Planning and Management Tools A reference book Liza Groenendijk Contributing author Emile Dopheide Cover illustration: Paul Klee: Twins (1930). Oil painting. 60,5 x 50,5 cm. Hartford (Conn.) U.S.A., coll. T. Kneeland. In: Spiller, J. (1962). Paul Klee. Zwarte Beertjes, 442. A.W. Bruna & Zoon, Utrecht. Reproduction rights: SABAM, Brussels. Cover page design: Andries Menning Published by: The International Institute for Geo-Information Science and Earth Observation (ITC) Hengelosestraat 99, P.O.Box 6 7500 AA Enschede, The Netherlands Planning and Management Tools E. M. C. Groenendijk (ITC Special Lecture Notes Series) ISBN 90 6164 219 1 © 2003 by ITC, Enschede, The Netherlands PLANNING AND MANAGEMENT TOOLS ITC SPECIAL LECTURE NOTES SERIES 1 Table of contents List of Figures 3 List of Tables 5 List of Boxes 7 Abbreviations 9 Preface 11 Introduction 13 Chapter 1. Problem and Objective Trees Analysis 17 Chapter 2. Logical Framework 31 Chapter 3. SWOT Analysis 43 Chapter 4. Stakeholder Analysis 55 Chapter 5. Interviews 73 Chapter 6. Workshops 95 Chapter 7. Training Needs Assessment 113 Chapter 8. Cost-Benefit Analysis 135 PLANNING AND MANAGEMENT TOOLS 2 ITC SPECIAL LECTURE NOTES SERIES PLANNING AND MANAGEMENT TOOLS ITC SPECIAL LECTURE NOTES SERIES 3 List of Figures Figure 1.1. Problem Tree 19 Figure 1.2. Transforming problems into objectives 20 Figure 1.3. Objective Tree 20 Figure 1.4. Transforming a problem into a realistic objective 21 Figure 1.5. Strategy selection 21 Figure 1.6. Linking the Objective Tree to the Logical Framework 22 Figure 1.7. Discussing the final stages of the Problem Tree during ITC Fieldwork in the Philippines 24 Figure 2.1. Schematic representation of the Logical Framework Matrix 32 Figure 2.2. Schematic representation of linked hypotheses or causal relationship 33 Figure 2.3. The ‘If−and when−then’ relationship visualised in the Logical Framework Matrix 34 Figure 2.4. Elements of the Logical Framework and key words characterising these 35 Figure 2.5. Schematic representation of Interlocking Logical Frameworks 36 Figure 2.6. Linking the Objective Tree to the Logical Framework 37 Figure 2.7. Example of a Logical Framework, Northern Province, Bogo 38 Figure 3.1. Example of a SWOT Matrix for the National Mapping Agency in Europe 44 Figure 3.2. Example of a SWOT Matrix prepared as part of a strategy formulation for the Student Association Board 47 Figure 3.3. Sample matrix for listing strengths, weaknesses, opportunities and threats 48 Figure 3.4. SWOT Matrix: enhanced format 49 Figure 4.1. Women: primary stakeholders in a fuel wood project in Kericho, Kenya 58 Figure 4.2. Schematic representation of Stakeholder Analysis 61 Figure 4.3. Stakeholder Interest Table for a proposed private sector population project, Pakistan 63 Figure 4.4. Stakeholder Classification Matrix for a proposed private sector population project, Pakistan 64 Figure 4.5. Conflict Matrix showing occurrence and extent of conflicts between stakeholders in tree resources in northern Thailand 65 Figure 4.6. Communication Matrix of stakeholders involved in activity ‘supply credit’ 66 Figure 4.7. Summary Participation Matrix for the proposed private sector population project, Pakistan 67 PLANNING AND MANAGEMENT TOOLS 4 ITC SPECIAL LECTURE NOTES SERIES Figure 5.1. Methods of data collection 73 Figure 5.2. Both interviewer and respondent enjoying the interview. ITC student during fieldwork in Taita Taveta, Kenya 75 Figure 5.3. Interview conducted with two interviewers in a village in Northern Thailand 88 Figure 6.1. Performing in multi-disciplinary group work in Bagamoyo, Tanzania 100 Figure 6.2. Seating arrangements for plenary sessions 101 Figure 6.3. Seating arrangements for working group sessions 102 Figure 6.4. A serious and productive event, in a lively environment. ITC students during a workshop fieldwork preparation 108 Figure 7.1. Training Needs Assessment process 115 Figure 7.2. Subtraction illustrating the nature of a performance problem 118 Figure 7.3. Taxonomy of Performance 119 Figure 7.4. Performance diagnosis matrix of enabling questions 121 Figure 7.5. Purpose-based Training Needs Assessment 125 Figure 7.6. Video recording and “think aloud” at ITC’s cartographic research laboratory 126 Figure 8.2. NPV at various discount rates 142 PLANNING AND MANAGEMENT TOOLS ITC SPECIAL LECTURE NOTES SERIES 5 List of Tables Table 5.1. Overview of major interview types and their main characteristics 82 Table 7.1. Data requirements and preferred tools and techniques 127 Table 8.1. Comparison of economic and financial CBA 140 Table 8.2. CBA decision criteria 143 PLANNING AND MANAGEMENT TOOLS 6 ITC SPECIAL LECTURE NOTES SERIES PLANNING AND MANAGEMENT TOOLS ITC SPECIAL LECTURE NOTES SERIES 7 List of Boxes Box 1.1. Historical background of Problem and Objective Trees Analysis 18 Box 1.2. Major steps in Problem and Objective Trees Analysis 19 Box 1.3. Criteria for assessing alternative options 25 Box 2.1. Historical background of the Logical Framework 32 Box 3.1. Historical background of SWOT Analysis 45 Box 3.2. Basic steps in SWOT Analysis 45 Box 4.1. Historical background of Stakeholder Analysis 57 Box 4.2. Checklist for drawing out interests 59 Box 4.3. Variables affecting stakeholders’ relative power and influence 60 Box 4.4. Checklist for assessing which stakeholders are important for project success 60 Box 4.5. Checklist for drawing out assumptions about (and risks deriving from) stakeholders 65 Box 4.6. Checklist for specifying conflicts 66 Box 4.7. Checklist for identifying communication linkages 66 Box 5.1. Abilities and skills required of an interviewer 75 Box 5.3. Open- and closed-ended questions: an example 77 Box 5.4. Major interview types 78 Box 5.4. Some suggestions for interview preparation 83 Box 5.5. Some useful pointers for an introduction to an interview 84 Box 5.6. Suggestions on asking questions during an interview 84 Box 5.7. Some examples of questions that may lead to misunderstandings in interviews 85 Box 5.8. Some suggestions on probing 86 Box 5.9. Conversation illustrating probing 87 Box 5.10. Some suggestions for recording 88 Box 6.1. Examples of planning workshops 96 Box 6.2. Historical background of workshops in planning and decision- making 97 Box 6.3. Possible objectives for organising a planning workshop 97 Box 6.4. Benefits of workshops as compared with other discussion methods 97 Box 6.5. Some general principles of planning workshops 98 Box 6.6. Some examples of outputs for a planning workshop 98 Box 6.7. Tasks of a workshop facilitator 99 Box 6.8. The four stages of group development 100 Box 6.9. Function of games in workshops 103 PLANNING AND MANAGEMENT TOOLS 8 ITC SPECIAL LECTURE NOTES SERIES Box 6.10. Major phases involved in developing and conducting a planning workshop 106 Box 6.11. Some dos and don’ts for facilitators 107 Box 7.1. Historical background of Training Needs Assessment 114 Box 7.2. Examples of performance discrepancies and how they come to the attention of the management 117 Box 7.3. Causes of poor performance 120 Box 7.4. Typical statements from managers or employees in the case of non-training performance problems 122 Box 7.5. Causes of performance problems paired with possible solutions 123 Box 7.6. Criteria for selecting performance solutions 123 Box 7.7. Data requirements in Training Needs Assessment 124 Box 7.8. Techniques and tools used in Training Needs Assessment 125 Box 7.9. Some questions to guide you in analysing the context for the Training Needs Assessment 127 Box 7.10. Some questions to guide you in determining the purpose of Training Needs Assessment 128 Box 7.11. Basic questions guiding communication of results of Training Needs Assessment 129 Box 8.1. Historical background Cost-Benefit Analysis 136 Box 8.2. Discounting formula 141 Box 8.3. Example discounting 141 Box 8.4. Mathematical formulations of indicators of profitability 144 Box 8.5. Example of a Cost-Benefit Analysis for a hypothetical irrigation project 145 [...]... Project Cycle Management Professional Master’s Stakeholder Analysis Swedish International Development Cooperation Agency Strength Weaknesses Opportunities and Threats Analysis Training Needs Assessment Urban Planning and Land Administration United States Agency for International Development World Bank Water Resources and Environmental Management 9 PLANNING AND MANAGEMENT TOOLS 10 ITC SPECIAL LECTURE NOTES... Logical Framework Matrix Participation is a central element in Problem and Objective Trees Analysis The analysis is carried out by all parties involved, and the mutual exchange of ideas and discussions is crucial Why? What management, planning and decision-making have in common is that they are all oriented towards problem solving A problem can be defined as the gap between an actual state (what is) and. .. Trees Analysis What? Problem and Objective Trees Analysis is an instrument for situation analysis and strategy analysis, and is characterised by the following steps: Problem Tree Analysis, Objective Tree Analysis and Strategic Alternatives Analysis Problem and Objective Trees Analysis helps us to gain insight into the causal relationships of forces or situations that effect the problematic situation that... teaching has followed suit At the moment a wide array of such approaches and tools is being practised in the Institute The time has come to try to standardise these tools and approaches, for the benefit of our students and of our staff in their capacity as teachers Liza Groenendijk has taken the initiative to read and process the literature on planning and management tools, with a view to selecting and. .. discussion and the often mono-objective and mono-party analysis and decision processes poorly reflect reality Real-life allocation of resources and implementation of commensurate action take place in an arena of conflicting interests and multi-stakeholder cooperation and negotiation Over the course of time a plethora of approaches and tools has been developed to deal with the complexity and vagaries of reality... 2 Logical Framework What? The Logical Framework is an instrument for identifying project goal, purpose and outputs, and for planning and describing the necessary activities and inputs The Logical Framework aims at producing a consistent project design The Logical Framework is a key management tool during implementation and evaluation It provides the basis for the preparation of action plans and the... whom and how Strategic Alternatives Analysis The purpose of Strategic Alternatives Analysis is to identify possible alternative options, assess the feasibility of these and agree on programme and/ or project strategies Strategic Alternatives Analysis is based on the Objective Tree ITC SPECIAL LECTURE NOTES SERIES 29 PLANNING AND MANAGEMENT TOOLS 30 ITC SPECIAL LECTURE NOTES SERIES LOGICAL FRAMEWORK Chapter... would not have been possible I would like to thank Fred Paats and Ineke ten Dam of ITC’s Educational Affairs Department, for their support and encouragement 14 ITC SPECIAL LECTURE NOTES SERIES PLANNING AND MANAGEMENT TOOLS During the last stages of this publication, it was a great pleasure to work together with Janneke Kalf, Janice Collins, Saskia Tempelman, Benno Masselink, Marion van Rinsum, Andries... SPECIAL LECTURE NOTES SERIES PLANNING AND MANAGEMENT TOOLS Introduction Structure of the book This is a tool book Each chapter in the book presents a different tool, and eight tools or instruments are described Chapters 1 to 3 consider basic problem analysis and (strategic) planning instruments: Problem and Objective Trees Analysis (Chapter 1), Logical Framework (Chapter 2) and SWOT Analysis (Chapter... Community, Danida, DFID, GTZ, Norad, SIDA, USAID, World Bank) for the preparation of project proposals Although originally designed for project planning, Problem and Objective Trees Analysis is also used for a wide variety of problem-structuring and problem-solving activities − for example, for the preparation of research proposals, as a tool in participatory planning, and in information management In . students and of our staff in their capacity as teachers. Liza Groenendijk has taken the initiative to read and process the literature on planning and management. Toorn Vice-chair Department of Urban and Regional Planning and Geo-information Management PLANNING AND MANAGEMENT TOOLS 12 ITC SPECIAL LECTURE