Draft 13 April 2012

LOGFRAME FOR THE RESEARCH COUNCILS COMPONENT OF THE UNIID-SEA PROJECT, 2011-2014
This paper aims to contribute to the formulation of an appropriate strategy for accomplishing the objectives of the UNIID-SEA Project, especially with regard to the Research Councils component. Overall, the Research Councils component should be guided by the final UNIID-SEA Project Framework that emerged from the April 1-3 Project Framework and Planning Workshop in Bangkok. This paper attempts to fill in further details towards identifying what specific projects can be undertaken by project stakeholders representing Research Councils towards the attainment of the UNIID-SEA Project objectives. The outcomes map approved for the UNIID-SEA Project is as presented in Table 1.

Table 1. Outcomes Map for the UNIID-SEA Project
Baseline Universities lack understanding of the IID concept; few are offering innovation courses but few links with poverty and development issues exist; interdisciplinary approach to innovation is largely missing. Councils have limited understanding of the IID concept; IID has not been incorporated into their core functions. Low outcome level A common understanding of the IID concept is adopted but no decision is made to include it in courses; departments are discussing IID but no interdisciplinary projects have emerged. Moderate outcome level Selected topics on IID are integrated into existing courses; a few inter-faculty research projects on IID are emerging. High outcome level IID becomes an integral part of university courses; interfaculty research projects on IID take root.

A common understanding of the IID concept is adopted by councils but it is still not mainstreamed into their work.

Some councils have started incorporating IID into their core functions but no policy decisions have been made; their engagement with other actors remains minimal. Universities and councils are part of a regional knowledge and learning network; they actively share information and knowledge with other universities and Councils, and between them; collaborative activities under discussion but not yet operationalized.

IID is fully incorporated into the work of Councils in the region.

Universities and Councils are pursuing their innovation efforts in isolation; very little mechanism for sharing of knowledge and learning among them; collaboration with other key actors is also limited.

Universities and Councils are aware about the need to collaborate among themselves and with other actors; they are participating in meetings with these actors and starting to show interest in the IID concept.

The IID concept is fully incorporated into the core functions of universities and councils; they are actively engaging other actors in their functions to promote the concept; collaborative activities initiated are strengthened.

One way of presenting the framework of the research council component of the Project is to present it in the form of a logframe, where there is a hierarchy of objectives. The highest is “impact” which

Testimonials of specific poor communities and sectors on the contribution of research councils to the enhancement of their wellbeing and capacity for selfreliant development. Management Strategy: Make an anticipation of how the outcomes and outputs of the project will build on existing initiatives and be consistent with overall development strategies. Positive public opinion of Research Council performance in poverty alleviation Positive national and local government agency assessment of role of Research Council performance in poverty alleviation Means of Verification 1. or subprojects. The third is “output” which are the target results the project is committed to deliver. The fourth are the “Activities” or intermediate outputs. Create appreciation among development champions of how the project contributes to their existing efforts. 3. the objective is stated. If risks are specified. Fourth. 4. 2011-2014 Impact Increased public acknowledgment of significant contribution of Research Councils to Poverty Alleviation in the Country and in the Region Indicators of Success 1. the strategy for mitigating these risks should be specified as part of the logframe. indicators of success (quantitative or qualitative) are specified. 3. The appreciation of the contribution of the project to poverty alleviation is dependent on relative impact of the project in relation to other initiatives. that must be accomplished in order to produce the outputs. The activities are only the key activities. as well as to socio-cultural factors. Next. Too much divergence will mean low acceptance and high resistance. National newspaper reports Public opinion surveys Government reports Monitoring and Evaluation report of the project Risks (What can go wrong?) and Assumptions (necessary and sufficient conditions for success) Risks: The poverty alleviation situation and the challenge of innovation for inclusive development will have different levels of importance and urgency in the different project countries. there is a “horizontal” logic or framework where. the suggested working logframe (for discussion and validation by the project stakeholders) is as follows: Table 2. 2. or alternatively.is the target result at the national or societal level the project aims to contribute to. as the actual listing of all tasks that are needed to accomplish the project are relegated to the project plan. For the Research Councils component of the UNIID-SEA project. first. The second is “outcome” which is the target result at the organizational level (of the highest mother organization implementing the project) the project aimes to contribute to. For each of these levels of objectives. LOGFRAME FOR THE RESEARCH COUNCILS COMPONENT OF THE UNIID-SEA PROJECT. the risks (what can go wrong) are specified. Third. the “Means of verification” or the evidence of attainment of the indicator is specified. 2. the assumptions (necessary conditions for success) are specified. Impact It is proposed that the target impact of the Research Councils component of the project should be: “Increased public acknowledgment of significant contribution of Research Councils to Poverty .

3. 2.. Create appreciation among development champions of how the project contributes to their existing efforts. IID Concept adopted by National Research Councils IID incorporated into core functions or work programs of research councils IID-oriented engagements with other actors (and benepartners) have become regularized IID oriented policy proposals/ recommendations have been submitted to policy-making authorities IID-oriented policies and decisions have been made by policy-making authorities 1. we can identify specific risks. Outcome  Research Councils are reoriented towards IID Universities and Research Councils Work Together with other IID Actors / Intermediaries / Benepartners Research Council reorientation: 1. In the main. goals.  3. 4..Alleviation in the Country and in the Region.” The indicators of success corresponding to this target impact are: 1. the risk is that the poverty alleviation situation and the challenge of innovation for inclusive development will have different levels of importance and urgency in the different project countries. National newspaper reports Public opinion surveys Government reports Monitoring and Evaluation report of the project At the level of the target impact. as well as to socio-cultural factors. and strategic and operaions plans of Research Councils 3. How can the Project Team manage this risk? It is suggested that the following action would be appropriate: Make an anticipation of how the outcomes and outputs of the project will build on existing initiatives and be consistent with overall development strategies. Testimonials of specific poor communities and sectors on the contribution of research councils to the enhancement of their well-being and capacity for self-reliant development. Where High Outcome is attainment of : 4-5 success indicators Medium Outcome is attainment of: 2-3 success indicators Low Outcome is attainment of: 0-1 success indicators 5. IID is reflected in official strategic plans and operations documents 2. 4. Positive public opinion of Research Council performance in poverty alleviation 3. Too much divergence will mean low acceptance and high resistance. 2.Report of Events 4.Vision.. The appreciation of the contribution of the project to poverty alleviation is dependent on relative impact of the project in relation to other initiatives.Policy Notes / Papers / Proposals 5.. Positive national and local government agency assessment of role of Research Council performance in poverty alleviation How do we verify the value of these success indicators? Four methods or means of verification are proposed: 1. Universities and Research Councils working with other IID Actors: .Copies of policy enactments (legislative. managerial enactments or issuances) Risks: The participating research councils have different structures and functions as defined by their organizational and country contexts. Come up with specific steps to neutralize each of these factors. Risk Management Strategy: Identify the individuals and structures and steps in the policy process that could hinder the project. Monitor their residual level of 2. executive. Commitment and acceptance of the project outcomes is uneven and translation into actual results is cannot be ensured. mission.

3. to match the three outcome levels of the Outcomes Map shown above? It is proposed that we simply look at the indicators in an additive way. 4. 2. Regular conversations / discussion forums of faculty. and 5.1. Medium Outcome is attainment of 2-3 success indicators. goals. Creation of common knowledge management facilities and resources. As far as “Research Council reorientation” is concerned. Medium. five indicators are proposed: 1. Inter-disciplinary and inter-sectoral collaboration on IID research 3. Two outcomes are proposed: (1) Research Councils are reoriented towards IID. IID Concept adopted by National Research Councils IID incorporated into core functions or work programs of research councils IID-oriented engagements with other actors (and benepartners) have become regularized IID oriented policy proposals/ recommendations have been submitted to policy-making authorities. and 5. and independent profesisonals on IID Inter-disciplinary and intersectoral collaboration on IID research Inter-disciplinary and intersectoral formulation of research-based policy recommendations Inter-disciplinary and intersectoral competency-building Creation of common knowledge management facilities and resources obstruction and apply mitigating actions. and (2) Universities and Research Councils Work Together with other IID Actors / Intermediaries / Benepartners. and independent profesisonals on IID 2. mission. researchers. For Outcomes. IID-oriented policies and decisions have been made by policy-making authorities. Inter-disciplinary and inter-sectoral formulation of research-based policy recommendations 4. (2) IID is reflected in the vision. 4. Inter-disciplinary and inter-sectoral competency-building. 3. 5. How do we interpret whether the outcome is High. five indicators are also proposed: 1. Outcome The next lower level of project objectives is the target outcome. the proposed means of verification are as follows: (1) IID is reflected in official strategic plans and operations documents. or Low. such that High Outcome is attainment of 4-5 success indicators. Regular conversations / discussion forums of faculty. As far as “Universities and Research Councils working with other IID Actors” is concerned. researchers. and . 2. and Low Outcome is attainment of 0-1 success indicators.

Commitment and acceptance of the project outcomes is uneven and translation into actual results is cannot be ensured. Outputs 1. 1.strategic and operations plans of Research Councils. Social Enterprise. 4. There are also risks associated with this level of objective. 3. . and Private Sector Research Institutes and Programs for Innovation for Inclusive Development (Project Country Level) National Conference Report on University-Research Council Collaboration on Innovations for Inclusive Development to produce a 5-Year Agenda of Action (Project Country Level) IID-Oriented Research Grants Program established and implemented by Research Councils (Project Country Level) IID-oriented Policy Agenda submitted to specific Chairmen on Food Security. In the main. the foreseen risk is that the participating research councils have different structures and functions as defined by their organizational and country contexts. Herbal Medicine. and templates of IID research grant uploaded on the internet IID policy agenda submitted to and received by national policymaking authorities IID policy agenda submitted to and received by ASEAN policymaking authorities Risks: The participating research councils have different priorities. Disaster Management. 3. Risk Management Strategy: Build confidence in the project among the participating research councils by creating intensive opportunities for sharing concerns and issues and systematically responding to these issues. The Team should come up with specific steps to neutralize each of these factors. managerial enactments or issuances). and levels of resources. 4. and (5) copies of policy enactments (legislative. (3) Report of Project Events. Disaster Management. and Higher Education (Project Country Level) Submission of Regional IID Policy Agenda crafted by ASEAN Network of National Research Councils (ASEANNNRC Level) 1. Livelihoods. Cimate Change – National and ASEAN Levels University and Research Council Policy Recommendations in the areas of Employment and Livelihood Generation and/or Community Initiatives to enhance Food Security. Government. University and Research Council Research Agendas in the areas of Food Security. Traditional Medicine. (4) Policy Notes / Papers / Proposals generated in the Project. It should monitor their residual level of obstruction and apply mitigating actions. Copies of workshop reports uploaded on the internet National conference report uploaded on the internet Charter. Traditional Medicine. executive. 5. leading to the uneven delivery of the outputs. Build a community among the implementors before fielding them to the tasks. 4. How do we manage this risk? It is proposed that the Project Team identify the individuals and structures and steps in the policy process that could hinder the project. 2. 2. rules. Civil Society. 2. 5. Disaster Management – National and ASEAN Levels University and Research Council Interface and Interoperability Mechanism and Process towards IID – National and ASEAN Levels Research Council Organizational Development Initiatives in Enhancing Charters and Operations Manuals – National Levels Pre-Conference Workshop Reports on Harnessing University. 3. project implementation procedures.

Outputs At the level of outputs. and 4. Livelihoods. University and Research Council Policy Recommendations in the areas of Employment and Livelihood Generation and/or Community Initiatives to enhance Food Security. Copies of workshop reports uploaded on the internet National conference report uploaded on the internet Charter. Cimate Change – National and ASEAN Levels. Civil Society. and levels of resources. . 2. Traditional Medicine. Government. 5. are: 1. leading to the uneven delivery of the outputs. Disaster Management – National and ASEAN Levels 3. Traditional Medicine. IID-oriented Policy Agenda submitted to specific Chairmen on Food Security. The proposed success indicators for the target outputs are : 1. University and Research Council Research Agendas in the areas of Food Security. partly reflecting the themes discussed by the Project Stakeholders during the Bangkok Workshop. rules. project implementation procedures. the targets. IID-Oriented Research Grants Program established and implemented by Research Councils (Project Country Level) 4. and Private Sector Research Institutes and Programs for Innovation for Inclusive Development (Project Country Level) 2. Pre-Conference Workshop Reports on Harnessing University. and Higher Education (Project Country Level) 5. 4. Disaster Management. It should build a community among the implementors before fielding them to the tasks. University and Research Council Interface and Interoperability Mechanism and Process towards IID – National and ASEAN Levels. Disaster Management. and templates of IID research grant uploaded on the internet IID policy agenda submitted to and received by national policymaking authorities IID policy agenda submitted to and received by ASEAN policymaking authorities What risks might there be at this output level? The main risk that can be identified is as follows: The participating research councils have different priorities. Research Council Organizational Development Initiatives in Enhancing Charters and Operations Manuals – National Levels. Herbal Medicine. 3. 2. How do we manage this risk? The Project Team should build confidence in the project among the participating research councils by creating intensive opportunities for sharing concerns and issues and systematically responding to these issues. Social Enterprise. Submission of Regional IID Policy Agenda crafted by ASEAN Network of National Research Councils (ASEAN-NNRC Level) The proposed means of verification of the outputs are: 1. National Conference Report on University-Research Council Collaboration on Innovations for Inclusive Development to produce a 5-Year Agenda of Action (Project Country Level) 3.

Project countries that can do more because of available resources and a more hospitable policy environment should go ahead and do more. government. Activity Completion and Accomplishmen t Reports Publication of all the reports in printed form and on the internet. 2. at the regional and national levels.   What initiatives can effectively improve the the contribution of research councils in the policy formulation process? To what extent does the Regional IID Policy Agenda satisfactorily answer the following questions: How can universities and research 5. The activities cannot be supported given the available human and financial resources for the project  2. Formal evaluation of the reports according to the guidelines provided in the Monitoring and Evaluation Plan for the Project 1. Private Sector. reduce the level of outputs and outcomes. 3. First explore the extent to which other sources of funding and personnel can be tapped to fill the gap. The activities necessary to produce the outputs are not sufficiently translated into tasks that are assigned to specific individuals and allotted sufficient budgetary resources. 2. if the shortfall cannot be eliminated. and civil society engaged in innovation for inclusive development? How can these research institutes and programs be capacitated and motivated to increase their engagement in innovation for inclusive development? The National IID Conference Report satisfactorily answers the following questions: What specific IID capacity-building and IID initiatives can universities and research councils undertake over the next five years? How can these initiatives be supported through existing and new programs in universities. in sufficient detail to see the gap between resources and the target outcomes and outputs.  3. This reduction should be done on a country-bycountry basis.  . Government. government. The Pre-Conference Workshop Reports satisfactorily answers the following questions: To what extent are research institutes and programs in universities.   4.Activities 1. 2. 4.  3. private sector. Civil Society) UNIID National Conference Towards 5-year IID Agenda of Action Research Council IID Grants Program National IID Policy Agenda ASEAN IID Policy Agenda 1.  Risk Management Strategy: Plan the whole project. 5. and civil society? The Grants Program review process satisfactorily answers the following questions: What are the ideal features and mechanisms of an IID Grants Program for adoption and implementation of Research Councils in the Project Countries? What needs to be done to establish and maintain such an IID Grants Program in the Project Countries? To what extent does the National IID Policy Agenda satisfactorily answer the following questions: What are the research-based policy recommendations of the National Research Council on the following policy areas:      Food security Traditional medicine Disaster management Social enterprises Universities and Research Institutions for Inclusive Development Risks: 1. private sector. UNIID PreConference Workshops on Research Institutes and Programs (University.

UNIID Pre-Conference Workshops on Research Institutes and Programs (University. 1. government. private sector. To what extent does the National IID Policy Agenda satisfactorily answer the following questions:  What are the research-based policy recommendations of the National Research Council on the following policy areas:  Food security . UNIID National Conference Towards 5-year IID Agenda of Action 3. councils in ASEAN promote innovation for inclusive development in the region? What coordinative and support infrastructure can be established to enhance the contribution of universities and research councils to the alleviation of poverty and inequality in the region? Activities The lowest level of objectives is “activities. National IID Policy Agenda 5. Private Sector. government. Research Council IID Grants Program 4. ASEAN IID Policy Agenda The success indicators are provided in terms of how well relevant queries are answered in the activities. The Pre-Conference Workshop Reports satisfactorily answers the following questions:  To what extent are research institutes and programs in universities. Civil Society) 2. The Grants Program review process satisfactorily answers the following questions:   What are the ideal features and mechanisms of an IID Grants Program for adoption and implementation of Research Councils in the Project Countries? What needs to be done to establish and maintain such an IID Grants Program in the Project Countries? 4.” The key activities for this project are: 1. The National IID Conference Report satisfactorily answers the following questions:   What specific IID capacity-building and IID initiatives can universities and research councils undertake over the next five years? How can these initiatives be supported through existing and new programs in universities. private sector. Government. and civil society engaged in innovation for inclusive development?  How can these research institutes and programs be capacitated and motivated to increase their engagement in innovation for inclusive development? 2. and civil society? 3.

national and regional. Publication of all the reports in printed form and on the internet. Formal evaluation of the reports according to the guidelines provided in the Monitoring and Evaluation Plan for the Project There are also risks identifiable for this level. (2) Explore the extent to which other sources of funding and personnel can be tapped to fill the gap. in sufficient detail to see the gap between resources and the target outcomes and outputs. 3. Indicative dates for the completion of the outputs. (4) This reduction should be done on a country-by-country basis. modified. To what extent does the Regional IID Policy Agenda satisfactorily answer the following questions:   How can universities and research councils in ASEAN promote innovation for inclusive development in the region? What coordinative and support infrastructure can be established to enhance the contribution of universities and research councils to the alleviation of poverty and inequality in the region? The means of verification for “activities” are straightforward: 1. and finalized by the project stakeholders. validated. It should then be used to identify specific country projects for implementation. are illustrated below. reduce the level of outputs and outcomes. and (2) The activities cannot be supported given the available human and financial resources for the project. These are: (1) The activities necessary to produce the outputs are not sufficiently translated into tasks that are assigned to specific individuals and allotted sufficient budgetary resources. How should the Project Team manage these risks? (1) Plan the whole project. Next Steps This concept note should be discussed. Table 3. Activity Completion and Accomplishment Reports 2. (3) If the shortfall cannot be eliminated. Indicative Output Schedule for Each Country 2011-2012 National Output 1: Target Outputs 2012-2013 Regional Output A: 2013-2014 .     Traditional medicine Disaster management Social enterprises Universities and Research Institutions for Inclusive Development What initiatives can effectively improve the the contribution of research councils in the policy formulation process? 5. Project countries that can do more because of available resources and a more hospitable policy environment should go ahead and do more. at the regional and national levels.

Traditional Medicine. Herbal Medicine. Livelihoods. Thailand. Cimate Change National Output 2: Research Council Organizational Development Initiatives in Enhancing Charters and Operations Manuals University and Research Council Research Agendas in the areas of Food Security. The four national outputs can be undertaken by the same Country Project Team for each of Indonesia. ******* . and Vietnam. Disaster Management.University and Research Council Research Agendas in the areas of Food Security. The three regional outputs are essentially a consolidation and integration of the country outputs. Universities and Research Institutes for IID Regional Output C: University and Research Council Policy Recommendations in the areas of Employment and Livelihood Generation and/or Community Initiatives to enhance Food Security. Livelihoods. Cimate Change National Output 3: University and Research Council Interface and Interoperability Mechanism and Process towards IID Regional Output B: University and Research Council Interface and Interoperability Mechanism and Process towards IID National Output 4: University and Research Council Policy Recommendations in the areas of Employment and Livelihood Generation and/or Community Initiatives to enhance Food Security. with a regional dimension added. Traditional Medicine. Disaster Management. The latter can be produced through consultative workshops and finalized by a composite team representing the countries working with the UNIID-SEA Project Team for Research Councils. Herbal Medicine. Disaster Management. Philippines. Disaster Management There are four national outputs (projects) and three regional outputs (projects).

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