1) SWOC ANALYSIS METHODOLOGY
The purpose of a SWOC analysis is to identify the main Strengths, Weaknesses, Opportunities and Constraints that characterize a particular situation or entity, such as a programme or an institution. SWOC analysis is often used as a management tool.
In this Assessment Tool you are asked to undertake a SWOC analysis at the end of each of the four main assessment sections[36]. This will enable you to organize, summarize and even prioritize the wealth of information you have gathered during the process of working through the questions in each section.
Step 1
Each SWOC analysis should be undertaken by the Assessment Team as a whole. If the Team includes more than 7 members, create groups of team members. Groups should contain a minimum of two and a maximum of four persons per group. If you need to divide a large assessment team into groups, try to end up with 4 and 7 groups comprised of 2-4 persons each.
Step 2
On a large board or wall, draw the following blank table:
Strengths |
Weaknesses |
Opportunities |
Constraints |
On a flip chart, write the words Strengths, Weaknesses, Opportunities and Constraints at the top of four pages (one on each page).
Step 3
Starting with Strengths, ask each member or group[37] to identify the strengths of the assessment section under discussion e.g. What are the main strengths of the macro-environment? You should allow a minimum of 30 minutes for this part of the process. Allow more time if you observe that individuals/groups are still adding items to their list.
Step 4
Working with the whole Assessment Team, list all identified strengths on the relevant page of the flip chart. Through discussion, narrow down the list by crossing out repeated items, dropping those that the Team decides are inappropriate, and combining others that are similar. Try to make sure that all members of the Team contribute to the discussion. When the list is final, transfer the agreed items to the blank table prepared in Step 2.
Step 5
Repeat the process in order to identify weaknesses, opportunities and constraints. When discussing opportunities, you should consider circumstances or potential factors that could be exploited so as to improve the impact or sustainability or cost-effectiveness of the programme you are assessing. Here are some examples of opportunities:
Planned decentralization or the establishment of municipal development committees can be exploited to strengthen community-based activities;
A new agricultural production programme could be used to improve food security in your programme’s catchment area, or to provide technical expertise to community-based activities;
Your government is revising its human resource development programme. Seize the opportunity to upgrade technical skills in nutrition.
The results of the SWOC analyses (as well as the completed Summary Report in Annex 1) will form an excellent basis for decisions on what actions are needed to improve your programme. As with the Problem Tree Analysis, the process of undertaking the analysis is as important as its results.
2) PROBLEM TREE ANALYSIS METHODOLOGY
Supplies needed
Note cards or sheets of paper, felt pens or markers, adhesive material to hold cards on a large surface area (a wall, for example, and preferably one where the problem tree could remain for some days).
Step 1: Definition of the problem statement
Problem tree analysis is carried out to help identify the causes and consequences of a particular problem that the group feels needs to be urgently addressed. If more than one high priority problem is identified, there has to be consensus building on which problem the group (i.e. the Assessment Team) will analyse. Everyone should also clearly understand what is meant by a consequence and by a cause of the problem. At the outset, the process of developing a problem tree starts with a statement about the main problem to be investigated, i.e. the core or the focal problem. For example, in the case of this Assessment Tool, the problem statement could be something like “There is a high incidence of undernutrition and malnutrition which needs to be permanently corrected”, or “The programme [that you are assessing] is not achieving improved nutrition or is not sustainable”, or “Increasing agricultural production has not achieved better access to food by the poorest communities/households”. The statement needs to be written out and put on a board or wall. This will constitute the surface on which the problem tree will be developed.
Step 2: Identifying the consequences of the problem
Each member is given one card on which she/he writes what is perceived as one consequence of the problem. If the Assessment Team is small, such as only 5 or 6 members, each member may fill in more than one card in order to identify several consequences. Each consequence should be written down on a separate card, and be described in a maximum of 5-7 words (in one word if possible) and written in large characters to be readily readable by other members when the cards are put up above the statement of the basic problem. Cards that refer to the same or very similar consequences can be grouped together and if needed, re-labeled, based on consensus within the Team.
Step 3: Identifying the causes of the problem
Identifying causes follows a similar process. This is the main purpose of the analysis, so more time and energy needs to be devoted to this aspect. Identification of causes is crucial to developing strategies and designing actions to eliminate or mitigate the problem (if the underlying hypothesis of the problem is correct). Again each member is given one or more card to write down succinctly what are the underlying causes of the problem and these cards are placed below the statement.
Step 4: Building a hierarchy of the causes of the problem
In the group discussion that follows, causes are clustered and if needed, each cluster is renamed. A hierarchy of causes is established, from those most immediate to the problem, down to the fundamental causes. Links can also be established between the causes themselves (see the example on the next page). This is important because where there are links among causes, several parallel actions may be required to eliminate the problem.
Step 5: Using the problem tree to identify actions
The Team should return to the problem tree after completing each Assessment Section. Based on its assessment, the Team may wish to add or remove causes. Then the problem tree and the assessment can be used to identify actions relevant to each section.
Remember that undergoing the process is as important as obtaining the results, because it encourages participation from those who normally tend to participate little. The process is also designed for the participants to take ownership of the implementation of the follow-up actions.
Remember that undergoing the process is as important as obtaining the results, because it encourages participation from those who normally tend to participate little. The process is also designed for the participants to take ownership of the implementation of the follow-up actions.
3) SPIDER GRAM AND METHODOLOGY FOR USING THIS
Reproduced by permission of Macmillan, Oxford. “Partners in Planning. Information, Participation and Empowerment”. Susan B. Rifkin and Pat Pridmore, Macmillan Education Ltd., 2001. © Copyright text Susan B. Rifkin and Pat Pridmore, 2001
Appendix 2: Using the spidergram to measure participation
The spidergram has lines on which the participation in a programme can be measured in five key areas - needs assessment, leadership, organisation, resource mobilisation and management. We can use the spidergram to help us decide whether participation in each of these five areas is broad (mark 4 or 5) or narrow (mark 1 or 2). When the level of participation has been marked on each arm of the spidergram the marks can be joined up to show a spider web as shown in FIGURE 41. At a later stage of the programme the activity can be repeated to decide whether the level of participation has changed over time.
FIGURE 40 Participation viewed as a
spidergram (Note: Marking begins at 1 as there is no community programme without
some participation.)
From experience: Assessing participation In Tanzania A district health management team in Lushoto district, Tanzania wanted to know how much local participation there was in a health programme in one of the communities in their district. They decided to use the spidergram as a tool to help them conduct an exercise to measure the participation. This exercise was facilitated by an ‘outside’ development professional. It started with a four-day workshop to help the team understand the spidergram and develop skill in using it. The team then went to the community and interviewed 22 people and made observations to gather the information they needed. When this fieldwork had been done the team reviewed their information. Then they agreed where to put a mark on each of the five lines of the spidergram. They completed their diagram by joining up the marks on each arm to start a spiderweb. The results drawn on the spidergram showed that participation in the needs assessment was very broad. However, in the other areas (leadership, organisation, resource mobilisation and management) participation was quite narrow. FIGURE 41 Measuring change in
participation When the team discussed their experience of using the spidergram as a tool for measuring participation they concluded that:
(Source: Adapted from Schmidt, D. H. and Rifkin, S.B. (1996) “Measuring participation” its use as a managerial tool for district health planners based on a case study in Tanzania’. International Journal of Health Planning and Management. Vol. 11. October-December, pp. 345-58) |
Training exercise: Measuring participation using the spidergram Purpose: To develop understanding and skill in using the spidergram as a tool to measure participation. Time: One and a half hours. Materials: Copies of the Primary Health Care programmes given in the case study from Peru in Appendix 3. Flipchart paper and thick pens. Preparation: If possible, give a copy of the case study and the list of questions to each participant to read before the session. As the facilitator you will need to read this case study and also look at the spidergrams in FIGURES 40 and 41 which have been drawn to help you facilitate this training exercise. Steps:
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TC/D/Y4401E/1/12.02/1000
[36] Assessing the Macro
Environment; Assessing the Micro Environment; Assessing Programme Design;
Assessing Sustainability [37] If groups are formed in Step 1, the groups should work separately to compile one list per group |