Module 2: Conceptual Design (Part 1) - Assessments and Analysis Content Starter Set Module 2: Conceptual Design (Part 1) - Assessments and Analysis We would like to acknowledge the support of the Project Management Institute and the International Institute for Learning, Inc. for permitting the use of their intellectual property in this curriculum.

Module 2 Objectives By the end of this module you will be able to: Employ 3 stakeholder analysis tools Complete a problem analysis Develop an objectives tree Conduct an alternatives selection

Where do project ideas come from? A fishing cooperative observed that fish stocks were high in a .nearby town with sanitation facilities Mothers express displeasure with the mess and sickly conditions that result from lack of hygienic sanitation Comparative Observations Stakeholder Need A local doctor suggests advocating for sewage connections to improve hygiene Donors express their priority of addressing maternal child health in the Delta Region Emphasize the many sources of ideas. Many of these ideas can come as the results of assessments, surveys and focus interviews – there is a need, however, to move from ideas/assessments to more focused analysis. Experts and Consultants Donor Interest

Assessments vs. Analysis Brainstorm. What are the approaches you are using to gather assessment data? ASSESSMENT - A broad “horizontal” process where a wide number of issues are explored, it shows the breadth of the situation in a particular area. It is more open-ended, in terms of questions, and issues to be resolved. Issues uncovered by an assessment are then prioritized in readiness for further analysis. ANALYSIS - A deep, “vertical” process where prioritized issues are probed in depth. Analysis investigates underlying causes and effects of specific problems or issues and involves reflection and examination. Source: CRS Propack p. 48

Activity: Analysis Types & Tools Type of Analysis Illustrative Tool Activity – Classroom participants are asked to identify four levels of analysis in the conceptual design phase and identify tools to assist in this analysis.

Activity: Analysis Tools Type of Analysis Illustrative Tool Stakeholder Analysis Venn Diagrams, RACI Charts Stakeholder Analysis Matrix SWOT Analysis, Spider Diagrams Problem Analysis Problem Trees Force Field Analysis Mapping Objectives Analysis Objective Trees Emphasize that all these approaches can and should use participatory methods like focus groups, brainstorming, Sticky papers Alternatives Analysis Organize and Analyze information

Case Study – Delta River Municipality A recent assessment found that deterioration of water quality in the Delta River Municipality has resulted in depleted fish stocks; reduced catch and falling income among fishing families, and there is an increasingly high incidence of water borne diseases and illnesses, particularly among poor families and children under five. The current situation is the result of the discharge of fecal waste, household and business refuse, and inadequately treated wastewater in the river. Some of the numerous factors that contribute to the problem include: Low public awareness of the dangers of dumping household waste. Low access and use of sanitation facilities for the disposal of fecal waste. Furthermore, the Environment Protection Agency’s oversight over the local textile industry has been ineffective and sometimes corrupted. All these factors have led to high levels of fecal waste and household/business refuse in the river. As a result of low budgets and poor planning by local government even among businesses that treat their waste, treated wastewater does not meet environmental standards. Confirm that everyone has a copy of this document printed. This will be used throughout the course. Read through this together.

Identifying Stakeholders STAKEHOLDERS - Individuals or institutions that may – directly or indirectly, positively or negatively – affect or be affected by the project or program. ACTIVITY – WHO ARE THE GROUPS THAT COULD BE STAKEHOLDERS? Build a venn diagram with the specific stakeholders for the case study. Venn Diagrams are created to analyze and illustrate the nature of relationships between key stakeholder groups. The size of the circle used can help indicate the relative power/influence of each group/organization, while the spatial separation is used to indicate the relative strength or weakness of the working relationship/interaction between different groups/organizations. Venn diagrams are commonly used as a participatory planning tool with target groups, to help them profile their concept of such relationships. Activity – Ask participants to develop a Venn Diagram for the Delta Region project based on the case study. Emphasize that this exercise should be completed from the perspective of a fishing family. Compare results to the Venn Diagram on the next page.

Building a Stakeholder Venn Diagram Important Close Not Important Remote ACTIVITY – WHO ARE THE STAKEHOLDERS IN THE CASE STUDY? Venn Diagrams are created to analyze and illustrate the nature of relationships between key stakeholder groups. The size of the circle used can help indicate the relative power/influence of each group/organization, while the spatial separation is used to indicate the relative strength or weakness of the working relationship/interaction between different groups/organizations. Venn diagrams are commonly used as a participatory planning tool with target groups, to help them profile their concept of such relationships. Activity – Ask participants to develop a Venn Diagram for the Delta Region project based on the case study. Emphasize that this exercise should be completed from the perspective of a fishing family. Compare results to the Venn Diagram on the next page.

Venn Diagram - Stakeholders (From the perspective of fishing families) This Venn diagram represents the results from a European Union analysis of a similar project. It is not expected that the group would have arrived at a similar result – but the results from this Venn points out the perspectives of fishing families with regard to: Relative power of stakeholders Degree of relationship between groups. Venn diagrams can also be used to analyze and highlight potential conflicts between different stakeholder groups.

Stakeholder Analysis Matrix Stakeholder and basic characteristics Interests and how affected by the problem Capacity and motivation to bring about change Possible actions to address stakeholder interests Fishing families 20,000 families, low income earners, small scale family businesses, organized into informal cooperatives, women actively involved in fish processing and marketing Maintain and improve the means of livelihood Pollution is affecting volume and quality of catch Family health is suffering, particularly children and mothers Keen interest in pollution control measures Limited political influence given weak organizational structure Support capacity to organize and lobby Implement pollution Identify develop alternative income sources Textile Industry Medium scale industrial operation, poorly regulated and no unions. Well connected with ruling party, poor environmental record Maintain/increase profits Some concern about public image Concern about costs of environmental regulations enforced Have financial and technical resources to employ new cleaner technologies Limited current motivation to change Raise their awareness of social and environmental impact Mobilize political pressure to influence industry behavior Strengthen and enforce environmental laws Households 45,000 households discharge waste and waste water into river also source drinking water and eat fish from river Aware of textile industry’s pollution and impact on water quality Want to dispose of own waste away from household Want access to clean water Limited understanding of the health impact of their own was/waste water disposal Appear willing to pay for improved waste management services Raise awareness of households of the implications of their own waste disposal practices Work with communities and government to address water and sanitation issues. Environmental Protection Agency: Etc. etc Etc Once the Stakeholder matrix has been developed a next step to identify AND communicate the interests, capacity, and potential actions for an intervention would be the completion of a Stakeholder Matrix. Note – there are additional tools that can be used to assess the capacity of stakeholders. Some of these tools will be discussed in the implementation module of the course.

Level 2 - Problem Analysis Identifying key problems, constraints & opportunities; Determining cause & effect relationships Stakeholder Analysis Identifying & characterizing potential major stakeholders; assessing their capacity

Developing a Problem Tree Step One: Brainstorm Problems either completely open (no preconceptions) or, more directed, by specifying a “known” high-level problem based on preliminary analysis Step Two: Select an Individual Starter Problem Step Three: Look for problems related to the starter problem Step 4: Establish a hierarchy of causes and effects Problems which are directly causing the starter problem – BELOW Problems which are direct effects of the starter problem – ABOVE Step 5: Connect the Problems with Cause-Effect Arrows Activity: Develop a Problem Tree based on the preliminary information provided in the Delta River Case. This activity requires the use of individual pieces of paper or cards on which to write individual problem statements, which can then be sorted into cause and effect relationships on a visual display. Suggestion – use a more directed approach with the Starter Problem identified as – “River water quality is deteriorating.” In an effort to simplify the analysis – the problems identified at this level have been limited to one. Creating a problem tree should ideally be undertaken as a participatory group event. Step 1: The aim of the first step is to openly brainstorm problems which stakeholders consider to be a priority. This first step can either be completely open (no pre-conceived notions as to what stakeholder’s priority concerns/problems might be), or more directed, through specifying a ‘known’ high order problem or objective (e.g. improved river water quality) based on preliminary analysis of existing information and initial stakeholder consultations.   Step 2: From the problems identified through the bainstorming exercise, select an individual starter problem. Step 3: Look for related problems to the starter problem Step 4: Establish a hierarchy of cause and effects: • Problems which are directly causing the starter problem are put below • Problems which are direct effects of the starter problem are put above  The guiding question being ‘What causes that?’ If there are two or more causes combining to produce an effect, place them at the same level in the diagram. Step 5: Connect the problems with cause-effect arrows – clearly showing key links Review the diagram and verify its validity and completeness. Ask yourself/the group – ‘are there important problems that have not been mentioned yet?’ If so, specify the problems and include them at an appropriate place in the diagram. Copy the diagram onto a sheet of paper to keep as a record, and distribute (as appropriate) for further comment/information

Problem, Causes and Effects

Problem Tree - Example

Level 3: Objectives Analysis Developing solutions from the identified problems; identifying means to end relationships Stakeholder Analysis Problem Analysis Identifying & characterizing potential major stakeholders; assessing their capacity Identifying key problems, constraints & opportunities; determining cause & effect relationships

Developing an Objectives Tree Step One: Reformulate all negative situations of the problems analysis into positive situations that are: • desirable • realistically achievable Step Two: Check the means-ends relationships to ensure validity and completeness of the hierarchy Step Three: If necessary: • revise statements • add new objectives if relevant and necessary • delete objectives which do not seem suitable or necessary Activity: Develop an Objectives Tree based on the information provided in the Delta River Case Problem Tree. This activity requires the use of individual pieces of paper or cards on which to write individual objective statements, which can then be sorted into cause and effect relationships on a visual display. Analysis of objectives is a methodological approach employed to: • Describe the situation in the future once identified problems have been remedied; • Verify the hierarchy of objectives; and • Illustrate the means-ends relationships in a diagram. The ‘negative situations’ of the problem tree are converted into solutions, expressed as ‘positive achievements’. For example, ‘river water quality is deteriorating’ is converted into ‘quality of river water is improved’. These positive achievements are in fact objectives, and are presented in a diagram of objectives showing a means/ends hierarchy. This diagram aims to provide a clear overview of the desired future situation.

Problem Tree - Example Activity – challenge people to reformulate statements as objectives.

Objectives Tree

Level 4: Alternatives Analysis Identifying different strategies to achieve solutions; selecting most appropriate strategy. Stakeholder Analysis Problem Analysis Objectives Analysis Identifying & characterizing potential major stakeholders; assessing their capacity Identifying key problems, constraints & opportunities; determining cause & effect relationships Developing solutions from the identified problems; identifying means to end relationships

Selecting a Strategy Activity – What tools and processes have you used to move from a Objectives Tree to a Intervention Strategy? (brainstorm with the intent of uncovering whether they use (in)formal tools and whether they purposefully recognize the difference between the Objectives Tree (that lists) many possibilities and a Strategy that focuses on certain intervention paths while saying “no” to others.

Alternatives Analysis Using different criteria in selecting one or more clusters the following decisions were taken: - Latrine building: households indicate that this is an approach that requires urgent intervention. Working on sanitation facilities suits the policy of both the local government and the implementing agency. Besides the implementing organisation has a vast experience in similar projects. Wastewater treatment: in meetings with the Ministry of Public Works it was indicated that the next five year plan for the region included resources for improving the ability of the ministry to maintain its wastewater treatment facilities - Business Generated Waste: the international NGO ACDI/VOCA has an on-going cooperatives management program with the fishing groups. They have been asked to include waste management as part of their program.