within the project group and that there are people with a range of experience and skills, as well as different age groups and genders. Administration is an important part of project management; it’s a good idea to involve a financial administrator, if need be. The project group establishes the budget including a budget follow-up model; allocate responsibilities, establish a manning plan and a time schedule. It is important to follow the ICLD budget template in MP projects. Remember that the clearer and more specific an activity plan is (step 5 above), the easier it will be to succeed with resource planning.

STEP 7: INDICATORS and SOURCES OF VERIFICATION

Measuring and analysing results achievement/outcomes Is the project achieving its objectives? In order to answer this question, it is necessary to set clear objectives and to identify indicators and sources of verification by means of which project progress can be measured at different levels. An indicator is a means of clarifying objectives and an aid in determining whether change has taken place as a result of the project. There are no templates for indicators; they must be adapted to suit the objectives and projects concerned. The process of establishing indicators reveals unclear objectives. An indicator must be neutral and objectively verifiable. In other words, it should not matter who measures the outcomes. Do not attach a value to the indicator in advance, for example (this example applies to an expected output) “80 % of personnel have been trained in tracking contagion” but write instead as an indicator “The proportion of personnel trained in tracking contagion”. It is difficult to know in advance how many will finally be trained; some may become sick, unable or unwilling to participate. On the other hand, for its own sake and with consideration for the budget, the project group must still establish a metric for what is a successful outcome. For example, state “70-80% of personnel have been trained in tracking contagion” next to the indicator. However, the actual indicator remains neutral in the case: “The proportion of personnel trained in tracking contagion”.


18

It must always be clearly evident where measurement data can be found, i.e. for each indicator the project group must identify a so-called source of verification. A source of verification could be data from the Statistical Office in a country or county, or an indicator value might be derived from interviews with the target group, questionnaires, tests or studies.

EXAMPLE: Possible indicators and sources of verification (SoVs) for the intermediate objective: “Improved employment aid from the public employment service to unemployed young adults with disabilities in County X” Indicators and SoVs: 1. The proportion of young adults in the target group divided into women and men and any disabilities who have participated in labour market training and received passing grades (A-F, where E is a passing grade) (source of verification: Follow up study of grades) 2. The proportion of young adults in the target group divided into women and men and any disabilities who feel they have received relevant support and who are willing to take steps to find work (source of verification: Interviews with the target group and/or questionnaires to the target group or studies) 3 The opinions of young adults in the target group, divided into women and men and any disabilities, regarding the quality of support measures taken by the public employment service within the project framework, and made use of by the target group (sources of Verification: Interviews with the target group or questionnaires with scales of 1-5 and written comments) 4. The number of young adults in the target group divided into women and men and any disabilities who have been invited to attend interviews with prospective employers. (Source of verification: Interviews with target groups or questionnaires) A possible indicator for the project objective ”Increased employment of young adults (19-29 years) with disabilities in County X ”.

The number of young adults in the target group divided into women and men and any disabilities who have gained employment and kept it for at least 2 years. (Source of verification: questionnaires/interviews with the target group)


19

In order for results to be measurable, the project plan and objectives must make clear:

• What the project must achieve in terms of quality

• What the project must achieve in terms of quantity

• The time frame within which objectives must be achieved

• Target group/s The geographical region affected by the project Indicator values should be constantly measured via sources of verification during project execution in order to follow progress and ensure that the right things are performed for the target group. Unfortunately, the performance of a baseline analysis before project start is often forgotten, i.e. establishing initial values for indicators in order to compare the before-and-after situations. How does the situation appear before start; what values pertain? For example, the number of youths in the 19-25 age group in County X who were unemployed during 2014, divided into women and men and any disabilities. Without initial values for the indicators it is difficult to compare outcomes after project completion. Opportunity is provided within the Municipal Partnership programme to establish initial values during the Inception Phase or the Development/Expansion, (question 7c in the project application). Project groups should also establish a monitoring plan. However, it is often best to integrate the monitoring plan in the project plan proper. Sources of verification (questionnaires, interviews, studies and evaluations) become new activities in the project plan known as monitoring activities.

STEP 8: RISK ANALYSIS and RISK MANAGEMENT Are there any factors that may affect goal achievement negatively?

Those in charge of the project must identify, analyse and assess the different factors that affect the project's ability to achieve its objectives in various ways. An analysis of any critical internal and external factors, risks, provides an opportunity to assess the preconditions the project works under. There are internal and external risks. Risk analysis and risk management are carried out at the beginning, but should also be performed continuously throughout the execution of the project. Project plans may therefore require revision while the project is in progress. External factors/risks: Risks that exist outside the project framework, i.e. external factors. They may include political developments, natural disasters and corruption at the national level. The project group is usually unable to influence such risks. If triggered, external risks may lead to major problems with the project's results achievement. The project group should assess whether or not such risks are so-called killing factors, i.e. make the project impossible to carry out.


20

Internal risks: Risks within the project's ability to control. These may include practicalities such as delivery delays, personnel turnover, difficulties in getting participants for courses etc. In most cases, project management can minimize the effect of internal risks through a risk management plan. It is important to remember that following completion of the risk analysis, the project group must draw up a risk management plan covering the risks. Risk management often leads to new activities which must in turn be entered into the activity plan. Risks may be weighted in order to assess which will have the greatest influence on the project. Project groups usually make a summary of potential risks and weight them on a scale of 1-5. The project group weights the probability of risks occurring and their consequences for results achievement and multiplies these values together. The risks with the highest points are those which the project group must attempt to remedy through risk management.

Risks Probability (of a risk occurring 1 - 5)

Consequence (for the outcome 1 - 5)

Risk value (probability multiplied by consequence)

Risk Management

1. High turnover of trained personnel (they leave)

4 5 20 a. Train more staff b. Create manuals c. Set up an internal training system d. Avoid dependence on a single individual – shared responsibility for training

2. Delayed deliveries

1 2 2 No action necessary

STEP 9: ANALYSIS OF ASSUMPTIONS A helping hand; which problems can others solve?

A project does not exist in a social, financial and political vacuum. The project group is dependent on standards, statutes, ordinances, policies, political will and undertakings and budget allocations etc. This is usually referred to as the institutional situation. This situation creates more or less favourable preconditions for the project. These assumptions should also be analysed before project implementation; they can be obtained through the problem analysis (step 3).


21

The assumptions can be described as problems the project group has no direct control over due to limited mandates and resources, but where good results achievement requires an action. An example of such an assumption could be: ”Given that statute X is enacted by Parliament, it will constitute a foundation that allows support to jobseekers to take place according to the model proposed by the project”. In this case, the project group has no influence over legislation, but presupposes that the statute will be enacted by Parliament. The project group is aware that a parliamentary committee is working on the issue. This means a realistic assessment can be made that a change will take place. In this case an external party will remedy the problem and the project group need not act. The project group can thus assume that the problem will be remedied by another party. Assumptions must be realistic, otherwise they constitute a risk and should be managed under the risk analysis (refer to step 8). If these assumptions do not come about, i.e. if other involved parties do not solve the problem, the project group must act through for example lobbying efforts – a risk management measure. There is no separate question about assumptions in the ICLD project application. An analysis of assumptions can instead constitute information for answers to questions 4, 5 and 9.


22

6. WHY DOES THE LFA METHOD HAVE NINE DIFFERENT STEPS?

The creation of a good plan should always involve a process. The nine steps are there to help create a relevant, feasible plan that leads to sustainable outcomes. Relevance: Using steps 1-4 (context, stakeholder analysis, problem analysis, formulating the objective) it is possible to ascertain whether the appropriate things are done and if the project concept is relevant. The project plan gains relevance through our listening to the relevant stakeholders because it is they who perform the problem analysis and because formulating the objective is based on the problem analysis the relevant stakeholders carry out. Feasibility: Using steps 5-7 (activities, resources, goal achievement metrics), project feasibility is assessed and correct project execution ensured. The indicators are used to measure project plan feasibility, i.e. that we have activities and resources sufficient to achieve the objective. Sustainability: Using steps 8-9 (risk assessment, management of these risks and analysis of assumptions) it is possible to see whether project outcomes can endure independently without external support, i.e. that they are long-term and will lead to enduring changes for society and individuals, sustainable outcomes.

WHY LFA? In summary, the LFA method leads to:

• The creation of a complete, relevant, , feasible and sustainable project plan

• The creation of conditions for good dialogues between all concerned (various stakeholder categories), inclusiveness

• Project ownership in the proper hands

• A project that focuses on the needs of the target group/s

• The clarification and realization of objectives, activities and responsibilities, which facilitates implementation

• Structured, more effective work, resulting in savings in time and money


23

7. SUMMARIZING THE PROJECT PLAN IN AN LFA MATRIX

Project plans can be summarized in the form of a matrix. An LFA matrix can be

drawn up once all the steps in the LFA method have been implemented

appropriately, i.e. when the project/programme plan is ready. LFA matrices can

constitute an appendix to the project plan proper. The matrix is an excellent tool for

the project group to use as a policy document at project meetings. The matrix also

provides a good overview of the project for the evaluation team, financiers and other

decision-makers and can be used as support in dialogues between the parties.

LFA matrix appearance and headings differ somewhat from project to project. The

matrix may have the headings shown below. The outcomes of the various steps in

the LFA process are entered under the relevant headings.

The matrix is only a summary of the project plan; there is not room for all

information, only the most important elements are included. LFA matrices are often

used in international development cooperation and many project groups regard them

as an extremely useful aid for obtaining a good overview of their project plan.

The LFA method and its nine different steps constitute the planning process proper

– one that is performed with the participation of the relevant stakeholders. The LFA

matrix is only a method of summarizing a project plan, a means for gaining an

overview of the logic and sequence of objectives. LFA is sometimes misunderstood

to mean the same thing as the LFA matrix.

Log Frame/LFA matrix (project plan in summary)

Intervention Logic

Indicators Sources of Verification

Assumptions

Overall objectives (Indicators) (Sources of verification)

Project objective Indicators Sources of verification

Assumptions

Intermediate objectives

Indicators Sources of verification

Assumptions

Activities Expected outputs Resources Preconditions (before project start)


24

Indicators and sources of verification for overall objectives are shown in brackets. As previously mentioned, the reason is the difficulty an individual project group has in measuring impacts achieved. Impacts over long periods are influenced by several projects, programmes and operations. Societal changes are influenced by several actors, not only one project.


25

8. MONITORING PROJECTS AND PROGRAMMES

The conditions for successful Results-Based Management reside in professional

project planning, monitoring and evaluation of the project. If the LFA method is

applied appropriately and SMART objectives are set including indicators with

sources of verification, there are good conditions for monitoring and analysing

project outcomes.

In addition to a good project plan, well-executed results-based project management also

requires good planning as to how monitoring must proceed in a communication plan and

ongoing risk analysis and structured, organizational learning as described below.

When planning project monitoring, we should answer the following questions:

The easiest way for a project group to establish a monitoring plan is to set indicators

and sources of verification for each intermediate objective and for the project

objective and then answer the questions above. It is often easiest to integrate the

monitoring plan directly into the project plan by setting monitoring actions for each

intermediate objective and for the project objective. Indicators and sources of

verification are set out under each intermediate objective and project objective. The

sources of verification constitute monitoring activities in the project plan (for example interviews

with target groups or questionnaires to an employer's or a follow-up study in the

municipality). These monitoring actions are entered directly into the project plan

which means costs and monitoring activities can be more easily included in project

planning. In this way, the monitoring plan is integrated into the project plan, which

means costs, responsibilities and monitoring time can be planned and calculated

more easily.

MONITORING PLAN A monitoring plan provides answers to:

• WHAT must be monitored (objectives, step 4 in LFA) (with the aid of indicators, step 7 in LFA)

• HOW monitoring should proceed, the tools that must be used for collecting information (sources of verification, LFA step 7, e.g. interviews, questionnaires with target groups or through studies and tests)

• WHO is responsible for data collection and results analysis • WHEN monitoring should take place (e.g. ongoing or following every

training occasion or once every six months) • WHO must take any new decisions on project plan revisions • HOW the outcomes must be put to use


26

How can we see when a bad situation has improved? Good monitoring will help us answer the following questions:

• What must the project achieve in terms of quantity? (e.g. the number of young adults trained)

• What must the project achieve in terms of quality? (e.g. the number of young adults trained who subsequently gain employment)

• Which target groups must receive support and an improved situation through the project? (e.g. young adults with special needs in the 18-27 age group)

• Within what time frame must the objectives be achieved? (e.g. from 2015 to 2018)

• Which geographical region is affected by the project? (Municipality X, County Y or Country Z)

As previously mentioned, it is often difficult for an individual project group to set

relevant, realistic indicators for overall objectives such as reduced poverty, enhanced

welfare or reduced carbon dioxide emissions as many other projects often have the

same overall objectives and it is therefore difficult to deduce which project has led to

what. On the other hand, there should always be indicators and sources of

verification for intermediate objectives and project objectives.

When monitoring outcomes, different terms are used than in planning, which

distinguishes between objectives and results. In planning, all of the levels are called

objectives and during project execution outcomes are achieved at different levels.

The illustration below describes planning terms (objectives) and monitoring terms

(outcomes/effects) and how they are linked.


27

9. COMMUNICATIONS PLAN/DISSEMINATION

In order to achieve long-term outcomes, we recommend that project groups also

establish a communications plan – a plan that describes the purpose of

dissemination, information gathered, who receives the information, the information

stakeholders receive and how project outcomes will be communicated to different

stakeholders (for example reports, meetings, seminars, media).

Think strategically when drawing up the communications plan – think of the impact

in a broad perspective – who needs the information in order to act and support the

project? Remember to disseminate all the good outcomes the project has led to in

order to get various involved parties to adopt the project’s good outcomes into their

own activities over time. As with the monitoring plan, it’s a good idea to incorporate

the communications plan into the project plan if the project is not extensive.

Communications measures aimed at various target groups will thus become activities

under the intermediate objectives concerned.

COMMUNICATIONSPLAN A communications plan provides answers to:

• WHO should receive information or be given outcome information (implementers, target groups, financiers, decision-makers etc. based on the stakeholder analysis, LFA step 2)

• THE TYPE of information the different stakeholders/involved parties must have

• WHEN must information be disseminated (annually, monthly, in connection with important outcomes etc.)

• HOW the information will be disseminated (reports, seminars, field trips, media contacts etc.)

• THE PURPOSE behind the provision of information (why stakeholders must be kept informed and the benefit target groups have in being informed)

• WHO is responsible for communication


28

10. RISK ANALYSIS/ and RISK MANAGEMENT

An important part of effective goal and results-based management often emphasized

is that the project group should continually conduct risk analyses and review their

risk management plan (please also see step 8 in LFA above) and where necessary,

revise the project plan. Project plans must be living documents. A constant dialogue

with stakeholders is necessary in order for risk analysis to be effective. Ideally,

perform a risk analysis review at every project group meeting and amend/append any

risk management measures. This may entail updating the project plan. It may be

necessary to remove some activities and add others. The budget may also need

amendments. The more work that is added to planning and the preparation

processes the fewer adjustments will be necessary in the project plan during the

implementation phase.


29

11. LEARNING ORGANISATIONS Learning is a major foundation stone in all progress. As mentioned, an organization

that applies Results-Based Management appropriately also builds up a system for the

strategic internal and external dissemination of results by establishing a well-reasoned

communication strategy that includes a broad group of important stakeholders.

To learn effectively from the experience gained in development work in projects and

programmes, it’s not enough to train individual employees as personnel may leave

the organization. A more systematic, coherent learning is necessary so that the

experience and knowledge generated are put to good use and not forgotten once a

programme or project is completed. Ongoing monitoring and evaluations for

reflection and critical review are important for learning. Monitoring must therefore

provide good information for analysis, feedback and the exchange of experience.

An important part in the so-called learning evaluation deals with passing on

knowledge gained in one project to other projects, programmes and other

development activities.

Good project management and control with broad stakeholder participation is

essential for making things happen and achieving sustainable effects. A project

executed with clear ownership and managed by an efficient project organization with

distinct roles and where the allocation of responsibilities between project owners, the

steering group and project group is clear is important for the sustainability of project

outcomes. LFA is a well-developed tool, a support for project management and a

method which, properly used, leads to projects with sustainable outcomes.

project planning a guide for use when according to the applying … · 2019-11-07 · step 9:...

Documents