CONTENTS 1. Introduction.......................................................................................1 2. Stakeholders And Participation ....................................................13 3. Situation And Options Analysis ....................
................................25 4. The Logframe Matrix And Hierarchy Of Objectives.....................32 5. Risk Analysis And Management ...................................................46 6. Performance Assessment .............................................................59 7. Work Plans, Budgets And Terms Of Reference...........................75 8. Proposals, Projects And Programmes .........................................82
Appendix A: Glossary Of Key Logframe Terms................................93 Appendix B: Examples Of Stakeholder Analyses.............................97 Appendix C: Checklists For Reviewing A Logframe ......................110 Appendix D: Examples Of Logframes .............................................113 Appendix E: Strengths And Weaknesses Of The Logframe Approach ......................................................................125 Appendix F: Key References ............................................................130 Appendix G: The Chimbe Case Study .............................................132 Appendix H: Policy Shifts In Development .....................................135 Appendix I: The Elaborated Project Concept Note........................137
The purpose and scope of these notes
These notes are about project planning within the development context. They focus in particular on the logical framework approach which includes an array of principles and processes, tools and techniques, used in development work across all sectors including social development. As such the notes do NOT begin to cover all the necessary aspects of project management (or project cycle management, PCM, as it is often called). Effective management depends on a multitude of factors including and beyond planning; most important are the inter-personal elements such as leadership, communication, facilitation, negotiation, motivation, coaching etc. So this workshop aims to improve your skills as a planner, and it may improve your management capability, but it will not be enough to make you a good manager.
What is a project?
A project can be defined as ‘a series of activities aimed at bringing about clearly specified objectives within a defined time period and with a defined budget’1. Another definition of a project might be ‘a temporary organisation that is needed to produce a unique and defined outcome or result at a prespecified time using predetermined resources.’2 A project should have a number of features: • a finite, defined life cycle • defined and measurable results • a set of activities to achieve those results • defined stakeholders • an organisational structure with clear roles and responsibilities for management, coordination and implementation • a defined amount of resources and • a monitoring, review and evaluation system. Within the business context emphasis is placed on the need for a project to be created and implemented according to a specified business case. In the development context, this may not be considered relevant. But it is. Perhaps omit the word business and the message is clear and useful; that a project
EU (2004) Aid Delivery Methods. Volume 1 Project Cycle Management Guidelines available at ec.europa.eu/comm/europeaid/reports/pcm_guidelines_2004_en.pdf 2 This definition comes from PRINCE2 a project management method established by the UK Office of Government Commerce (OGC) which has become a standard used extensively by the UK government but which is also widely used and recognised internationally. OGC( 2005) Managing successful projects with PRINCE2
Weaknesses of the project approach
‘Classical’ projects in the development context have come in for much. These notes are project planning. In 2
. of projects exacerbating the tendency to think and work in ‘boxes’ or ‘silos’ • Fragmented and disjointed effort (sometimes in opposite directions) • Perverse incentives (e. So projects should be distinguished from on-going organisational structures. the management language is full of metaphors. on-going within the organisation. set up for a specific purpose. The term is sometimes also used for the development of an element of policy. accountability and sustainability • Not addressing holistic. But all these issues are not unique to projects. it will be disbanded. with rolling timeframes and involving multiple partners. well-funded ‘capacity building’ projects can de-skill other key actors such as government departments) • High transaction costs. A ‘project’ typically is a free-standing entity relatively small in budget. It has boundaries that are determined by its objectives. poorly harmonised planning and reporting systems • Bias in spending. And they have not meant that projects have disappeared. tied aid. usually highly justified. different in purpose. processes and tools can also be applied in programme planning. community. scope and scale and this can lead to confusion. criticism. a project is temporary. weak implementation. for example: • ‘Outsider’ (usually donor) controlled priorities and systems • Not aligned with national priorities • Little local ownership. It needs to be based on a clear rationale and logic. but remember essentially the same principles. one of which may be long-term.g. short in duration and delivered by its own implementation unit. Where needed they are in effect services bought in by the project. These organisational aspects may well of course provide key support functions to projects but those aspects do not come with the remit of the project team. Or it may be an endeavour with a multi-million dollar budget and timeframe stretching to a decade. (One can of course have an individual with more than one role. cross-sectoral issues. another temporary within a project.needs to have a specified case.) Within the development context there are many different types of project. it must be ‘defendable’ at all stages when it comes under scrutiny. When the expected results have been achieved. resources and time span. many can apply equally to other aid approaches. institution or organisation. processes and operations. By its very nature. excessive demands on time of national government offices. not responsive to real needs. with no clear life cycle. In essence a project is any planned initiative that is intended to bring about beneficial change in a nation. But the same term is sometimes confusingly used also for large and complex initiatives embedded within still larger programmes.
it uses their systems and procedures but is not earmarked to specific projects. the accountability.org/dataoecd/11/41/34428351. circumstance or situation which is required for committed aid to be disbursed.pdf. a) Projects With projects. Or it may fit within a government programme specifically earmarked to a particular project. Budget support Funding given to a government programme and budgetary framework. systems and procedures of projects are very different. Or it may be implemented through another executive agency . not earmarked to specific projects. Also DFID (2006) Draft How To Note: Implementing DFID’s Conditionality Policy www.g. but the nature and ownership of those projects and the funding mechanisms behind them have changed and are continuing to change. an NGO or private sector organisation. b) Programme Aid Programme aid is channelled directly to a partner government. There is a multitude of ways in which overseas development assistance can be provided. The project may be a donor project with a project implementation unit using donor systems and procedures (less common these days).gov. NGOs.a multilateral agency.uk/pubs/files/draftimplementing-conditionality.1 illustrates three key approaches (there are many others) in public sector development work.uk/pubs/files/conditionality.oecd. beyond that. 4 A condition is an action. funding is earmarked to a discrete set of activities in order to achieve specific objectives.
A key document here is OECD (2005) Paris Declaration on Aid Effectiveness www.dfid. Managing for Results. Figure 1. With sector budget support.
Aid funding approaches and instruments
The evolving aid effectiveness agenda3 is leading to fundamental changes in the nature of projects and the ways in which they are funded. any conditionality will relate to the policies and systems of the earmarked sector. If the condition is not fulfilled it will generally lead to aid being interrupted or suspended.non-state work. And projects remain within state work. in each. The aid may be general to the central exchequer in support of the national development programme (often the poverty reduction plan) with no earmarking to specific expenditures. Some forms of programme aid include: i.dfid.pdf
. projects remain a key aid modality. For more on conditionality see DFID (2005) Partnerships for Poverty Reduction: rethinking conditionality www. Or the aid may be sector support to a particular sector but. With general budget support. charities) and the private sector.gov. Harmonisation. structures. any conditionality4 will focus on policy measures related to overall budget priorities and systems. and Mutual Accountability. such as civil society (e. use government systems and procedures and be reflected in the government budget. Alignment.pdf with key commitments in the five areas of Ownership.
The treasury is allocating funding (now untraceable as to whether it is from in-country or donor sources) to the forestry sector plan.g.g. EC
e. One donor.g.g. is supporting the sector plan but is earmarking its funding to a specific government-managed project that is mainly using government systems and procedures.
Ministry of Environment and Forestry
Forestry sector expenditure
Stand alone projects
A form of sector wide approach (SWAp)
Ministry of Environment and Forestry
Sector support from some donors
e. Other donors are providing project support as above. SDC
e. in this example the EC.g.1 Some examples of funding mechanisms in public sector development work
Funding Mechanism Description
Donors fund separate standalone projects probably with a Project Implementation Unit using its own procedures and systems. A form of General Budget Support is in place with some donors providing non-earmarked funding to the central treasury. Some donors are providing sector-level budget support and agreeing to use government systems and procedures. Two donors are providing support through standalone projects.Figure 1.g.
A form of general budget support
General budget support from some donors
Ministry of Environment and Forestry
Forestry Sector Expenditure
Project in a SWAp
Stand alone projects
Forestry Sector Plan
A form of Sector Wide Approach (SWAp) is in place with a comprehensive forestry sector plan and expenditure programme. GTZ
Forestry Sector Expenditure
Project in a SWAp
Stand alone projects
Forestry Sector Plan
And they can apply to all partner If a partner government government funds not just funds provided by does not need budget donors.g.
In terms of democratic accountability.gov.
Sector Wide Approaches (SWAps) A SWAp is a form of financing that supports a single sector policy and expenditure programme with government coordination.dfid. where partner governments do not have the capacity to meet needs. M 2001.ii. support or sector approaches and asks for project support
• • •
Schacter. where governments have requested project assistance or where effective government does not exist What is fiduciary risk? Where the fiduciary …. e.2 Changes in Accountability5
Traditional Accountability for Development
Donor agency Project agency
New Accountability for Development
External Partners BS or SWAP Programme or Project Developing Country Government Citizens / Service Consumers
Developing Country Government
Citizens / Service Consumers
Donor Government / Taxpayers
Donor Government / Taxpayers
When are projects appropriate?
Projects may remain appropriate in a range of circumstances including:6 • • Where projects can play a complementary role to other instruments such SWAps and budget support (e. technical assistance and project aid.com/publications. Accountability and CIDA: Issues and Recommendations Institute on Governance. harmonised partners and partial or full use of government systems and procedures. many SWAps include projects) In short-term humanitarian assistance.g.the risk that funds: risks7 (see box) are • are not properly accounted for unacceptably high • are not used for the intended purposes Where there is no clear • do not represent value for money.pdf
. national and/or sectoral development strategy These risks can apply to all forms of financial aid.1 Figure 1. the evolving aid approaches acknowledge that the primary concern is not accountability by the developing country to the donor. emergency and post-crisis.uk/aboutdfid/organisation/pfma/pfma-fiduciary-briefing.schacterconsulting.html 6 Adapted from EU (2004) op cit 7 DFID (2004) Managing Fiduciary Risk When Providing Poverty Reduction Budget Support: Briefing www. See Figure 1. The financing typically includes sector budget support. Sector Wide Approaches. www.
whereas performance management also includes measures of process and efficiency. outcome and impact’. products and services contribute to the achievement of desired results (outputs.doc
. Easier said than done: A review of Results-Based Management in Multilateral Development Institutions.org/dataoecd/29/21/2754804. the deliverables from the completion of a development intervention). the Millennium Development Goals. Harmonisation.2003. OECD DAC (2002) available at www. Changes are usually shown in the form of a results chain or results framework.oecd. Alignment. Available at www. activities to outputs to outcome to impact. running pilots. doing research Projects can be important for building relationships. 9 This interprets it as a broad generic term (as opposed. RBM focuses just on results. There should be a strong credible linkage between the specific outcome achieved by a project
A key document here is OECD (2005) Paris Declaration on Aid Effectiveness www.parcinfo. Much emphasis has been given in recent years (and the Paris Declaration8 adds weight to this) to the need to get away from a focus on inputs and activities. and private sector groups Doing the risky and innovative.11 Central to RBM are the notions of causality and attribution. and Mutual Accountability.oecd. for lesson learning. for example. 10 OECD DAC (2002) op cit 11 Flint M (2003).pdf.
Results Based Management
In the last decade the international development system has agreed as never before on a common set of results.org/dataoecd/11/41/34428351. with NGOs. 9 Glossary of key terms in evaluation and results based management. Results should represent attributable change resulting from a cause and effect relationship. What is Results-based Management (RBM)? Results-based management is ‘A management strategy by which an organisation ensures that its processes.• • • •
Providing technical assistance to build capacity Work with non-public partners. Managing for Results. for example to the EC which restricts results to outputs. outcomes and impacts)’. But what is meant by the terms ‘results’ and ‘results based management ‘? What are ‘results’? Results as changes in a state or condition which derive from a cause-and-effect relationship’… ‘changes ……set in motion by a development intervention – its output.pdf with key commitments in the five areas of Ownership.org/documents/Results Based Management/Review of RBM in Multilateral Development Institutions . to which they are working and against which their collective performance can be judged.10 RBM is not the same as performance management. (See the glossary in Appendix A for further definitions). and to replace it with a focus on results through results based management systems.
Keep the results reporting system as simple. or logframe. a logical framework. within team control Actions undertaken to transform inputs into outputs
Financial human and material resources
A number of tools or logic models have been developed for summarising relevant results information related to development assistance programme or project. Key Principles of Results Based Management a. cost-effective and user-friendly as possible So systems need as much as possible: to be harmonised to minimise transaction costs and facilitate comparative analysis.3 The Results Chain13
‘Hope to see’ Long-term improvements in society
on a ti t n
‘Want to see’ Immediate effects on clients
‘Expect to see’ The end products or deliverables of the activities.
Flint M op cit Adapted from EU (2004) op cit
. focusing on what needs to be achieved using information on progress intelligently to assess what can be done to achieve the results. rewards past performance without necessarily analysing factors underlying performance. Many variants of the logframe have emerged over the years. to rely on country systems supporting capacity building. b. activities done and outputs delivered. The model usually takes the form of a matrix or framework. to promote learning as well as accountability. the most widely used approach in the development field. Management for results. If no attribution is possible. not by results Managing for results looks forward.or agency and the resources used.12 Figure 1. it is not a result. Managing by results looks backwards. much of the rest of these notes is about the logical framework approach.
Figure 1. social development. typically defined in national or sector development plans and/ or institutional mandates and strategic plans. and intended beneficiaries.4 gives a typical project cycle. At all stages focus on results Do not focus on inputs and activities. by partner organisations and your own organisation’s overall objectives. not even on outputs except where they are a necessary routemap to outcomes and impact. d. Align programming. Identification is of course not happening in a vacuum.
Introducing the Project Cycle
Projects have a natural cycle of development. usually with clear alignment with national plans and priorities often in the form of a national sustainable development plan or poverty reduction strategy paper. monitoring and evaluation with agreed expected results Programming must directly support higher objectives. which is usually a document of about 2-4 pages that outlines the purpose of the project. infrastructure). environment.5 Data and processes available to inform project identification and planning
Looking back . The cycle begins with identification where an initial focus of a project is decided that includes geographical location. technical focus (eg.
. forestry.c.data at hand?
Participatory Poverty Assessment Common Country Assessment Comprehensive Development Framework Public Expenditure Review Medium Term Expenditure Framework Other donors country plans
Change Forecast Donor Country Assistance Plan
Poverty Reduction Strategy Plan Force field analysis
UN Development Assistance Framework Lessons from previous initiatives
Joint Sector Reviews and Appraisals
Scoping Missions Environmental screening
Project Concept Note
At this stage a limited amount of resources are devoted to the preparation of a project concept note. Many processes will have happened prior to identification and the products of those processes will include key secondary data that inform this stage. it is taking place within a policy environment set by government. Figure 1. the likely costs and some consideration of the risks. education. health care. the beneficiaries.
Figure 1. Social and Stakeholder Analyses. This agreement is indicated by the term clearance (though different organisations may use different terms). Problem Analysis.
. Economic and Financial Analysis. Risk Analysis and Environmental Analysis. A team is identified (usually multidisciplinary) who are to undertake a thorough analysis and preparation of a project memorandum. for example Institutional Analysis. This team will undertake a variety of appraisals as appropriate to the context.4 A typical Project Cycle with associated tools / actions
External macro issues • National Development Plan / Poverty Reduction Strategy • Millennium Dev Goals • Commitments • Partnerships Internal macro issues • Strategic Objectives • Policy and Resources • Obligations • Requests
• Evaluation Studies • • Pre-Appraisal Project Concept Notes
• Stakeholder Analysis Problem Analysis Risk Analysis Logical Framework
The logical framework approach
• • •
• • •
Work Plans/ Budgets Terms of Reference Project Submission Format
• Purpose Reviews
• • •
Participatory Management Monitoring Reporting
The concept note is used to secure permission to spend more significant resources to work up a detailed project proposal. proposal or submission document.
Completion represents the end of activities to promote the project objectives and is marked by a report that comments on the achievement of the purpose of the project. The team should show an openness of mind that allows the focus of the project to change from that outlined in the concept note. This is followed by the identification of the agency that will manage and conduct the work (often through a process of open tender). enabling adjustment to
. a logical framework or logframe. opportunities. weaknesses.The results of the analyses will inform the next phase in the project cycle. An outcome of these last two phases may be the modification of the policy and programme environment that will in turn lead to the identification of new initiatives. Regular reports are produced to communicate progress to stakeholders and these usually use a format that is linked back to the logical framework. Figure 1. and its impact. which is often summarised in some form of design and monitoring framework. Throughout the entire cycle a process of reflection is encouraged to ensure that lesson learning is at the heart of the process. and periodic reviews.6 Further data and processes needed to inform planning
Project Concept Note Participatory learning and action field work Livelihoods analysis Strengths. During this phase a project document is prepared based upon the earlier analyses. It also signals the onset of terminal evaluation of both the achievements and the process. detailed budgets and terms of reference for those involved. The process of implementation is managed by frequent monitoring of progress against indicators. which is termed design. which is its agreement to resource the project. This is usually based upon work plans. which leads to implementation. threats
Stakeholder analysis Stakeholder workshops & meetings Technical appraisal
Impact analysis Institutional appraisal
What data and processes are needed now to analyse the Poverty Social situation?
Environmental appraisal Problem analysis
Force field analysis Fiduciary Risk Assessment
Alternatives analysis Risk analysis
This project document is then subject to approval by the relevant funding agency or internal officer with delegated authority. where the situational analysis indicates that this is necessary. worked up as part of the bid and often refined during an inception phase.
the logical framework matrix. reflect on its effectiveness and limitations. outcome and impact) and their causal relationships. indeed a matrix may not be needed in some contexts. and within the development field. a higher-level programme or indeed a whole organisation. In the meantime. and to replace it with a focus on results. In many agencies and for a variety of reasons. The LFA of course has its opponents as well as proponents. Completed logical frameworks form the basis of a project plan and can be used as a reference tool for on-going reporting. The logframe approach includes a set of interlocking concepts to guide and structure an iterative process of analysis. A quality process is vital if a useful and effective product is to be generated. A paper discussing the strengths and weaknesses of the approach is included in Appendix D. design and management. The logical framework can help to organise the thinking within the project and to guide the purpose.
The LFA can be applied at different levels with small projects. appreciation of risks and the focus of achievements and feeding into future policy. a mentality. Distinction needs to made between that process and the documented product of that process. work through the process and. It involves identifying strategic elements (activities. with built-in mechanisms for minimising risks and monitoring. indicators and evidence to measure performance and the assumptions and risks that may influence success and failure.
The Logical Framework Approach (LFA)
We have seen that there is a vital need to get away from a focus on inputs and activities. Results-based management systems have been developed over the last few decades to address this need. reserve judgement. use the logframe approach in one of its variants. indicators of success. The approach is essentially a way of thinking. implementation.activities. The process of developing a logframe for a project includes the development with key partners of thorough and clear plans. the logical framework (logframe) approach (LFA) has become a key element in this. it has become mandatory practice. The LFA has become very widely employed and highly influential especially. evaluation and audit. Many development agencies. strategy and project identification. The LFA is a process and tool (more accurately a ‘basket of tools’) for use throughout the project and programme cycle14 to help strengthen analysis and design during formulation. at the same time. outputs.
. In some contexts the matrix product is less important than the process. in international development work. multilateral and bilateral partners. reviewing and evaluating progress. including national governments. and non-government organisations. but not exclusively.
It asks 7 core questions. THERE.8 The Key Questions. steps in the project planning process
1 . determine causes and effects
Objectives analysis – identify
Options analysis – identify and
apply criteria to agree strategy
Developing the logframe –
define project structure. Figure 1.7 The Logical Framework Approach
Stakeholder analysis – identify who has an interest
and who needs to be involved
Problem analysis – identify key problems.Who are ‘we’?
Who has an interest? Who should be involved?
2 . These notes will take you through this process. causes
and opportunities.How will we get there?
What activities do we have to undertake?
5 . HERE. risk and performance management
Activity scheduling – set a
workplan and assigning responsibility
Resourcing – determine human
and material inputs
Put it another way.Where are we now?
What are the problems? What the possibilities?
3 .What may stop us getting there?
What are the risks and how can we manage them? What assumptions are we making?
6 . the logical framework process helps guide the planning of a journey from where we are now.How will we know if we’ve got there?
What are our indicators and targets? What evidence do we need?
7 – What do we need to get there?
What detailed activities and resources are needed?
. logic.Where do we want to be?
What are the options? What are our objectives?
4 . to where we want to go.The logframe approach divides into two phases of analysis and design: Figure 1.
STAKEHOLDERS AND PARTICIPATION15
‘Stakeholders’ are: • people affected by the impact of an activity • people who can influence the impact.people who use the resources or services in an area • interest groups .2. Some Stakeholders could belong to both user groups and interest groups. a forest) for their wellbeing.
Adapted from DFID (1998) Stakeholder Participation and Analysis
. Stakeholders can be individuals. They will include: • users groups . Usually they live in or very near the resources in question. They are the reason why the development assistance is being planned. This term describes people who may be wholly dependent on a resource or service or area (e. Another way of thinking about Stakeholders is to divide them into two main groups: • primary stakeholders are generally vulnerable. They often have few options when faced with change so they have difficulty adapting • secondary stakeholders include all other people and institutions with a stake or interest or intermediary role in the resources or area being considered. Being secondary does not mean they are not important. some secondaries may be vital as means to meeting the interests of the primaries. a community or an institution.g. or groups. They relate to the Millennium Development Goals. They are those who benefit from or are adversely affected by an activity such as a development initiative.people who have an interest in or opinion about or who can affect the use of a resource or service • winners and losers • beneficiaries • intermediaries • those involved in and excluded from the decision-making process.
. ‘the clergy’.Stakeholder groups share a common interest: the ‘local government department’. For example. ‘the consultancy company’. See the separate diagram of Levels of Participation. outsiders set the agenda and control the process with locals being manipulated. Participation is essential in development work. water. according to status. Real participation we said involves primary stakeholders playing an active role in decision making. energy. ethnicity etc. age. Remember. forests. it is far less important to correctly classify people than to include them in your collective thinking. it won’t work simply by wishing it. Obtaining primary stakeholder participation requires conscious and informed effort when designing and implementing a initiative. ‘the project management’. agriculture and rural development may have very conflicting opinions about a development proposal. Similarly ‘the Government’ may include sub-groups with completely different interests. some people in a community may have totally different interests from others in the same community. But in practice it is a concept that has been misused. someone may be said to participate by: • attending a meeting even though they do not say anything • being actively involved in building a clinic by supplying sand and their labour • providing information and opinions in a survey • being responsible for achieving objectives in the implementation or management of a initiative • controlling the design of an initiative. gender. wealth. much that has been called participation has in fact not actively involved stakeholders (especially primary stakeholders) in decisionmaking and its consequent activities. the ‘villagers’ the 'community'. for example ministries of finance. So grouping ‘villagers’ or the community together in one group may be meaningless.
‘Participation’ means different things to different people in different situations.
A spectrum of stakeholder participation
‘Participation’ can sometimes involve local people taking part in other people’s initiatives. But such groups are often highly varied containing many sub-groups.
Achieving participation is not easy. interests.
Stakeholder participation is likely to result in: • improved effectiveness. Responsiveness is enhanced. There is a greater sense of ownership and agreement of the processes to achieve an objective. managing conflict can be difficult. skills and abilities to take part or influence the course of a initiative • improve the initiatives sensitivity to perceived needs of those affected
. • improved efficiency. resources. • improved equity is likely to result if all stakeholders needs. Participation can be time consuming. for example in the way institutions have ‘always done things’. And active participation has helped develop skills and confidence. Doing a stakeholder analysis helps to: • identify who we believe should be encouraged and helped to participate • identify winners and losers. of good quality and within budget if local knowledge and skills are tapped into and mistakes are avoided. • improved sustainability and sustainable impact. • improved transparency and accountability if more and more stakeholders are given information and decision making power. There will conflicting interests that come to the surface.
Stakeholder analysis is a useful tool or process for identifying stakeholder groups and describing the nature of their stake. roles and interests. those with rights. interests and abilities are taken into account.Why stakeholder participation is important. More people are committed to carrying on the activity after outside support has stopped. effort and inputs are more likely to be targeted at perceived needs so that outputs from the initiative are used appropriately. In other words project inputs and activities are more likely to result in outputs on time. And it can be painful if it involves a change in practice. So participation is likely to have many benefits. But it is not a guarantee of success.
It needs to be done with a variety of stakeholders to explore perceptions and verify them by cross-reference.
. Just because you use this tool does not mean you are guaranteed success: • the jargon can be threatening to many • the analysis is only as good as the information collected and used.). An example showing how to do a stakeholder analysis is given on the separate handout (see code.• reduce or hopefully remove negative impacts on vulnerable and disadvantaged groups • enable useful alliances which can be built upon • identify and reduce risks. several opinions from different sources are needed to give confirmation • team working can be damaged if differences rather than common ground are over-emphasised • trying to describe winners and losers and to predict hidden conflicts and interests can alienate powerful groups. for example identifying areas of possible conflicts of interest and expectation between stakeholders so that real conflict is avoided before it happens • recognise the roles of women as well as men • stimulate participation in the development process • disaggregate groups in our thinking Stakeholder analysis needs to be done when possible initiatives are identified. But it needs to be repeated also at later stages of the project cycle to assess whether the original situation has changed and whether the involvement of groups is being adequately addressed. GIGO garbage in garbage out • matrices can oversimplify complex situations • judgement in placing stakeholders in a matrix or table is mainly subjective.
Risks and pitfalls of Stakeholder Analysis
Stakeholder Analysis can go wrong.
Figure 2.1 Levels of Participation
How much can stakeholders (whether individual. There are many other stakeholder analysis tools. List all possible stakeholders. (See Figure 2. Will the project have a positive or negative impact on them? (Award it + or . all those who are affected by the project or can influence it in any way.3 and 2. iv.5) i.or +/. Which ones you use depends on the questions that need to be addressed.2 Stakeholder Table
In t e r e s t s a n d e x p e c ta t io n s P r im a r y s t a k e h o ld e r s L ik e ly im p a c t
S e c o n d a r y s ta k e h o ld e r s
b) The Influence and Importance Matrix (Figures 2. as thoroughly as possible. see the references in Appendix E for some suggestions. Here we will look at three commonly used tools which in one form or another can be used in every context. Consider the potential impact of the project on the identified stakeholders. • influence is the power which stakeholders have over the project. Assess the Influence and Importance of Stakeholders. ‘Non-timber product ’ or the ‘Youth Service’ ii. Distinguish Primary from Secondary stakeholders. each stakeholders’ interests (hidden or open) in relation to the potential project. ‘Key’ stakeholders can influence or are important to the success of a project. Note some stakeholder may have several interests.6) i. a) The Stakeholder Table (Figures 2. iii. Figure 2. Avoid using words like ‘the community’ or ‘the Local Authority’. Identify.5). group or organisation) persuade or coerce others into making decisions or doing things?
.2 and 2. that is. many different tools to help us to analyse stakeholders.Carrying out a Stakeholder Analysis
There are many. Be more specific. for example.or ?).
B and C are the key stakeholders of the project . but whose interests are not the target of the project. Combine influence and importance on a matrix. Quadrant B Stakeholders of high importance to the project.those who can significantly influence the project or are most important if project objectives are to be met. i. Quadrant C Stakeholders with high influence. who can therefore affect the project outcomes. the risk may constitute a ‘killer assumption’. but with low influence. Position stakeholders in relative terms by using the matrix. These stakeholders may be a source of risk.e. It can help doing this a team exercise. They require special initiatives if their interests are to be protected. but who are also of high importance for its success.
importance is the priority given by the project to satisfying the needs and interest of each stakeholder. one that means it is too risky to go ahead with the project at all. Quadrant D Stakeholders in this box are of low priority but may need limited monitoring and evaluation. These stakeholders may be able to ‘block’ the project. and if this is probable.3 Influence / Importance Matrix
Low Importance Low Influence High Influence
Quadrants A. Figure 2. They are unlikely to be the subject of project activities and management. Quadrant A Stakeholders of high importance to the project. Project managers and donors will need to construct good working relationships with these stakeholders to ensure an effective coalition of support for the project. relationships will be important and will need careful monitoring.
We have therefore made the context fictitious. This will help you to see how the tools link together. We have removed some of the detail to make it more useful as a training case study. The Participatory Forest Management (PFM) case study is based on a typical project in Central Africa. Throughout these notes we have used one case study to illustrate the stages in the logframe approach. we call the country Nkonia and the province Chimbe. The PFM project involves the Government of Nkonia working with donor support to develop innovative and sustainable mechanisms by which forest resources can be managed and the livelihoods of poor forestdependent communities sustained and improved. Collaborative institutions include community based organisations.7) i.4 and 2. Decide which stakeholder groups should participate at what level and when during the project cycle. Remember you cannot work with all groups all of the time. 2.5. sub-county and district local governments and national level agencies. Complete participation can lead to complete inertia! Figure 2.c) The Summary Participation Matrix (Figures 2.
.7 give an example of a Stakeholder Analysis. local councils and landing site committees.6 and 2.4 Summary Participation Matrix
T yp e o f p articip atio n In fo rm C o n su lt P artn ersh ip C o n tro l
S tag e in p ro je ct
Id en tificatio n P lan n in g Im p lem e n tin g & M o n ito rin g E valu atio n
A note on the Participatory Forest Management (PFM) case study Figures 2.
arable land. market outlets for mats. resources and support Concerns about devolved power and budget commitments but…… Opportunity to address inter-district forest management issues Addressing current community disregard for regulations Biodiversity conservation. new opportunities for ecotourism Achievement of project objectives. baskets. weak governance Access to budget and capacity building. bush meat. bamboo. income Achievement of objectives. available casual labour Regular supplies of forest materials. training opportunities for staff Achievement of decentralisation objectives Capacity building. artefacts Access to commercial timber in forest reserve.-. charcoal. cultural value of the forest Access to raw materials. better use of existing infrastructure and resources. poles. rope.5 Example of an initial Stakeholder Table for the Participatory Forest Management project
Stakeholders Primary stakeholders 1 Landless farmers living inside forest reserve Interests Improved livelihoods through increased access to forest resources and income generating opportunities. ?) +
Farmers living adjacent to the forest reserve
Women non-timber product users 4 Charcoal producers Secondary stakeholders 5 Commercial tobacco farmers 6 7 8 9 10 11 Traders dealing in forest products Commercial timber logging companies Parish Development Committees (PDCs) Assistant Forest Officers (AFOs) District and sub-county Chief Admin Officers (CAOs) District Forest Officers (DFOs)
+ +/+/+ +/? + -/? ? + ?/+ + +
Provincial and National Wildlife Authority
Department of Forestry (within Ministry of Natural Resources and Environmental Affairs) College of Forestry & Wildlife Ministry of Local Government (MoLG) Technical assistance contractor to project Donor
14 15 16 17
+ +/? + +
.Figure 2. extra revenue. brokering stakeholder cooperation. Opportunities for skills development Delivery on objectives. disbursement of funds Impact (+. better trained staff. control of habitat degradation Improved resourcing. fruit Access to raw materials. revenue. access to construction materials fuelwood. cultural value of the forest Improved livelihoods. market outlets Water extraction rights for irrigation. support in decentralised planning Long-term job prospects.
Charcoal producers 5. Donor
. College of Forestry & Wildlife 15. District and sub-county Chief Admin Officers (CAOs) 11. Provincial and National Wildlife Authority 13.6 Influence / Importance Matrix for the PFM project
HIGH IMPORTANCE/LOW INFLUENCE HIGH IMPORTANCE/INFLUENCE
1 2 3 13 15 8 4 5 12 17 9 16 10 11
LOW IMPORTANCE/HIGH INFLUENCE
STAKEHOLDERS 1. District Forest Officers (DFOs) 12. Assistant Forest Officers (AFOs)
10.Figure 2. Technical assistance contractor to project 17. Traders dealing in forest products 7. Department of Forestry (within Ministry of Natural Resources and Environmental Affairs) 14. Commercial timber logging companies 8. Ministry of Local Government (MoLG) 16. Landless farmers living inside forest reserve 2. Women non-timber product users 4. Farmers living adjacent to the forest reserve 3. Commercial tobacco farmers 6. Parish Development Committees (PDCs) 9.
7 Initial Summary Participation Matrix for the PFM project
Participation level Project Stage Identification Ministry of Local Government District Forest Officers Planning Media Assistant Forest Officers Parish Development Committees College of Forestry and Wildlife Traders dealing in Forest products Implementing and Monitoring Donor Media National Wildlife Authority Ministry of Local Government Traders dealing in forest products Women NTP users Charcoal producers Commercial tobacco farmers National Wildlife Authority District Chief Admin Officers Donor National & Provincial Wildlife Authority Chief Admin Officers District Forest Officers District and SC Chief Admin Officers District Forest Officers Assistant Forest Officers Provincial Wildlife Authority College of Forestry and Wildlife Evaluation Donor Media College of Forestry and Wildlife TA contractor Others as necessary Project Steering Committee Chief Admin Officers District Forest Officers Poor forest-dependent farmer representatives Ministry of Local Government Donor Department of Forestry and Project Implementation Unit (PIU) within DoF Poor forest-dependent farmer representatives Parish Development Committees TA contractor Poor forest-dependent farmer representatives National & Provincial Wildlife Authority PIU Department of Forestry Project Steering Committee Department of Forestry Department of Forestry (DOF) Inform Consult Partnership Manage/Control
credibility. perhaps put them temporarily in an extra box ‘Other’. it is a snapshot in time. passion. power. Opponent or Ally. As a result of a deliberate course of action during advocacy work.Stakeholder Analysis for Advocacy
As with any form of stakeholder analysis. for example. For some stakeholders. so the tool needs to be revisited. you may not know whether they are. skills and knowledge? What are the risks and benefits involved?
Adversaries / Opponents Who wants to stop you? Who has power to stop you?
What are their strengths and weaknesses? What are their resources? What will your victory cost them? What will they do or spend to oppose? Misinformation? Force? Tricks? What risks do they represent to you and your allies? How can their power or influence be reduced?
. Stakeholders and their interests will change. accountability. you may move a stakeholder from one box to another e. Constituents Allies Who is directly affected by the current injustice? Who cares enough to take part in the cause?
How will they take part in decision-making? What will they gain if they win? What power or influence do they have? Do they want support in advocacy? What are the risks for them? What their motives? What power or influence do they have? What can they contribute to the effort? How will they take part in decisionmaking? What will they gain if they win? What are the risks for them? How can they best be supported and coordinated?
Audience Primary Audience Who has the authority or power to grant you what you want?
What influences the primary and secondary audience? What influence do you or your allies have with them? How best might they be influenced?
Secondary Audience Who has influence over the primary audience? Who are the gatekeepers?
Internal Stakeholders Who currently within your organisation or coalition could help? Who is familiar with the issue? Who has experience of advocacy in other contexts?
What are your motives for wanting to do advocacy? What competence do you have? legitimacy.g. it will help reveal gaps in knowledge. Used at the start of the process. from being an Opponent to being an Ally.
Figure 3. how and when in the design phase. gaining a better understanding.
. for whatever reason.3. one that needs regularly to be revisited and updated.1 The ‘Filter’ Process
The filter process
Stakeholder Analysis Situation & Options Analysis
Risk and Logframe Analysis
Situation and Option analysis help in: • Gaining a better understanding of the context and underlying issues • • • • • Building stakeholder ownership and consensus Ensuring fit with macro policies and objectives in the PRSP and CAP Identifying and analysing the size and real causes and effects of a problem Establishing and prioritising the options and the way forward Helping establish an effective coalition of implementers.
SITUATION AND OPTIONS ANALYSIS
We have seen that Stakeholder Analysis is an iterative tool. The process will help to identify who needs to be involved. They add to the overall mechanisms for filtering embryonic concepts. Situation and Option analysis is a process and basket of tools central to the design of any initiative. and refining – and ultimately rejecting proposals that. The sequence given here may not always apply. building stakeholder ownership. judge for yourself the best route to fit the context. steps may overlap or be repeated iteratively. With the right stakeholders on board. focus now turns to analysing the situation and prioritising the way forward.
The process includes a series of steps and a basket of various tools. are inappropriate.
g.6): • • • • • • • • • • Research PLA – participatory learning and action fieldwork Initial stakeholder meetings or workshops Livelihoods analysis Social and gender appraisals Institutional appraisal Economic and Financial appraisals Technical appraisal Environmental appraisal SWOT analysis . or give the participation and ownership needed. opportunities and threats
At this point. by raising expectations inappropriately) and unlikely to result in collective learning by the right stakeholders. weaknesses. possibly harmful (e. a common response is a groan at the length of the list (itself by no means comprehensive) and the time involved. include an Inception Phase when many of these and other planning activities can happen involving a wider spectrum of stakeholders. To carry out all these activities extensively would be time-consuming. at so-called ‘analysis paralysis’. Depending on the concept being considered. Step 2: Appraisal activities Previous work is unlikely to tell the full story. Whichever way is chosen.strengths. probably pointless. expensive. The purpose is not to know everything but ‘optimal precision’. once approved.5 for some examples of processes and data to draw on. some key initial questions are:
. Most initiatives. See Figure 1. Step 3: Problem analysis Developing a Problem Tree is one way of doing problem analysis. appraisal activities carried out or commissioned may include (see also Figure 1. building capacity and ownership in the process. At this pre-approval stage. the purpose of appraisal activities is to develop a relationship of mutual respect and agreement between key stakeholders and to reach a position of collective understanding of the underlying issues and problem so that they can move onto the next stage.Step: 1 Review of previous analytical work A first stage is to review the process and output of relevant analytical work that has already happened.
• • •
Whose problem is it? Who is involved in the analysis? Whose perception of the problem is being represented?
This is an exercise that usually needs to be repeated with different stakeholder groups. When ideas for issue dry up and stop. just scatter the postits on the flipchart. but it is risky. but may need available pests rewording. Note that a problem is not the absence of a solution. • Identify and agree the focal problem. you can get tangled up. often very different pictures of the situation emerge. but an existing negative state. • Participants brainstorm issues around a problem(s) as yet Defining a Problem unidentified. • Sort the remaining issues into causes and effects of the problem. pens and 2”x2” post-its (or small card and tape). Figure 3. question. Two methods: Method 1: Brainstorming This method can be more creative. Each issue is recorded on a separate post-it. It is probably there No pesticides Crops infested with on the flipchart.
. A problem is not an existing the absence of a Don’t stop and think or negative state solution but….2 The Problem Tree
Addressing the effects identifies the indicators
Turning the problem into a positive statement gives the purpose or goal for the intervention Addressing the causes of the problem identifies outputs and activities
Start with a blank sheet of flip chart paper.
For more on Visioning see Chapter 4 of DFID (2002) Tools for Development www. Write this on a post-it and place it in the middle of the flipchart. • Now develop the direct causes (first level below the focal problem) by asking ‘but why?’. so there will be useful ideas here for potential indicators of progress. What was the focal problem now becomes a key objective for addressing the problem. rather than thinking in terms of negatives and obstacles. Finish by drawing connecting lines to show the cause and effect relationships. physical. Above. look forward. in a post-conflict context where participants find analysis of the problem painful.se/shared/jsp/download.gov. It seeks to make change management in whatever context. think of existing positives and strengths. Participants imagine a desired situation in the future.pdf&a=23355
.sida. Some facilitators and participants prefer to skip Step 3 the Problem Tree and move directly on to an Objectives or Vision Tree. It starts not with people’s problems but with their multifarious assets. discussed further later).3 for a problem tree for the Participatory Forest Management project. which often fosters a culture of blame.• •
Cluster the issues into smaller sub-groups of causes and effects building the tree in the process.3. human. Continue with 2nd. 3rd and 4th level causes. Also SIDA (2006) Logical Framework Approach – with an appreciative approach www.pdf). taking ’what is’ as a platform for ‘what might be’. See the top half of Figure 3. Instead of looking back. (this Focal Objective is placed in the centre of the flipchart. See Figure 3. Below what was the focal problem.dfid. social. concentrating rather on what works rather than what’s wrong. Tear up.16
Visioning belongs to what is sometimes called the Appreciative Enquiry (AE) approach that has its origins in organisational development. • Repeat for the effects above the focal problem instead asking ‘so what?’. are related objectives for addressing the problem. The Sustainable Livelihoods approach is build on appreciative enquiry principles. each time asking ‘but why?’.jsp?f=SIDA28355en_LFA_web. • Participants first debate and agree the focal problem. an affirming exercise exploring and creating possibilities through constructive and collaborative dialogue. Step 4: Objectives analysis Reformulate the elements of the problem tree into positive desirable conditions. Going directly to an Objective Tree can be particularly useful.uk/pubs/files/toolsfordevelopment. re-word and add post-its as you go. What would result from achieving the situation? (placed above). (In logframe terms it may be the Goal or Purpose. It moves away from deficit language into an appreciation of what works well. It rejects a problem-solving approach of identifying weaknesses. financial and natural. if the problem is addressed one would expect to see changes in the effects. • Draw connecting lines to show the relationships. for example.
Method 2: Systematic Better suited to the more systematic and methodical.) What is needed to achieve that situation? (placed below the Focal Objective).
Little revenue from forestry
Degrading forests resources
Unregulated hunting of fauna
Weak institutional framework
Forestdependent communities feel no ownership
Weak planning and low investment
No fora for wide stakeholder representation
Limited capacity of community and local government
No coherent multi-district plan
National policy not evidencebased
Illegal commercial timber extraction
Weak regulation and enforcement
Forestry and other government staff lack competence
Low priority in planning and budgets
Lack of dialogue between district LGAs
Lack of knowledge on forest status and resource utilisation
Compare the problem and objectives trees to see how they relate together.3 An example of Problem and Objectives Trees for the PFM project
Conflict within forest dependent communities
Worsening livelihood indices
Declining product status
Low morale amongst forestry staff
A problem tree
Declining political profile of forestry
Fewer livelihood options for poor and vulnerable
Decline in biodiversity
Little access for the marginalised to forest resources
Unsustainable forest product harvesting practices
Lost opportunities e.g.Figure 3.g.
Conflict resolution within forest dependent communities
Improving livelihood indices
Improving forest product status
Strong morale amongst forestry staff
An objectives tree
Increasing political profile of forestry
More livelihood options for poor and vulnerable
Stable or improving in biodiversity
Access for the marginalised to forest resources
Sustainable forest product harvesting practices
Opportunities taken e. in tourism
More revenue from forestry
Effective participatory forest management
Regulated hunting of fauna
Effective institutional framework
Forest dependent communities feel ownership
Strengthened capacity of community and local government
Coherent multi-district plan in place
Evidencebased national policy
No illegal commercial timber extraction
Improved planning and investment
Fora for wide stakeholder representation
Competent forestry and other government staff
High priority in planning and budgets
Dialogue between district LGAs
Sound knowledge on forest status and resource utilisation
Active regulation and enforcement
gender issues. Key factors here could include17: • • • • • • • • • • •
Degree of fit with PRSP and CAP What other stakeholders are doing The experience and comparative advantage of your organisation. who carries social costs Environmental criteria – what the environmental costs and gains? Technical criteria – appropriateness. capacity building. cost effectiveness
Based on Sartorius. R. market factors Institutional criteria – capacity.Step 5: Options analysis The objectives immediately below the Focal Objective of the Objective Tree in effect summarise the Options Figure 3. use of local resources. technical assistance Economic criteria – economic returns. socio-cultural constraints.4 Options Analysis
Use objective criteria to analyse which objectives ‘root’ to prioritise
•Degree of fit with higher plans •What are others doing? •Experience and comparative advantage? •Costs? Who carries them? •Benefits to whom? Poverty focus? •Risks and assumptions? Who is at risk?
•Feasibility? •Social criteria •Technical •Institutional •Economic & Financial •Environmental
Effective participatory forest management
Regulated hunting of fauna Effective institutional framework Forest dependent communities feel ownership Strengthened capacity of community and local government Competent forestry and other government staff Coherent multi-district plan in place Evidencebased national policy No illegal commercial timber extraction
Improved planning and investment Fora for wide stakeholder representation
High priority in planning and budgets
Dialogue between district LGAs
Sound knowledge on forest status and resource utilisation
Active regulation and enforcement
Agree with participants the criteria for assessing the various options. donor and partners What are the expected benefits? To whom? What degree of poverty focus? What is the feasibility and probability of success? Risks and assumptions? Who is carrying the risk? Social criteria – costs and benefits. (Social Impact) in DFID Tools for Development
it has been decided. For example: Figure 3. More on this later.
It can be useful at this or an earlier later stage to repeat Steps 3 and 4. Step 6: Later . Effective institutional framework 2.•
Financial criteria – costs. In which case. Improved capacities 3. financial sustainability. cashflows. Evidence based national policies
Effective Improved institutional capacities framework
PFM plan in place and operation
. they remain risks to our planned project and will need to be managed. What then happens to options which you decide NOT to address? (In the example in Figure 3. and these root causes to the orginal problem are serious.5 Linking with the logframe objectives
Improved livelihoods of poor forest dependent communities
Impact / Goal
Improved livelihoods of poor forest dependent communities
Outcome / Purpose
Effective participatory forest management Effective participatory forest management
Evidence based national policies 1.Link into the Logframe This step is premature. try doing another problem tree taking the most likely option. We will return to this later. not to focus on unregulated hunting of fauna and illegal commercial timber extraction. foreign exchange needs. If no one will be addressing them. for ‘Increased demand for in farm use. the reason for showing it here is that the Option Tree links with the first column of the logframe. It may be that first time the focal problem was pitched at a high.4.) It may be these options are being addressed by others in parallel with your project (in which case there will be need for dialogue with those invoved). for whatever reason. PFM plan in place 4. general level.
and ultimately to disharmony and aid ineffectiveness. for outsiders applying to grants funds? etc) • how the framework is used in reporting and whether it is used in performance scoring. inception • whether its use is mandatory in the design and approval process and if so: . An example of this is the OECD/DAC – MDBs Joint Venture on Managing for Development Results18.
The basic structure of the logframe
The logframe is in effect a series of 16 questions asked in a logical sequence.for whom it is mandatory (for agency staff?. A much more harmonised approach to the use of the logframe and to project design as a whole is emerging.for all or only some aid types (development? humanitarian/ emergency?) . Inevitably many variants have emerged of the tool and how it is used. there is variation within and between agencies in aspects such as: terminology the format of the framework itself the degree of completeness required of a logframe at different stages of the project cycle.at what commitment value level .org/
. including multilaterals (such as the UN agencies.mfdr. international financial institutions and European Union). approval. since then its use quickly spread in development work and in private and public organisations. format and application. Today it is used by almost all international development organisations. bilateral donors and international and national non-governmental organisations (NGOs).
THE LOGFRAME MATRIX AND HIERARCHY OF OBJECTIVES
Origins and variants of the logframe
The logical framework was developed in the late 1960s. Progress in harmonisation is particularly apparent since the Paris Declaration on Aid Effectiveness in March 2005 as partners seek to fulfil their Paris commitments. There has however been a significant shift in recent years towards harmonisation of approach. Thus a plan could be developed with an
See OECD (2006) Emerging Good Practice in Managing for Development Results. concept.4. Remember that in some contexts it may be entirely appropriate to throw away the matrix itself and simply use the 16 questions to facilitate a stakeholder group through designing a plan.
• • •
This variation has been the cause of considerable confusion and frustration. www.
We shall be examining each column in detail. cover the main aspects of Project Design. the remaining two columns. Columns 2 and 3. REVIEW & EVALUATION Indicators/ Targets Data Sources
The Columns • Column 1 is the Hierarchy of Objectives. but for now to introduce in turn: Figure 4. Sometimes (and less logically) this is headed Risks. Columns 1 and 4.illiterate primary stakeholder group which then subsequently could be captured in narrative and / or logframe form.1 shows the essential logframe structure of 4 columns and 4 rows. Figure 4.1 The structure of the logframe matrix
PROJECT DESIGN Hierarchy of Objectives
MONITORING. cover Monitoring Review and Evaluation. sometimes called the Narrative Summary. worse Risks and Assumptions are mixed
. or the Design Summary • Column 4 is the Assumptions – the conditions needed to achieve the objectives. Two columns.
natural. long-term change is the Impact. cultural etc.•
Column 2 is the Indicators / Targets – the measures of progress in achieving the objectives. what those activities will deliver (the Outputs) and the measures by which activities and outputs will be judged (the Indicators / Targets at Activity and Output levels). These issues are summarised in the right half of the logframe.) which can affect success or failure. the Outcome or Purpose Row 3. the Activities. Both the project and the benefits of the project are happening within a context. in effect. This quadrant represents the limits or boundaries of the Project in the sense the Manager has power and management control over everything inside it. A separate budget itemising inputs and costs will be appended as a separate document. the Outputs Row 4. Column 3 is the Data Sources that specify where (usually in the form of documents). institutional. The immediate change is the Outcome. the Impact or Goal Row 2. the data relating to the indicators will be found. what the project team will be doing (the Activities). The top left quadrant summarises the benefits. the wider. 4. political.
Sometimes you sometimes see a higher row at the top for SuperGoal. Sometimes this is headed Means of Verification or Evidence. This is best avoided. It over-complicates the logframe. the beneficial change that the project is seeking to bring about. Sometimes there is a lower row at the bottom for Inputs. This quadrant. social. 2 and 3) for this is the sequence in which the logframe is drafted. an external environment (financial.
The Sequence The order above is deliberate (columns 1. summarises the Terms of Reference of the Project Team and specifically the Project Manager. The Rows The matrix usually includes 4 rows which relate to the various levels of Objective: • • • • Row 1. Three parts to the logframe • The bottom left corner or quadrant of the logframe captures the Project itself. Sometimes this column is called the Objectively Verifiable Indicators or Performance Indicators.
3).2 summarises the process of drafting a logical framework. this in turn can inform the drafting of an Objectives Tree (also Figure 3. This will be a key document for project planning.3) that depends on a hypothesis. In effect these draft objectives now inform Column 1 of the logframe.It is a key principle of the logframe that Outputs are deliverable. it does not always work as neatly as this! But the sequence of tool documents will provide clear ideas for what now needs to go into Column 1 and at what level. refer to Figure 3. and Outcome and Impact are not. The Hierarchy of Objectives is a results-chain (see Figure 1. presenting a series of possible solutions to address the original problem.
. This results in the identification of prioritised draft objectives which need to developed further in design. A typical sequence of tools would be to analyse a problem using a Problem Tree (see Figure 3.
A summary of the logframe process
Linking analysis with hypothesis in the hierarchy of objectives
We start with the Hierarchy of Objectives. Possible solutions then need to be ‘interrogated’ or prioritised using objective criteria in the process called Options Analysis (see Figure 3.3). Refer to this summary as you work through the various steps in drafting a logframe matrix. Thus: If I get up at 7am Then I will get to the 9am meeting on time
But in making this hypothesis I am making assumptions: that the bus will be on time.5. As was emphasised previously. Objectives Analysis and Options Analysis. a prediction about a cause and effect relationship involving uncertainty. In the previous chapter we examined Situation Analysis. that there isn’t unusual traffic congestion etc.4).
Step 1 Define the Goal / Impact
What is the wider sector or programme impact you want to contribute to? What overall need or problem are you trying to address? The goal does not change. Avoid mixing Assumptions and Risks. what conditions are needed to deliver the Outputs?
Step 5 Check the vertical logic
Use the If/then test to check cause and effect. the project team will be directly accountable for the outputs.
With the Outputs delivered.
What conditions need to hold for Activities to be done?
Step 6 Define the assumptions at each level
Do a robust risk analysis to determine the Assumptions in the project design. will we deliver the Outputs? And so on up columns 1 and 4. Manage the risks by adding mitigatory measures planned within the project to Column 1 (mainly as Activities. objectives and options analyses.
Purpose / Outcome
With the Outcome achieved. It is affected by other factors outside the project. If the given activities are carried out.
Goal / Impact
Overall goal hypothesis
What conditions are needed to sustain benefits at Impact / Goal level?
Do a robust risk analysis. will the stated output result? And so on up Column 1. what conditions are needed to contribute to the Impact / Goal?
Step 3 Define the Outputs
What will be the measurable end results of the planned activities? What results will the project be directly responsible for? Given the necessary resources.
Objectives Indicators/ targets Data Sources Assumptions
Step 7 Re-check the design logic e. For each risk.2: Summary of the Logical Framework process
Prior Steps Use appropriate and
proportionate processes before starting on the logframe itself e. what conditions are needed to achieve the Purpose / Outcome?
Step 4 Define the Activities
What will actually be done to achieve the outputs? This is a summary presentation showing what needs to be done to accomplish each output. identify risks by asking what can stop success. problem. A group of projects may share a common goal.
. The conditions that remain are the Assumptions in Column 4.
At each level. possibly as an Output).g stakeholder.
Step 2 Define the Purpose / Outcome
What is the rationale for what is planned? What outcome do you hope to achieve? How will development conditions improve on completion of the Outputs? The purpose often relates to how outputs will be used or implemented? Limit the Purpose / Outcome to one succinct statement. and identify mitigatory measures. evaluate its seriousness and probability.g if the
conditions are in place and we do the activities.
With the Activities completed. Move on to Step 8 overleaf.Figure 4.
Step 8b Outcome data sources
What evidence will be used to report on Outcome changes? Who will collect it and when?
Step 8c Output indicators / targets
What will indicate whether the Outputs have been delivered? What will show whether completed Outputs are beginning to achieve the Outcome? These indicators / targets define the terms of reference for the project.2 continued
Step 8 Define the Performance Indicators and Data Sources / Evidence
Complete both columns together Indicators are means. outputs from data collection. what will indicate whether the Purpose/Outcome has been achieved? This is the key box when the project is evaluated on completion. Targets are ends.
Step 8a Impact data sources
What evidence will be used to report on Impact changes? Who will collect it and when?
Step 8b Outcome indicators / targets
At the end of the project. Some reliable sources may already be available. Quantity and Time. Evidence is usually in the form of documents. Include data collection planned and resourced in the project as Activities in Column 1. attached documents 37
. even if only early signs.
Do not include too much detail in the logframe. Set Indicators and Targets in terms of Quality. only set Targets when there is enough baseline data and stakeholder ownership.
Step 8c Output data sources
What evidence will be used to report on Output delivery? Who will collect it and when?
Step 8d Activity indicators / targets
What will indicate whether the activities have been successful? What milestones could show whether successful Activities are delivering the Outputs? A summary of the project inputs and budget will also be one(but not the only) entry here?
Step 8d Activity data sources
What evidence will be used to report on the completion of Activities? Who will collect it and when? A summary of the project accounts will be one (but not the only) entry here. Start by defining Indicators. A detailed workplan and budget will follow as separate.Figure 4.
Indicators / Targets
Step 8a Impact indicators / targets
What will indicate the impact changes that are happening / will happen to which the project has contributed? Include changes that will happen during the lifetime of the project.
the ‘Greater WHY’.
.Drafting the hierarchy of objectives
Figure 4. E. Improved Activities livelihoods of forest dependent people. The Goal is the higher order Figure 4.Define the Impact or Goal
Goal is synonymous with positive Impact.4 Asking the right objective. it expresses the justification. of what is HOW HOW HOW HOW HOW planned.3 The Hierarchy of Objectives Objectives Impact / Goal: The higher mid-to long-term beneficial change to which the project contributes The Greater Why? Outcome / Purpose: The specific and immediate beneficial change the project will achieve The Why? Outputs: The deliverables of the project or the terms of reference The What? Activities: The main activities that must be undertaken to deliver the outputs The How? Indicators / targets Data Sources Assumptions
Step 1 . the longer term development objective or beneficial change that the project will contribute to. Some progress towards the Goal W HY Purpose/Outcom e should be measurable during the lifetime of the project. you see either term used in logframes. Use Greater W HY Im pact/Goal only one Impact / Goal statement. The Goal defines the overall “big picture” need or problem being W HAT W HAT W HAT Outputs addressed.g.
g. It needs to be clearly defined so all key stakeholders know what the project is trying to achieve during its lifetime. Whoever will be approving the project proposal. The project may be ‘delivering’ the water. should be focusing their challenge on. Have only one succinct Outcome / Purpose. They can be thought of as the Terms of Reference for project implementation. The Purpose (together with its associated indicators) describes the specific and immediate outcome of the project. 39
. Step 3 . Don’t have the Purpose unrealistically remote from the Outputs.Step 2 .g. don’t set them so close when. a purpose can only be positive. or they are lower order outputs. The ‘gap’ between Outputs and Outcome / Purpose represents ambition. a WHY statement. and seeking justification for. more could be achieved. the deliverables in the control of the project manager. conversely. The Purpose usually expresses the uptake or implementation or application by others of the project’s Outputs. When setting the Purpose. or your multiple purposes are in fact outcome indicators of a single purpose as yet unphrased. hence it cannot be fully within managerial control. The manager can best exert influence over Purpose achievement by maximising the completeness of delivery of the Outputs and mitigating against risks to the project. but you can’t make it drink’. Knowledge and Information.e. in reality. nouns and usually include Human Capacity. ‘You can take a horse to water. How ambitious you are. but it cannot control the behaviour of others outside the team (the horse). indicators). fully within the project manager’s control. on the feasibility of what you are trying to do and the likelihood others outside managerial control will change their behaviour. Materials. Systems.Define the Outcome or Purpose Purpose is more or less synonymous with Outcome except you can have a positive or negative outcome. The Outcome or Purpose should not be entirely deliverable. typically it describes the change of behaviour resulting from the uptake or use or implementation by others outside the project team (often the beneficiaries) of the Outputs. It will depend on stakeholders’ actions and assumptions beyond the control of the project manager. If you think you have more.Describe the Outputs The Outputs describe what the project will deliver in order to achieve the Purpose. They are the results that the project must deliver. then it should be an Output. avoid phrases like ‘by’ or ‘through’ or ‘in order to’ or ‘so that’. The Purpose / Outcome is not simply a reformulation of the Outputs. depends on the context. They are confusing and usually mean the Purpose includes objectives at more than one level. This detail will more appropriately be in other boxes of the logframe (e. The integrated management of Chimbe’s forest resources. So we aim for the Purpose to be achieved but this cannot be guaranteed. If it is deliverable. E. i. then you may need more than one logframe. Outputs are things. The Purpose is a justification. Infrastructure. The Purpose or Outcome is the immediate change in development conditions on completion of the Outputs. the causal link between Outputs and Purpose.
Awareness. E.g. a). Effective institutional framework; b). Capacities in local government and communities improved; c) Integrated forest management plan in place and operation etc. This is discussed further in Table 4.1. Typically there are between 2 – 8 Outputs; any more than that and the logframe will become over-complicated. Step 4 - Define the Activities The Activities describe what actions will be undertaken to achieve each output. Activities are about getting things done so use strong verbs. E.g. Establish… Develop… Step 5 - Test the Logic from the bottom to the top
When the four rows of column 1 have been drafted, the logic needs to be tested. Use the IF/THEN test to check cause and effect. When the objectives hierarchy is read from the bottom up it can be expressed in terms of: If we do these Activities, then this Output will be delivered. If we deliver these outputs, then this Outcome/Purpose will be achieved If the purpose is achieved then this will contribute to the Impact/Goal.
Figure 4.5 Checking the IF-THEN
IM P A C T / G O A L
O U T C O M E
O U T P U T S
D eliver Then The IF/THEN logic can be further tested by applying what’s sometimes called the Necessary A C T IV IT IE S If and Sufficient test. At each level, ask are we doing enough or are we doing too much for delivering, achieving or contributing to the next level objective? As you test the logic, you will be making assumptions about the causal linkages. We will be looking at this in more detail shortly.
A simple example: Building a playground swing
Figure 4.6 gives the first column for a project to build a playground swing. • • The overall Goal is an Integrated community with happy kids and adults. To contribute to this Goal the project aims to achieve Kids having fun being busy and safe.
In order to achieve this the project team will take direct responsibility for Building the capacity within the community to manage the building and maintenance of the swing and the building of A safe, well-built swing. To deliver these outputs, 2 sets of cross-referenced activities are planned.
Figure 4.6 Hierarchy of Objectives for Building a playground swing
Objectives Goal/Impact Integrated community with happy kids and adults Purpose/Outcome Kids have fun, are busy and safe Outputs 1. Capacity within community to manage the building and longterm maintenance of the swing 2. A safe, well-built swing Activities 1.1 Establish community committee and undertake lobbying required 1.2 Set budget 1.3 Raise funds 1.4 Set up systems for maintenance 2.1 Consult kids 2.2 Design it 2.3 Get planning permission 2.4 Commission builder 2.5 Build it 2.6 Test it 2.7 Safety inspection on completion 2.8 Carry out user survey and participatory evaluation with the kids Contribute
Note the language: • Outputs are delivered; the team has control and responsibility over Activities and Outputs • The Purpose / Outcome is achieved; the team does not have managerial control at this level but the designers are responsible for there being a strong casual link between Output and Purpose/Outcome levels. • The project contributes to the Goal/Impact; the objective at this level may be shared with other projects and programmes. Note also the boundary of the project between Output and Purpose/Outcome levels. Remember the proverb You can take a horse to water but you can’t force it to drink. In logframe terms a project may providing water facilities for a horse as an Output within project manager’s control. But whether or not the horse drinks is
outside the manager’s control; there is the assumption that if water is provided the horse will drink; the causal link is strong. Likewise with the process Output (#1. The Capacity) and the product Output (#2. The Swing) are within the manager’s control; the children using the swing (the Purpose/Outcome) is not. The logic of the design relies on the causal link between the two levels.
A second example; Participatory Forest Management in Chimbe
Study Figure 4.7 which is for the same Participatory Forest Management case study started in Chapter 2. Note how this interlinks with the Problem and Objective Trees (Figure 3.3) and Options Analysis (Figs 3.4 & 3.5). Figure 4.7 Hierarchy of Objectives for Participatory Forest Management
Objectives Impact / Goal: The livelihoods of poor forest dependent communities sustained and improved Outcome / Purpose: Effective participatory management of forest resources in Chimbe Province Outputs: 1. Effective national and district institutional and operational framework for PFM established. 2. Capacities of communities and government improved to participate in participatory forest planning and management. 3. Provincial participatory forest management plan developed and agreed by stakeholders at all levels and in operation. 4. Evidence based national and district policies. Activities: 1.1 Collect baseline data. 1.2 Awareness raising. 1.3 Establish Institutional Development Working Group. 1.4 Establish partnerships with existing institutions. 1.5 Review current policies. 1.6 Review funding mechanisms. 1.7 Identify service providers. 2.1 Carry out Training Needs Assessment. 2.2 Develop and implement a training programme for key stakeholders 3.1 Develop community action plans. 3.2 Develop criteria for PFM support. 3.3 Develop overall PFM plan. 3.4 Implement following agreed plan and process 4.1 Establish joint data taskforce and Strategy. 4.2 Conduct baseline studies
“so that”.g. Relevant.: Assets of rural communities enhanced through more equitable. “to”. in effect at a later stage. Measurable. Each objective should be at one level and one level only Remember to avoid phrases like: “in order to”. ‘Contamination’ of Objectives This is particularly a problem at Purpose / Outcome level. Leave the specifics to the indicators. Achievable. The sentence includes two objectives at different levels linked by the word through. For example. “by” etc. NOT at Activity level. It includes both means (more equitable. but see if there is a place for them as objectives or indicators up or down the hierarchy. Column 2 will make Column 1 SMART. Time-bound). iv. • To promote child survival.Key points in drafting the objectives
Logframes often show weaknesses in the first column design. efficient and sustainable use of forest resources.
ii. Remember to limit the Purpose / Outcome to one succinct statement. As you will recognise. Express results (outputs. “through”. in effect you are adding a supplementary objective (or indicator). Start at the top. Start with the Impact / Goal. iii. • Young children are alive. physical and psychological development Change ge language describes changes in the development conditions: e. well nourished and active learners. to ‘business as usual’.g. these contaminate your objective. continuing what has always been done. healthy. Starting with Activities will lead to stale thinking. outcomes and impact) in ‘Change’ language rather than ‘Action’ language19 Use ‘Change’ rather than ‘Action’ language Action language expresses from the provider’s perspective: e. Some key points: i. v. Don’t discard your ideas. Express objectives in general terms Do not at this stage make objectives SMART (Specific. efficient and sustainable use of forest resources) and ends (assets of rural communities enhanced).
Adapted from UNICEF (2005) Understanding Results-based Programme Planning and Management
. the latter a possible Goal/Impact. not at the bottom Begin with the big picture at Goal / Impact level. you are putting 2 levels into one box. In this example the former may be a possible Purpose/Outcome.
For example laws are the prerogative of government. Make sure that whoever owns the logframe has the sovereignty to deliver the Outputs. the Terms of Reference of the manager over which the manager has power and control.1 Categories of Outputs Human Capacity of specific individual or groups to • • • • • • • • • • • Facilitate Research Human Resource Management Management Procedures and guidelines Monitoring and Evaluation Procurement and Contracting Lessons learned Policy initiatives Clinics Computers • • Systems for • • • • • • • Infrastructure • • Classrooms Rural roads Administration Managing Information Research Reporting Promotion and dissemination Research findings Good practice Identify needs Develop policy
Knowledge and Information
. strategy of the management board. This is most important between Output and Purpose/Outcome levels. The Outputs should not be outside the owner’s control.vi. Remember this gap represents your ambition. viii. Ensure that the gap in logic of cause and effect between the levels of your objectives is not too great (or small!) a leap of faith. then it’s an Output. They are like promises. There are a number of categories that Outputs generally fall into: Table 4. Similarly the Purpose / Outcome should not be within the owner’s control. the difference between what you are planning to put in place and the benefit that will result. Make sure that your Outputs really sound like the things that the team is guaranteeing to put in place and that (hopefully) will remain after the initiative is finished. if it is. vii.
Categories of Outputs
Outputs describe WHAT the project team will put in place in order to achieve the Purpose/Outcome.
Materials • • • • • • Extension materials Training materials / curricula Documented procedures Users Secondary Stakeholders Voters and taxpayers • • • • • • Research publications Broadcasts and film Databases and websites Policy makers Donor community Researchers
Awareness and consensus of
. and responses that can move forward good practice. Table 5. They provide the detail and indeed the credibility to the overall logframe design. they are the "glue" that binds together the hierarchy of objectives in the matrix and the “if-then” cause and effect relationships between them. Often these revolve around the perceptions of staff.1 Perceptions and response in risk management Perceptions blocking progress Responses Poor practice Good practice
Risk analysis is seen as an addon. An assumption on the other hand is a necessary condition for the achievement of objectives at different levels.
It should be an integral core of what we do. There are a number of common perceptions blocking progress.5. an awareness and competence in risk management and a willingness to take risks where the circumstances are appropriate. So it is essential that risks are identified in planning and that a risk management plan is built into the overall design process and implementation management. it’s done mechanically because it’s a mandatory procedure. Assumptions describe the conditions which need to exist for the cause and effect relationship between the different objective levels to behave as expected. in so doing. Risk is not inherently undesirable. Risk management provides the opportunity to anticipate and specify reasons why a project may not work out as intended.1 gives some of the obstacles to fostering a healthy risk culture. The important point is not necessarily to avoid risks but to plan for them by identifying and assessing them and allocating time and resources to manage them for example by monitoring and mitigation. which in turn result in poor practice. As such. risks can present positive opportunities for securing substantial benefits in a project. Table 5. Every project involves risk.
RISK ANALYSIS AND MANAGEMENT
Definitions and concepts
A risk can be defined as a potential event or occurrence that could adversely affect achievement of the desired objectives. It should serve as a challenge function to interrogate our thinking. they judge that the gains may be great. Some organisations have a high risk appetite or tolerance. in the right circumstances they are prepared to take risks because. Ultimately the rigour and robustness of the risk plan will be the foundation for the recommendation to approve the proposal and invest in a project.
Creating an organisational ‘risk culture’
Development organisations are placing considerable emphasis on creating a risk culture.
What data is there? How reliability is the data? COSTS? What are the likely costs? Social? Financial? What are they and who bears them? The already vulnerable? GAINS? What are the gains from going ahead? MITIGATION? What can be done to improve any or all the above?
. It needs regular tracking and review.
The key questions
So what are these ‘few basic questions’? Table 5. And then to design effective mitigatory measures. key ‘mission critical’ risks.
It’s not difficult. It’s just done internally. It involves just a few basic questions. it’s done and never revisited. Strong analysis is needed to identify the few. Potentially it’s a key tool for broader project ownership and political buy-in.
A long list of risks will impress.•
It’s seen as too difficult.2 Key questions to ask in risk analysis
What is / are the: IMPORTANCE? What is the importance of the risk? This in turn depends on:
What is the HAZARD itself? Scale? Seriousness? What is the VULNERABILITY to the hazard? of the poor? of the project?
PROBABILITY? What is the likelihood of it happening.
Once the Risk Analysis is done.
for example o The stakeholder analysis may identify a powerful stakeholder whose interests are not being met and who may be negatively impacted on by a project o A poverty and social impact analysis may suggest social risks that need to be factored into the design o A feasibility study may highlight technical and economic risks o An institutional analysis may suggest structural.4 it was decided not to address Illegal commercial timber extraction.)
the estimation of the probability of the risk. risk assessment which involves •
the systematic identification of risks. process or capacity risks in partners o The problem and objectives analyses probably revealed issues that it was decided then through option analysis process would not be addressed in the project. do they remain as a risk? (Thus in Figure 3. What are the risks? Many of the analysis processes and tools already carried out will inform this.Components of Risk Management
Risk management includes two distinct phases: Risk Assessment and Risk Planning. Figure 5. the likelihood it will happen
.1 The risk management process
Monitoring Mitigating Controlling Resourcing
a plan. and associated budget for implementation. These actions will require resourcing. the decision is made to proceed because the benefits are such that the risk is worth taking.3 gives a list of common risk categories and some possible effects. The decision may be made not to approve the project in the light of the risk analysis.•
the evaluation of the importance. we pay a premium in order to transfer the risk on to an insurance company. vulnerability. It may be decided to do nothing other than monitor the risk. The most common way in which we transfer risk is through insurance.
A contingency plan and budget is likely to be an integral part of a project proposal. with details of the measures to be taken if a defined risk should occur. The willing to tolerate risk depends on the appetite for risk. if any.
Secondly. to tolerate the risk. or increase the benefits. Thus hyper. to treat the risk. risks are truly uncontrollable in the sense that nothing can be done to reduce the risk. nearly always something can be done to reduce the probability or the vulnerability or costs. in other words to put in place in the project design mitigatory measures that will reduce the risk. It is not intended to be comprehensive. keeping reserves in hard currency. risk planning which could involve simply monitoring the risk. Alternatively there may be another stakeholder willing and able to accept the risk to the project and/or address it through certain actions. or it may require mitigatory measures to be included in the project design that reduce the probability or importance. to terminate. or indeed may control the risk completely in the sense of removing it altogether.
. Few.g. The four main responses in risk planning are: • to transfer the risk.
Categories of risk
Table 5. Risk will vary with project type and context. This is distinct from resourcing the preventative mitigation of a risk. the hazard. but measures may be possible to reduce the project’s vulnerability to it e. benefits.inflation may seem to be an uncontrollable risk. costs. or speeding purchase processes to minimize time when funds are in vulnerable form. Most risks are treatable in one way or another.
civilservice. pollution Political: e. exchange rates.uk/archive/civil_service_reform/busplan/WORD/Yds. flood.3 Categories of Risks20 External • • • • • • • Infrastructure: transport for staff. Available at www.Your delivery strategy: a practical look at business planning and risk. health and safety legislation Environmental: fuel consumption. power supply. earthquake
Financial • Budgetary: availability and allocation of resources • • • • Fraud or theft: unproductive loss of resources Insurable: potential areas of loss that can be insured against Capital investment: making appropriate investment decisions Liability: the right to sue or be sued in certain circumstances
Activity • Policy: appropriateness and quality of policy decisions • • • • • • • Operational: procedures employed to achieve particular objectives Information: adequacy of information used for decision making Reputational: public reputation of the organisation and consequent effects Transferable: risks that may be transferred. dependency on inter-net and email Economics: interest rates.Table 5. change of policies. or transfer of risks at inappropriate cost Technological: use of technology to achieve objectives Project: project planning and management procedures Innovation: exploitation of opportunities to make gains
Human resources • Personnel: availability and retention of suitable staff • Health and safety: well being of people
Based on Cabinet Office and HM Treasury (2000). change of government.gov. suppliers.doc
. Market: competition and supply of goods and services Act of God: fire. inflation Legal and regulatory: e. business relationships with partners. change of key individuals in partner organisations.g.g.
1 Establish community committee 1.
Narrative Summary Indicators
Taking all the activities needed for Output 1.3 Get planning permission 2. Capacity within community to man age the building and longterm maintenance of the swing 2.1 Establish commu nity committee 1.4 Set up systems for maintenance 2.5 Build it 2.3 Get planning permission 2. Start with the logframe.1 Consult kids 2. A safe. here.8 Conduct user survey & evaluation with kids
Permission given Building firm re liable and capable
‘if we complete these Activities successfully.2 Set budget 1.2 Set budget 1.6 Test it 2.7 Safety inspection on com pletion 2. be busy and safe enhanced
Safe recreation leads to happiness and community integration Facilities don’t create conflict People see the benefit of it Easy m aintenance
1. well-built s wing
No vandalism Kids like and use it Kids don’t fight Enthusiasm and participation maintained Low inflation Sufficient funds ra ised
1. iv.6 Test it 2.Undertaking a risk analysis using a logframe
Step 1 Identify the risks.5 Build it 2. ask the question:
Narrative S ummary Indicators Data sources Assumptions
Birth rate continues
G: P: O:
Integrated comm unity with happy kids and adults Kids’ ability to have fun. ii. well-built swing
No vandalism Kids like and use it Kids don’t fight Enthusiasm and participation maintained Low inflation Sufficient funds ra ised
1. A safe. A safe. Now ask the question:
Nar rative Summary Indicators Data sources Assumptions
Birth rate continues
G: P: O:
Integrated comm unity with happy kids and adults Kids’ ability to have fu n.7 Safety inspection on com pletion 2.5 Build it 2. then what can stop us delivering Output 1?’
These are phrased as risks.8 Conduct user survey & evaluation with kids
‘if we are achieve our Purpose/ Outcome successfully. be busy and safe enhanced
1. Write each risk on a separate postit and place them alongside the first set of Activities in column 4.4 Set up systems for maintenance 2. i. then what can stop us achieving our Purpose/Outcome?’
Permission given Building firm relia ble and capable
Write each risk on a separate post-it and place them alongside the Outputs in column 4. here.7 Safety inspection on com pletion 2. iii.1 Consult kids 2.6 Test it 2.4 Set up systems for maintenance 2. be busy and safe enhanced
Safe recreation leads to happiness and community integration Facilities don’t create conflict People see the be nefit of it Easy m aintenance
1. then what can stop us contributing to the Impact / Goal?’
Permission given Building firm relia ble and capable
Write each risk on a separate post-it and place them alongside the Purpose in column 4.3 Raise funds 1.3 Get planning permission 2.1 Consult kids 2. well-built swing
No vandalism Kids like and use it Kids don’t fight Enthusiasm and participation m aintained Low inflation Sufficient funds raised
1.2 Design it 2. Taking all the Outputs together. Repeat for all the other Outputs taking each Output and its associated activities in turn. with the draft Hierarchy of Objectives (Column 1).3 Raise funds 1.3 Raise funds 1.2 Set budget 1.4 Commission builder 2. ask the question:
Birth rate continues Safe recreation leads to happiness and community integration Facilities don’t create conflict People see the benefit of it Easy m aintenance
G: P: O:
Integrated comm unity with happy kids and adults Kids’ ability to have fun.2 Design it 2.8 Conduct user survey & evaluation with kids
‘if we deliver all these Outputs successfully.4 Commission builder 2.2 Design it 2. Now ask the question: if we successfully contribute to the goal what can stop this impact being sustained in the long-term?’
. Capacity within community to manage the building and longterm maintenance of the swing 2.1 Establish community committee 1.4 Commission builder 2. Capacity within community to manage the building and longterm maintenance of the swing 2. here.
or if you have a Supergoal above the goal ask ‘if we successfully contribute to the goal what can stop us also contributing to the Supergoal?’ Write each risk on a separate post-it and place them alongside the Goal in column 4 top box. Quality/Quantity not being achieved to an acceptable standard or to an acceptable cost. Discuss and agree possible mitigatory measures.
. Risk factor may cause some or all aspects of objectives in relation to Time. You may at this point decide to hereafter disregard insignificant risks.
Adapted from DFID (2004) Guidance on scoring projects and programmes. M or L.4. those that are Low Low. medium or low. Risk factor may lead to some delay. record these on the chart. In a few cases there won’t be any but even with so-called uncontrollable risks. Then discuss each risk in turn:
• • • •
What is its likely importance (Im)? Write H.4 Rating risks for their importance and probability21: Importance can be rated as follows: Low Medium High
Risk factor may lead to tolerable delay in the achievement of objectives or minor reduction in Quality/Quantity and/or an increase in cost. high. v. Even if mitigatory measures are successful. some degree of mitigation is usually possible. Transfer the risk postits from column 4 of the logframe to the left column of the new table. and/or loss of quality/quantity and/or and increase in cost. Step 2 Analyse and manage the risks. What ‘residual’ assumptions are you left with? Record these.
Probability can be rated as follows: Low Medium High
Unlikely to occur or the risk is fully manageable by the project. M or L. Could go either way and the project can have some influence in managing the risk but cannot control it completely. See Table 5. What is its likely probability (Pr)? Write H. it is unlikely you can remove the risk completely. Very likely to occur and the project’s ability to actively manage the risk is limited.2 overleaf. On a separate sheet on flipchart paper draw the table in Figure 5.
As a mitigatory measure. highjacking will not happen’.e. highjacking will not happen
Do these transfer to Column 1 and become extra activities?
Transfer these to Column 4 of the logframe
The Assumptions Column in the logframe
You have identified and analysed the risks.2 Risk analysis table (with example)
Risks Im22 Pr23 Mitigation Assumptions
G P O Highjacking of
aircraft H M Airport security screening of all passengers With effective screening measures in place. determined mitigatory measures and agreed what residual assumptions still hold. They are what remain after the mitigatory measures have been put in place. These are the important conditions that need to hold for the objectives to be achieved.2. Figure 5. Even if done effectively this does not remove the risk altogether. Transfer to your logframe as appropriate: • Your mitigatory measures into Column 1. passengers are now subject to hand luggage and body searches. extra activities. i.
Also as a summary of the whole process. refer to Step 6a-e in Figure 4. You are left with a residual assumption that ‘With effective screening measures in place.An example of a risk. we come to this later). (or the measures may be reflected in the indicators in Column 2.
Your residual assumptions into Column 4.
. the Importance probably remains unchanged. mitigation and an assumption
Highjacking is a risk in civil aviation. the Probability may be reduced from Medium to Low.
Benefits of PFM are captured by elites at community and household levels.
stakeholder involvement at all levels in Inception L Phase and thereafter. Timely implementation by appropriate bodies of legislative. 6. No catastrophic environmental impacts e. 4. g . HIV/AIDS rates stable or improving. 2. M L Assumptions 1.Figure 5. M • Implement communication strategy.
inventory / status assessment data collection systems. L L
HIV/AIDS into community work and LGA dialogue.3– Risk analysis table e. Incidence of HIV/AIDS at all levels worse than anticipated.
• Offer research
support to Ministry. hurricanes climate change. Catastrophic environmental impacts e.
• Introduce effective
5. policy and institutional change outside project control. Key species frequencies remain at a level from which recovery is possible. 6.
• Ensure institutional
representation of disadvantaged groups. Benefits of PFM accrue to the poor at community and household levels. 3. forest fires. Im Pr Mitigation • Ensure liaison with District Chiefs and Chairs.
5. forest fires. 4.
stakeholder involvement and ownership.g. Deterioration of security situation disrupts project outcomes and impact 2.
. H policy and institutional change outside project control. 3. climate change. hurricanes. L • Liaison with separate HIV/AIDS program. 7. Key species frequencies fall below level from M which recovery is possible. Delays in implementation by appropriate bodies of legislative. • Provide capacity building support. for illustration only)
Risks G/I 1.g. No deterioration of security which disrupts project outcomes and impact. Participatory Forest Management (Table incomplete. District authorities do not prioritise staff inputs to participate in PFM activities. District authorities allocate sufficient time for political and technical personnel at district and subcounty level to participate in PFM activities.
7 the hierarchy of objectives.4 summarises the structure of Column 4. and if the Assumptions at this level hold true. Figure 5.
.By adding assumptions. Outputs will be delivered.4 The Assumptions Column Objectives Indicators Data / targets Sources Impact / Goal: Outcome / Purpose: Outputs:
Assumptions Important conditions for sustaining benefits in the long term Important conditions needed in order to contribute to the Goal / Impact Important conditions needed in order to achieve the Purpose / Outcome Important conditions needed to deliver the Outputs
You sometimes see an extra box here for Pre-conditions or Critical assumptions needed to carry out the activities.3 the risk analysis table.
Figure 5. Once the Purpose has been achieved and if the assumptions at this level hold.5 gives an example using the participatory forest management case study. Figure 5. Compare this example with Figure 4. the Project Purpose / Outcome will be achieved. the contribution to the overall Goal / Impact will have been made by the Project. our logic is extended so that: • • • Once Activities have been carried out. Once Outputs are delivered and if the Assumptions at this level hold. and Figure 5.
4 Implement following agreed plan and process 4.3 Develop overall PFM plan. policy and institutional change outside project control.3 Develop data systems from village to local government.2 Conduct baseline studies 4. Compare with Figure 4. 4. 3.5 Review current policies. Example: Participatory Forest Management (Table incomplete. Provincial participatory forest management plan developed and agreed by stakeholders at all levels and in operation. 2.
. 1.2 Develop criteria for PFM support. 3.2 Develop and implement a training programme for key stakeholders. 3. 1.1 Establish joint data taskforce and Strategy.5 Develop and implement PFM Communication and Advocacy Strategies
Notice that some elements of Column 1 have changed to include risk mitigation. Change of local government personnel does not disrupt PFM activities.1 Collect baseline data 1.2 Awareness raising.3 Support DPUs to facilitate development planning for lower levels of local government.7 Identify service providers.1 Carry out Training Needs Assessment 2. Effective national and district institutional and operational framework for PFM established.7. No deterioration of security which disrupts project activities
Outputs: 1. District authorities allocate sufficient time for political and technical personnel at district and sub-county level to participate in PFM activities. Key species frequencies remain at a level from which recovery is possible. for illustration only)
Objectives Impact / Goal: The livelihoods of poor forest dependent communities sustained and improved Outcome / Purpose: Effective participatory management of forest resources in Chimbe Province Col Col 2 3 Assumptions No deterioration of security which disrupts project outcomes and impact Benefits of PFM accrue to the poor at community and household levels. 4. 4. Evidence based National and district policies. 1.5 – Column 4 : The Assumptions.4 Recruit Communications and Policy Advocacy specialist 4. HIV/AIDS rates stable or improving Timely implementation by appropriate bodies of legislative.Figure 5. Activities: 1.4 Establish partnerships with existing institutions.3 Establish Institutional Development Working Group. Capacities of communities and government improved to participate in participatory forest planning and management. 2. 2. 1. 3. 1. climate change. 3.g. No catastrophic environmental impacts e.6 Review funding mechanisms.1 Develop community action plans.
And these conditions hold
If we deliver these Outputs. and the overall risk level of a proposed project will depend on the country. Then we should achieve this Outcome.
Assessing the project overall risk level
The type and scale of risks. Some agencies apply the assumptions boxes one level higher. evaluation and estimation of risks needs to be repeated: • Have new risks emerged that should be added to the risk matrix? • Has the probability of the risk occurring changed? • Has the importance of the risk changed? 57
. The risk situation changes during the lifetime of the project so there needs to be a regular review. The identification.
And these conditions hold
If we carry out these activities Then we will carry out these Activities. Then we will deliver these Outputs. Projects in difficult. There is some variation in the use of column 4.e. In these notes assumptions relate to objectives at the level above. Project risk is also affected by the ambition of the project and by how innovative it is. (Step 7 in Figure 4. sector. assumptions are conditions to achieve objectives at the same level. i.And finally re-check the logic of the project design using what’s called the IF – AND – THEN test.6 Checking the logic using the IF – AND – THEN test
Hierarchy of Objectives Goal / Impact Then we should contribute to this Impact Assumptions
Purpose / Outcome
If we achieve this Outcome. at least on an annual basis.
And these conditions hold
START HERE If these Pre-conditions pertain
A word of warning here.2) Figure 5. policy and institutional context. less predictable environments are likely to be higher risk.
sometimes called a risk profile) below shows how different levels of importance and probability can be combined to give a single overall risk rating. the example below of the Participatory Forest Management project would be rate MEDIUM RISK. If one or no risk falls into the red squares but one or more fall into the grey squares the project is Medium Risk.3) for individual risks are entered into the matrix and the resulting distribution gives the overall rating.g. Should two or more risks fall into the red (dark) squares the project should be categorised as High Risk. Fig.3) PROBABILITY
Low Medium High
1 4 7 3
KEY TO OVERALL RISK
Adapted from DFID (2004) Guidance on scoring projects and programmes. The risk matrix (Figure 5.• Should any changes be made to plans or management strategies to address risks? • Are any actions required on the part of the project team to monitor or manage risks? Many organisations require that projects be given a single overall rating of High.7 Risk Matrix / Profile for the Participatory Forest Management project (refer to the Risk Analysis Table in Figure 5. 24 Figure 5. Medium or Low risk. If all the risks are concentrated in the white squares the project is Low Risk.
. Ratings from the Risk Analysis Table (e. 5. Using this system.7.
and thereby to • Ensure informed decision-making. So depending on the context. Performance assessment traditionally involved monitoring and evaluation with a focus on assessing inputs and implementation processes. funders and taxpayers for the use of resources. The trend today is to broaden assessment to include many elements that together contribute to a particular development outcome and impact.
. An underpinning rationale is the capacity building for improving performance. Evaluation and Impact Assessment Evaluative exercises Capacity building for performance Areas of focus
The main reasons for performance assessment are to: • Enhance organisational and development learning. assessment may be needed for example of outputs. Figuire 6. coordination. beneficiaries. Figure 6. partnerships.
Why assess performance?
We need to demonstrate performance in development work so that we can more effectively manage the outputs of what we do and direct our effort in the direction where it will have the greatest outcome and impact. policy advice.6.1 A pyramid of performance assessment
MDGs Learning Why? Accountability Decision Making Projects and Programmes Of what? Strategies and Policies Partnerships How? Monitoring Review.1 outlines the key elements of performace assessment. brokering. to help our understanding of why particular activities have been more or less successful in order to improve performance • Be accountable to clients. advocacy and dialogue.
in other words whether there is indication that the outputs are contributing to the purpose of the intervention. impact assessment reports etc. work and travel logs. R &E reflect a continuum with no clear boundaries. Evaluations are usually carried out by O outsiders (to enhance objective accountability) but may involve insiders also (to enhance lesson learning). They may include review reports. Evaluation: G in many organisations is a general term used to include review. Evaluations focus on A the relevance. later ones Output-to-Purpose Reviews. A common interpretation of them is: G Monitoring: the systematic collection and analysis on a regular basis of data P for checking performance. It assesses whether the activities have delivered the outputs A planned and the outcomes of those outputs. a report from a stakeholder participatory review event. With that caveat said. they may use different words. It is clear then that M. Impact assessment is a form of evaluation that tries to differentiate changes that can be attributed to a project/programme from other external factors that may have contributed. Monitoring focuses in particular on A efficiency. whether and how well O activities are being completed. Other organisations use it in the more specific sense of a P systematic and comprehensive assessment of an on-going or completed initiative. minutes of meetings etc. review is a form of evaluation. Evaluation and Impact Assessment
The use of these terms varies in different organisations. perhaps annually or at the end of a phase. Review. or the same words may mean different things. Key data sources for evaluation will be both internal and external. national and international statistics. data collection documents. Key data sources for review will typically be both internal and external documents.1 summarises some general differences. sector or programme basis.
. relevance and immediate impact. consultants’ reports etc. effectiveness. Be aware that when talking with others. the use of resources. Evaluations are often carried out to assess and synthesise several initiatives together on a thematic. Review focuses in O particular on effectiveness. Early reviews are sometimes called Activity-to-Output Reviews. efficiency. This is usually done internally to assess how inputs are being used.Monitoring. impact and sustainability of a project or programme. Review: an assessment of performance periodically or on an ad hoc G basis. ‘Review’ is sometimes used synonymously with ‘evaluation’. such as ½ yearly or annual reports. It usually involves insiders working with outsiders. commissioned study reports. and whether outputs are being delivered as planned. Impact assessment tries to assess what has happened as a result of the intervention and what may have happened without it. Key data sources will typically be internal documents such as monthly/quarterly reports. Table 6. Those changes may be intended or unintended. training records. implementers with P administrators and other stakeholders.
g. outputs. conditions and assumptions Who is involved? generally only insiders involved
checks the effectiveness. R and E
Monitoring When is it done? continuous throughout the life of an initiative to assess whether an initiative is on track and make adjustments Review occasional. during. midway or at the end of a phase or initiative to reflect on and explain performance. to hold managers accountable Evaluation infrequent. strategy and future work
What sources of information are used?
typically internal documents such as monthly/quarterly reports.Table 6.
Who uses the results?
managers and staff are the main users of the information gathered
many people use the information e. impact and sustainability of the work and the achievement of objectives. managers. national and international statistics. many people use the information e. to learn and share lessons. donors. strategy and future work
decision-making How are the results results in minor used? corrective changes
. the processes of the work . often initiated by an Evaluation Office in the same agency or by another agency altogether both internal and external including review reports. impact assessment reports etc.
Why is it done?
checks mainly What is measured? efficiency. rather than project level.g. effectiveness. work and travel logs. activities. usually involves outsiders but perhaps also insiders. a report from a stakeholder review event. consultants reports. training records. staff.1 Essential differences between M. at the end or beyond the end of an initiative to explain performance. to assess impact in relation to external factors and contributions and attributions to change checks the efficiency. data collection documents. relevance. generally initiated by the project/ programme team both internal and external documents such as ½ yearly reports. minutes of meetings etc. often at a programme. consultants reports etc. staff. managers. beneficiaries and other audiences decision-making may result in major changes in policies. thematic or sector. donors. beneficiaries decision-making may result in changes in policies. relevance and immediate impact of the initiative and the achievement of purpose may involve outsiders and insiders.inputs. to hold managers accountable. to learn and share lessons. It examines with and without scenarios.
A system is needed that will examine progress against agreed performance indicators. e. consensus and ownership of the overall objectives and plan. outputs and activities. of the client country? To what extent is it compatible with other efforts? Does it complement.R & E criteria
It is crucial to plan an M. have occurred and are these attributable to the initiative?) • sustainability (Will the outcomes and impacts be sustained after external support has ended? Will activities. duplicate or compete?) • efficiency (Are we using the available resources wisely and well? How do outputs achieved relate to inputs used?) • effectiveness (Are the desired objectives being achieved at Purpose and Goal level? Does it add value to what others are doing? To what extent are partners maximising their comparative advantage?) • impact (What changes. • A baseline is needed to identify a starting point and give a clear picture of the pre-existing situation. where relevant. review and evaluation so feeding back into the management of the organisation or initiative and into lesson learning and planning for other subsequent work • the process of setting indicators contributes to transparency. They are based on the underlying logical framework for the initiative: • they specify realistic targets (minimum and otherwise) for measuring or judging if the objectives have been achieved • they provide the basis for monitoring. when planning an initiative. structures and processes established be sustained?)
Performance indicators and targets
Performance indicators are used to measure impacts.M. The reliability and validity of existing data
Development Assistance Committee of the Organisation for Economic Cooperation and Development
. when doing an organisational strategic plan. not only to ownership and transparency but also to the effectiveness of the indicators chosen. Setting objectives and indicators should be a crucial opportunity for participatory management. outcomes. positive and negative. • A variety of indicator types is more likely to be effective. some important points: • Who sets indicators is fundamental. outputs. Before looking at how indicators are constructed. the demand for objective verification may mean that focus is given to the quantitative or to the simplistic at the expense of indicators that are harder to verify but which may better capture the essence of the change taking place.R&E system from the outset. that will address core criteria and questions (based on the DAC25 criteria): • relevance (Does the organisation or initiative address the needs? Is it consistent with the policies and priorities of the major stakeholders – especially.g.
may be in doubt and there may not be enough of it. But there must be indicators in sufficient number to measure the breadth of changes happening and to provide the triangulation (cross-checking) required. Indicators are more likely to be objective if they include elements of quantity. Measuring change is costly so use as few indicators as possible. targets are ends. there may not be the baseline data or ownership needed to set targets. In which case baseline studies will be needed. between 1990 and 2015. the proportion of people who suffer from hunger
Let indicators evolve into targets. stakeholder meetings and data gathering during the Inception Phase will lead to targets evolving from indicators. there will be mostly indicators rather than targets. rather they need to be constructed so that when different observers measure performance. So for example: Indicators increase in the proportion of girls achieving Grade 4 by month x the proportion of population below minimum level of dietary energy consumption Targets increase by 15% in girls achieving Grade 4 by month 36 halve. For example. Pre-initiative design activities may have yielded a few key draft targets upon which the recommendation to proceed is based. Collection of baseline data clearly has a cost. It is a fundamental mistake to pluck targets out of thin air without these essentials. they will come to the same conclusion. Generally in a project proposal document or logframe. Begin with the basic indicator.
Indicators and targets
These two terms are often used synonymously. quality and time (QQT). indicators are means by which change will be measured. but so does the lack of baseline data! • The fewer the indicators the better. for an Output ‘Improved capacity of district forest committees’: Step 1: Basic Indicator: Forest strategic plans developed Step 2: Add Quantity (either absolute numbers or proportions): % of district forest committees with documented strategic plans
. Constructing indicators and targets Indicators are sometimes called Objectively Verifiable Indicators (OVIs) to emphasise that they are not just subjective judgements. In the early stages of an initiative. Once approval has been given and the initiative is under way. But there is a subtle difference. Collect the minimum.
. the qualitative and the quantitative. The important thing is that the logframe includes indicators that measure both elements of change happening. The characteristics of indicators To be useful. ‘formative’ indicators. the information needs to be collectable at the time planned • logical. community representatives Step 4: Add Time (dates or time elapsed): % of district forest committees with documented strategic plans approved by key stakeholders inc. However. • specific and measurable in terms for example of: ∗ quality ∗ quantity ∗ time ∗ location and ∗ target group or organisations. Milestones Again. phase or initiative to show whether progress is ‘on track’ as opposed to ‘summative’ indicators used at the conclusion and are used for review and evaluation. Sometimes the term milestone is used to mean the same as OVIs. community representatives by the end of month x. there can be confusion over terminology. they need to catch the core of a particular objective. community representatives by the end of month 24. proportionate with the scale of the initiative or programme • verifiable and available. that’s fine. it is perhaps better used to mean key intermediate targets needed to achieve or deliver an objective within an agreed timeframe. This may mean for complex objectives. characteristics. measures taken during an activity. can be measured with reasonable cost and effort. Milestones are in effect targets used in monitoring and perhaps review. Some indicators will be essentially qualitative. it is likely that more than one indicator will be needed. i. In time.Step 3: Add Quality (standards. abilities): % of district forest committees with documented strategic plans approved by key stakeholders inc. The objectives. together with their indicators. It is not possible to ‘QQT’ every indicator.e. • sensitive to the changes that will be happening as a result of the initiative or programme • cost-effective. others quantitative. this could evolve into a specific target: Step 5: 75% of district forest committees with documented strategic plans approved by key stakeholders inc. indicators need to have a number of characteristics. but it is still useful in the process to try. They need to be: • relevant and substantial. need to be necessary and sufficient to achieve wider objectives.
Instead outputs and activities may be devised for the first stage or year. Focus on the processes will generally lead to better targeting of the activities at real problems and needs. and who was involved. A direct indicator is simply a more precise. Product indicators may measure the technologies adopted. At the outset of a process initiative it may be very difficult. Qualitative and Quantitative Indicators The QQT maxim for constructing an indicator generally works well. comprehensive and operational restatement of the respective objective. Endusers and participants may be asked to verify them. Direct and Indirect Indicators Direct indicators are used for objectives that relate to directly observable change resulting from your activities and outputs. That a change may be difficult to quantify or that the analysis of qualitative data may not be straightforward. to state the precise products of the initiative.Types of Indicators
There are many different types of indicators. At least some of these indicators will be subjective. some easier to collect than others. an indication itself that much of former and current practice may not be good practice. those ‘means’ become ‘ends’ in themselves. Processes will therefore need more frequent monitoring. Indirect or Proxy indicators may be used instead of. are not reasons to sweep them under the carpet. Process and Product Indicators It is important to measure not just what is being done but how it is being done. The formulation of indicators has become a major field of development work. better implementation and improved sustainability. but the means of verification may still be less than fully objective. Processes may be ‘means’ but with an underpinning capacity building agenda. then later outputs and activities are defined on the basis of the initiative learning. some better than others. Special effort and attention needs to be given to 65
. how the manual was produced and how the income was generated. They may be used if the achievement of objectives: • is not directly observable like the quality of life. Process indicators are usually more qualitative and will assess how the technologies were developed and adopted. not just the ‘products’ resulting from an initiative. But its rigid application can result in performance and change that is difficult to quantify not being considered or given value. the increase in income generated. some more common than others. but also the ‘processes’. some more widely recognised than others. or in addition to direct indicators. and undesirable. organisational development or institutional capacity • is directly measurable only at high cost which is not justified • is measurable only after long periods of time beyond the life span of the initiative. the training manual in print and disseminated.
technologies.g. A balance of indicators is needed with some that focus on the quantitative and others on qualitative aspects. texture. loans. prices • the up-take of initiative inputs. marketability • decision-making ability • attitudinal change – particularly self-esteem and confidence • the emergence of leadership • the ability to self-monitor • the development of groups and of solidarity • access to political processes at micro. children vaccinated • the adoption/implementation of initiative outputs. e. and capacity building. taste. Summative indicators are used to measure performance at the end. e. colour.devising qualitative indicators. school enrolment. It is generally easier to measure behaviour than feelings. Cross-Sector Indicators Sector based or technical indicators must be balanced by the inclusion of other more cross-sector indicators. visits to the clinic.g. seeds. Quantitative indicators may relate to: • the frequency of meetings. litres per cow per year. manuals/newsletters/guidelines in use. the number of people involved • growth rates • climate data • yields. e. So if an objective is ‘to increase people’s confidence in meetings’. behaviour can be observed. Formative and Summative Indicators Formative indicators are set with a timeframe to be measured during a phase or initiative and hence are the same as milestones. production per unit of labour. satisfaction • aesthetic judgements. Examples of Basic Indicators (in need of QQT'ing) Economic Indicators Production Yield per hectare. meso and macro levels • behavioural changes • evidence of consensus. land or investment
. for example relating to social issues.g. the environment. size. shape. it may be appropriate to measure this by observing how often they speak and how others respond to them. gender. Qualitative indicators may relate to: • the level of participation of a stakeholder group • stakeholder/consumer opinions.
livestock daily live-weight gain.
. number or percentage of voters Equity Distribution of benefits and assets Participation Number or percentage attending meetings. ownership of plough team Access to capital Proportion with bank accounts. output of handicraft items per month Income Average individual/household/village income Ownership Land area per household. area of mangrove cut Soil condition Yield of crop per year. weight for age average. numbers of students entering secondary education. presence or absence of erosion Waste Number of households with cesspits. deaths from major causes Education Literacy rate. seasonal migration rates Social Indicators Health Infant mortality rates. gender and membership of a farm cooperative Leadership Number of local leaders. average weight of fuel to boil water (to test stove efficiency) Capacity Development Indicators Awareness Willingness of parents to both pay increase in school fees and contribute labour in the construction of a new school building Influence Ability of regional authorities to mobilise political support and local resources to support its position with central authorities Systems Ability of the system to transfer funds between levels and to produce audited statements in 6 months of the fiscal year end Research Increased use of survey data in planning Oversight A functioning Management Committee that meets at least once a month and keeps pumps working 90% of the time. nutrient status. representation of various ethnic or disadvantaged groups on committees. land tenure.Output
Eggs per day. male/female wage differentials. proportion landless. area of wetland drained. quality of access to decision making forums Environmental Indicators Sustainability Length of fallow in shifting cultivation. water rights Access to credit Proportion with security to obtain loan Poverty Proportion above/below poverty line. increase in attainment in core subjects at Grade 6 Gender Proportion of women in formal education or receiving training. households practicing composting Fuel Average time to collect firewood daily. fish harvested per year Habitats Forest cleared each year. water availability in soil. average years in formal schooling. cattle per household.
national or international statistics. etc) Is special data gathering required? (e. photographs.g. film or video or audiotape). accounts. radio and TV recordings. then another indicator is needed that will be easier and/or cheaper to verify. reviews and reports. quarterly annually) How much data gathering (in terms of quantity and quality) is worthwhile?
The Data Sources will almost invariably be documents (or. If verification is not possible or if it will be too costly. less often. So it is important when setting each indicator to also consider how the data will be collected and by whom.g. results of focus groups Surveys and reports Newspapers. The final element of developing the logframe is to decide what indicators/targets will be measured and and what
. consultants.g. stakeholders etc) Who will pay for its collection? When/how regularly it should be provided (e. progress reports.Data Sources / Means of Verification
An indicator can only be used and is only useful if the information can be collected when it is needed and at reasonable cost and effort. monthly. Some typical Data Sources • • • • • • • Minutes of meetings and attendance lists Stakeholder feedback. MoVs) we need to consider: • • • What evidence is needed? Where will the evidence be located? How will the data be collected to provide that evidence? • • • • • • Is it available from existing sources? (e. the project team. records. In specifying our Data Sources (also called Means of Verification.g. special surveys)
Who is going to collect it? (e. external evaluation reports Reports from participatory poverty assessment or rural/urban appraisal exercises
Indicators and data sources in the logframe
Return now to the half-complete logframe. satellite imagery National and international statistics Project records.
This is a vital stage of the initial planning that is often overlooked. once again using the on-going case study of the Participatory Forest Managament project in Chimbe Province. Indicators and Data Sources in the logframe
Objectives Impact / Goal: Indicators / targets Measures of the longer term impact that the project contributed to. Data Sources Sources of data needed to verify status of Goal level indicators Sources of data needed to verify status of the Purpose level indicators Sources of data needed to verify status of the Output level indicators Sources of data needed to verify status of the Activity level indicators Assumptions
Outcome / Purpose:
You sometimes see logframes structured to show clearly indicators evolving into targets:
Indicators Proportion of population below $1 per day
Indicators / targets
Baseline Targets Halve between 1990 and 2015 the proportion of people whose income is less than $1 per day
An example of a complete draft logframe
Figure 6. So complete columns 2 and 3 at the same time. Measures of the delivery of the outputs.
.2. This is Step 8 in the summary of the logframe process Figure 4. Figure 6. Measures of the immediate outcome achieved from delivering the outputs.3 overleaf gives an example of a complete draft logframe. These measures are often milestones and may be presented in more detail in the project work plan. Building in evidence sources at this stage will make the monitoring and evaluating of the project easier.2.appropraite sources of data will be used that capture this performance data. Column 3 of the logframe relates to the verification. It should be considered as you formulate the indicators.
At least 50% of PFM target group members attribute their livelihood improvement to the PFM approach. No deterioration of security which disrupts project outcomes and impact
3 4 Purpose: The integrated management of Chimbe’s forest resources 1
2. forest fires.
LGA Local Government Authority CPFMO Chimbe Participatory Forest Management Organisation 28 IDWG Institutional Development Working Group 29 ENR Environment and Natural Resources
. policy and institutional change outside project control. HIV/AIDS rates stable or improving
Outputs: 1 Effective institutional and operational framework for PFM established in Chimbe. Forest Assembly minutes District and SC Development Plans CPFMO27 Constitution and quarterly reports IDWG28 meeting reports KAP survey reports CPFMO reports 5.
3. 2 Capacities of communities and government improved to participate in
1. At least 3 poverty focused development interventions initiated by communities in each of eight villages. 20% representation by PFM target groups in community level organizations established for forest management. 50% increase over the baseline in revenue to subcounties and Districts in PFM operational areas.6 million
Indicators (by End of Project unless otherwise stated) Livelihood vulnerability of primary resource users reduced through increase in legally secured access to forests in Chimbe. Increase in financial commitment by communities and local governments to sustain PFM Data sources District household survey reports Knowledge.g. Benefits of PFM accrue to the poor at community and household levels. Attitudes & Practice (KAP) reports Report on women workshops LGA26 and forestry reports Forest Management Unit application forms (FMU) Local government reports Local government records District Budget Papers. with marginalized represented.3 – The complete logframe Title: Participatory Forest Management (PFM) of Chimbe Province Timeframe: 3 years
Objectives Goal: The livelihoods of poor forest dependent communities sustained and improved 1
Allocation: $2.1 High levels of awareness of the need for PFM amongst stakeholders in 8 villages.3 Eight FMUs operational.1 Appropriate lines in 3 district and 4 subcounty budgets for PFM priorities by M24 1. 10% increase in forest-derived income by primary resource users. 2. 4. hurricane.2 CPFMO operational with equitable village level representation at three levels 1. Timely implementation by appropriate bodies of legislative. PFM principles adopted beyond Chimbe. 4 subcounties and 3 districts 2.2 Local people engaged in
6.Figure 6. No catastrophic environmental impacts e. Full and effective integration of ENR29 into local government development Assumptions
3 Participatory forest management plan developed and agreed by stakeholders at all levels and in operation.
planning.7 Ordinances and bylaws relevant to PFM operational at District and Sub-county levels 3.4 Enhanced financial management systems at 3 district and 4 subcounty levels 2. FMU performance 8. CPFMO minutes CPFMO accounts and minutes DDPs. Support to forest management organisations is forthcoming.
Indicators (by End of Project unless otherwise stated) equitable PFM processes 2.1 Participatory M&E strategy designed and agreed at all levels 4.3 Community based monitoring systems operational 4. CPFMP PDPs and local government reports M&E strategy. SDPs 11.2 Priorities ratified by CPFMO 3.5 Quarterly meetings of FMUs and Executive Committee and annual CPFMO meetings to review and update CPFM plan 3. CPFMO minutes CPFMP30.3 Integrated management plan developed and approved by all stakeholder groups 3.2 Key indicators identified and agreed at all levels 4.1 Planning process addresses needs of different community groups at 8 villages 3.5 Quarterly FMU self managed meetings at village level regarding resource planning and management 3. 10. PDPs31. GoC continues to support CPFMO minutes decentralisation. PFM framework and annual reports institutional commitment to CPFMO minutes establish interFMC.Objectives integrated forest planning and management. sub-county and PFM project disbursements appropriately targeted to community-identified priorities 3.4 Information from M&E systems CPFMO minutes
CPFMP Chimbe Participatory Forest Management Plan PDP Provincial Development Plan 32 FPBC Finance.
Data sources Quarterly reports 7. EC33 minutes.9 Mitigating action taken for 3 or more major environmental threats 3. CPFMO Quarterly Reports.8 Revenue from forest resources transparently used for PFM priorities 3. CPFMO minutes 9.10 At least 8 community projects addressing PFM priorities. Appropriate policy and legal and DDPs. M&E Task Force meeting reports FPBC meeting minutes CPFMO minutes
Evidence based National and district policies. FPBC32 and district body.3 New linkages established with external institutions 2.4 District. Key tree stocks remain at a level from which LG Devevlopment recovery is Plans possible. Stakeholders monitoring results interested and agree to a PFM plan.6 CPFMO Secretariat operational 3. Planning and Budgeting Committee 33 EC Executive Committee 34 PMA Plan for Modernisation of Agriculture 35 CWA Chimbe Wildlife Authority 36 MoLG Ministry of Local Government
5 Completed during Inception by M6 1.2 Develop criteria for PFM support.1 Collect baseline data.1 Carry out TNA37. District authorities Quarterly Reports allocate IDWG minutes sufficient Quarterly Reports time for Inception Report political and technical Inception Report personnel at district and Annual Report sub-county level to TNA report participate in Training Plan and PFM reports activities. Fisheries. Quarterly reports Strategy.4 Completed by M9 1. Main phase completed by M12 1.g. 1. No deterioration PFM Plan of security Quarterly Reports which disrupts
.2 Criteria established by M 12 3. 1.8 PFM principles and practices incorporated into at least 3 other national policies e. DDPs and budget framework papers OPR reports.3 IDWG operational by M18 1. 3. 2.3 Establish IDWG.7 Completed by M12. Change of local government personnel does not Quarterly Reports disrupt PFM activities.1 Plans in place by M18 3.3 Plan in place by M24. 2.5 Effective Communication strategy operational 4.
Indicators (by End of Project unless otherwise stated) incorporated into planning and decision making at appropriate levels.4 Implementation targets as per plan. 1.
Quarterly Reports 12. Quarterly Reports 14. PMA34. 2.2. Quarterly Reports 13. 2. Wetlands. 3. including the CPFMO 4. 1.3 Target completion by M24 but ongoing as necessary
3.3 Support DPUs38 to facilitate development planning for lower levels of local government.4 Implement following agreed plan and process
1.3 Develop overall PFM plan.2 Awareness raising 1. 3. Completed by M12. Quarterly reports
Indicative Activities: 1.6 Effective Policy Advocacy strategy operational 4. 1. 2. Quarterly reports SDPs.6 Completed during Inception by M6 1.7 Identify service providers.2 Training plan in place by M12. 1. training ongoing thereafter.2 Develop and implement a training programme for key stakeholders. 2.4 Establish partnerships with existing institutions. 3.5 Review current policies.1 Completed by M6. CWA35 and MoLG36.1.6 Review funding mechanisms.1 Develop community action plans.7 Local level PFM principles and priorities reflected in district and sub-county plans and implemented 4. 3.
3 Data systems in place by M18.2 A system for scoring performance
No.1 Establish joint data taskforce and Strategy. Descriptions 1 2 Likely to be completely achieved Likely to be largely achieved Achievement The outputs / purpose are well on the way to completion (or completed) There is good progress towards purpose completion and most outputs have been achieved. 4. bad data generates bad conclusions.5 Implementation targets as per strategies. With care it may be possible for scores to be aggregated across a programme or sector or office to provide an overall picture of success and value for money.2 Baseline studies in 6 key areas of fisheries information.2 Conduct baseline studies 4.
Quarterly Reports Baseline reports
Quarterly Reports Quarterly Reports Quarterly Reports
Some organisations use scoring systems as an integral part of the monitoring and review process to rate aspects of performance.4. poverty/livelihoods. and KAP survey by M15. 4. The quality of scoring is clearly a key issue. learning and decision-making. regulations. A typical scoring system (in this case of DFID). Often the overall level of risk for the project is reviewed at the same time (see p72). revenue. limited extent Unlikely achieved to be No progress on outputs or purpose
TNA Training Needs Assessment DPU District Planning Unit
.5 Develop and implement PFM Communication and Advocacy Strategies
4. 4.3 Develop data systems from village to local government. of the likelihood that the outputs and purpose of the project will succeed (or have succeeded. overall at Output level and at Purpose level is: Table 6. Annual scoring can provide important data for accountability. 4.1 Taskforce set up by M9. environment. The system has to be applied consistently and robustly involving relevant stakeholders and partners. using a scale of 1-5 that can be applied for each Output. 4. Strategy in place by M12. 4. depending on when the scoring is done). particularly the most important.4 Recruit Communications and Policy Advocacy specialist 4. for example.4 Specialist recruited by M18. Only likely to be Purpose unlikely to be achieved but a few outputs likely achieved to a very to be achieved. Likely to be partly Only partial achievement of the purpose is likely and/or achieved achievement of some outputs.
Too early to judge
It is impossible to say whether there has been any progress towards the final achievement of outputs or purpose. This score should not be used unless they meet at least one of the following criteria: a) Project is postponed because of conflict b) External Constraints c) Recruitment delays
Such a system can be used as one way to assess and manage performance across a programme or indeed whole organisation. This is discussed more in Chapter 8.
. It is an opportunity to review the time scale and feasibility of the project activities. BUDGETS AND TERMS OF REFERENCE
Preparing a Project Work Plan
The activities listed in a logframe developed for approval prior to implementation will probably include indicative activity clusters or groups. relates back to the logical framework in a precise way. In a Gantt Chart each Output is listed together with its associated activities (subactivities and/or indicators and milestones are sometimes used as well). priority. This is very important time when stakeholder ownership is broadened and consolidated. Then some form of horizontal bar coding is given against a monthly (or sometimes weekly) calendar. which in turn informs the timing of the actions to achieve them. the proposed number of days. but intermittently involved. Figure 7. etc. and can also inform issues of cash flow.
Preparing a Project Budget
Now the full Budget needs to be prepared. It is not essential for the budget line headings to fully correlate with the logframe objective headings and not always possible. when the necessary activities are worked out in detail and when the monitoring. allocate responsibility for undertaking actions (or achieving indicators). The beauty of the work plan in this form is that it is highly visual. It is also a participatory tool that can be used with the project team to explore precisely the issues listed above. often called the Inception Phase. There is no need to list pages and pages of detailed activities. For example there could be one project vehicle partially used for implementation of ALL project activities. To this may be added other columns such as the identity of the staff who will do the activity. See Figure 7. stakeholders. Typically these are set out in a separate Work plan or Gantt Chart.7. rough estimate of cost. In addition if project expenditure can be reported against the logframe objectives then expenditure on different aspects of the project become much more transparent for the interested.2 gives an example. However if costs can be accounted for against project activities and outputs then value for money can be compared between the different Activities and Outputs and this will be very useful when the project is reviewed and perhaps further phases are planned and funded..1 for an example. In this role it may begin as a timeline onto which indicators are placed (thus making them milestones). A common mistake is to include too much detail in the logframe. in general terms for the whole project lifespan and in detail for the next 12 months.
WORK PLANS. Clarification of a detailed work plan will generally happen in the first few months of implementation. review and evaluation needs and arrangements are agreed. when the overall plan is confirmed. and it can be used to give order and priority to inputs.
3.1 Collect baseline data. 1.6 Review funding mechanisms. KEY
Development Implement Self-review Annual Review
. 2.3 Support District Planning Units to facilitate development planning for lower levels of local government.
Etc etc.3 Establish Institutional Development Working Group. 1. quarterly meetings.7 Identify service providers.1 Develop community action plans.4 Establish partnerships with existing institutions. 1. 3.1 Carry out Training Needs Assessment. 1.3 Develop overall PFM plan. 1. 3. 3.Figure 7. 2.2 Develop criteria for PFM support.4 Implement following agreed plan and process
RT TF PM PM PM PM PM TF TF/RT RT TF/PM PM PM PM
10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 etc. 2.2 Awareness raising 1.5 Review current policies.1 Example of a work plan / Gantt Chart (partial) Participatory Forest Management project
1.2 Develop and implement a training programme for key stakeholders.
5 C/2.1 Collect baseline data Equipment Computers Travel Non-fixed salaries and allowances Consultancy support Meeting costs Communications 1.2 70 300 200 100 E2 T1 S4 S3 P5 O3 A/1. Lump 1 500 40 14 2 2 1 2 1 1 500 40 250 40 250 40 14 3 1 780 0.3 B/4. km P days P days No.Figure 7.2: A typical project budget (partial) based on a PFM logframe
Activities / Inputs Unit Q1 1.2 F/4.3 B/3.3 etc No.2 etc 1.2 H/3.3 780 100 2800 4200 400 200 100 2800 200 200 50 2800 200 100 50 2800 4200 600 100 780 300 11200 8400 1400 600 Quantity per quarter Q2 Q3 Q4 Cost per unit Cost codes Project Govt Q1 Costs per quarter Q2 Q3 Q4 Project total
5 cm high going around all four walls. job description. or indeed specification.You may need to use a set of standard categories to meet the requirements of the funding agency. using PaintOff™ stripper.
Preparing Terms of Reference
Project proposal documents commonly include in the Appendices. What are Terms of Reference (ToRs) ToRs define the task required of an individual. An Input based set of ToRs. Then paint.75 cm. using StiffHair™ paintbrushes. ToRs may be needed for: • Feasibility studies • Appraisal and deisgn missions • Implementation contrcats for specicifc actvities or outputs or indeed the whole project • Review. ………………to………… ‘’Paint. The doors should be stripped back to the bare wood. is useful where you know exactly what it is you require and want to
Adapted from DFID’s in-house ToR training materials
. with ebony EtchoMaster™”. results/outputs. the walls bright pink. but is an essential document that is attached to the logframe. budget and timetable and may specify in addition aspects of process. Remember that the cost requirements defined in the Budget will be used for analysing the costeffectiveness of the project by comparing the budget with the Indicators at Purpose level. The former of these two sets of ToR is Output based whilst the second (as well as being tasteless!) is Input based. at a thickness of 78. a straight clear line at 27. using SilkLine™ brushes. Input and Output ToRs39 Your partner might give you their terms of reference for decorating a room in your house whilst they are away. They set out the background and objectives. for a Project Steering Committee or for a Contractor. team or contractor. the planned activities and expected inputs. for example for the Project Manager. the Terms of Reference of key personnel and / or agencies. evaluation and audit studies • Technical advice anfd other support work. These might range from: ‘’Paint the room while I am away and be sure to be finished by the time I get back’’. A 50% (in size) reproduction of an image of Madonna (the pop star) should be etched onto each door. The Budget does not form part of the logframe.
leave nothing to chance or the creativity or professional knowledge which the person doing the work might possess. If the end-outputs are the key element. although it may be expressed as …“the methodology used should include but not be limited to the following”.
v. An indication should be given of the depth of analysis required in specific subject areas. A typical format is41: i. oral etc.e. consultants. political. should be set out. For example you might give a professional painter and decorator the following ToR: “Paint the room in the colours and style you judge will not clash with adjoining rooms and will create a cheerful.
EU (2004) Aid delivery Methods.
iv. Volume 1: Project Cycle Management Guidelines Adapted from DFID’s in-house ToR training materials
. What is a typical format for Terms of Reference? Whether Input or Output ToRs are appropriate. Output based ToR are used where we know what we want in broad terms. they need to be clear. policy.
ii. geographical. programme). Recipient –state clearly who is the recipient (partner Govt. comprehensive and coherent. village communities etc) of the services and what they will provide. these will be very detailed telling the consultant exactly how the work should be carried out. staff members and/or other stakeholders can be judged. you will not get it. Input based ToR will also require some form of reporting and this should be specified. warm and relaxing atmosphere. Objective – the purpose of the task. some mention will probably be made of methodology.40 What is specified in the ToRs is what you get. Any limitations. this section is vital – specify exactly what is required and in what format (written. If the process details are essential. no matter the means by which they are to be delivered. Reporting – in Output based ToRs. but not how we are going to achieve it. Even in Output based ToRs. perhaps in a more limited fashion. then Output-based ToRs are more appropriate. Why is the task to be undertaken? A brief description of what is to be done set in the relevant context (i. If it is not specified.. essential details of project status. then Input-based ToRs are needed. NGO. Methodology – in Input based ToRs. e.” Why are Terms of Reference so important? ToRs may be a key contractual document against which the performance of contractors. Scope & Deliverables –this section should specify in some detail what the individual consultant or team is expected to do in terms of the tasks and outputs required. iii. administrative etc. and if space is needed to allow for the professional judgement of the contractor. key partners and stakeholders.g. Remember unsuccessful work is often the fault of ineffective ToRs rather than ineffective implementers / contractors / consultants.) the outputs are required.
Inclusion of project/contract budget. No defined outputs. viii. If different parts of the work are for different people. vii. If it is more than one individual. No defined quality/ continuous improvement plan. Lack of Key Performance Indicators. Ensure that one name is given of the person who is the overall coordinator of the consultant’s work. Inclusion of anticipated input days. Typical mistakes to avoid: • • • • • • • • • • • • Cutting & pasting from similar ToRs without thorough needs analysis. Timeframe – both the general project timeframe within which the consultant’s work will apply and the specific timeframes applicable to the consultant’s work should be set out here. Background – include here all relevant background material or sources.1 gives a brief example of some ToRs. again say so. The more relevant information you provide the more relevant the consultants proposal and subsequent work will be.vi. No defined quality standard. This is common when drafts of the ToRs have been circulated widely. Round-robin email consultation resulting in disjointed comments and analysis leading to a lack of coherence.
Box 7. say so. Coordination – make a clear statement as to who the consultant will be responsible to. Over stipulation of the requirement. Over prescriptive leaving little or no room for innovation and professional judgement. Under stipulation of the requirement. Loss of focus on the objective. Are they clear and unambiguous? Are they sufficient for the task?
to be delivered within 4 months of start of contract. the course will particularly focus on: ∗ key concepts of biodiversity. Reporting A brief report (no more than 4 pages excluding appendices) will be provided within 2 weeks of drafts being agreed by the PFM contact.Box 7. they hold positions of power in decision-making and participatory approaches are generally alien to them. content and design will cover aspects to be agreed. The PFM team recently carried out a training needs assessment relating to the roles and functions of the institutional structures and processes needed to strengthen participatory approaches in forest management in Nkonia. Subsequent delivery of the finalised course is not within the remit of this TOR. Background The Participatory Forestry Management project is a joint Government of Nkonia/GIDA initiative. It is expected the design team will make use of existing materials within project archives including real casework to provide a contextual grounding. The course will be written in consultation with the Outreach Team of the PFM project. trainer notes and handouts will be provided electronically. visual aids. All course materials including course outline. Scope The target audience is Province and District level staff who do not have a forestry or natural resource background but who are involved in decision making processes relating to the management of forest resources. Head of Outreach in the PFM project team. The design phase will extend to delivery of 2 separate pilot courses to determine suitability of content and delivery. roles and support needs to fulfil those roles. the conservation and management of those resources and the coordination of policies related to them. forest ecology and co-management ∗ essential attitudes and skills needed for participatory approaches ∗ sources of forest-related information and knowledge ∗ analysis of stakeholder interests. Coordination The PFM nominated contact is Robert Odhiambo. The consultant must also nominate a similar counterpart who will be available to discuss logistics and administrative details on all aspects of design and pilot course delivery and to provide verbal updates on progress. Objectives. The course is an activity within the Participatory Forest Management project.
. to whom the training consultant will report.1 Example of Terms of Reference Terms of Reference
Purpose To design a one-day training course on the principles of forest co-management. Course design with trainer notes and delegate handouts should be completed within six months of start of contract. The target audience above were identified because they are largely unfamiliar with key forest resource issues. Methodology Methodology is at the discretion of the training consultant but must be interactive and be supplemented by written handouts (including in CD format). The PFM project team lies within the Forestry Commission of Nkonia which is responsible for the regulation of utilization of forest and wildlife resources. Timeframe Basic course outline is to be agreed with the PFM nominated contact within 3 weeks of start of contract. Dates for pilot courses to be agreed with the PFM project.
Some agencies are less concerned about the format as long as the proposal content is robust and includes the necessary information. Indeed different programmes within the same funding agency may have specific guidelines.g. You are very unlikely to be successful with a ‘cold’ application for funding. complete logframe presented at Concept Stage begs the question. Some funding agencies encourage the use of partner documents for submission and approval. Figure 8. fine. If not. with some draft Outputs. PROJECTS AND PROGRAMMES
A typical project proposal format
We have nearly completed the project planning process. has the design been carried out with insufficient process and stakeholder ownership? In general. But it is emphasised. criteria. not more than 7 A4 pages using Arial font 11). A logframe should ‘evolve’ in phases as the project planning develops.
Logframes with the appropriate level of ‘maturity’
The point has been made several times (but it needs repeating here) that the LFA is an iterative process through which a product is developed. including of submission procedures and formats.g. Nevertheless project proposal or submission procedures and formats used by different funding agencies still vary. ‘final’) as is appropriate.
Table 8. one sent to headquarters or an in-country office and not part of an established programme inviting applicants to submit proposals. The aid effectiveness agenda is prompting moves amongst funding agencies towards harmonisation and simplification. ‘How was it designed?’ Good design costs money. Alternatively the logframe could itself be an output of previous work and budget. in which case. a concept stage logframe should only be complete at Goal/Impact and Purpose/Outcome levels (for all 4 columns).e.1 gives and typical project proposal format.1 illustrates this concept. An 82
PROPOSALS. Good practice exists. Are projects a major instrument of fund disbursement (or are most funds allocated through programme aid? Is your proposal in response to an invitation to apply to a fund? In which case what are the objectives. this is only typical. complete. so a ‘prematurely’ complete logframe suggests weak design. So a paramount message is to research the funding agency you are considering applying to: • • • Does the proposed project fit the programme / country / agency strategy? (which in turn should be aligned with national priorities). You must at the earliest stage do your research.8. not more than 5000 words) or number of pages and font type and size (e. guidelines and format for submitting applications? Beware the fine detail in guidelines which may for example limit a proposal to a certain word count (e. A logframe should only be as ‘mature’ (detailed. So a detailed. i.
Activities and outputs. A logframe will not be complete (though it should continue to change during the lifetime of the project) until the end of an Inception stage. There should be the expectation that it will change particularly as each stage is reviewed. But there is nothing worse than activities being carried out (and precious resources being used) when those activities are out dated and no longer relevant or appropriate. Purpose/Outcome and Output levels (for all 4 columns). indeed this should be integrated into the reporting procedure and format. Clearly there are limits to change particularly if the logframe is a key document within a contractual agreement between funder and implementer. At risk of boring you. It is a living document. 8. indicators and data sources and the underlining assumptions all need to be scrutinised for change. Fig. with some draft broad activity clusters.1 Three phases of project development and their associated logframes
Outcome Outputs Activities
Permission to Design
Outcome Outputs Activities
Final Firm but could change Draft
Approval to Implement
Outcome Outputs Activities
Firm but could change
.approval stage logframe should typically only be complete at Goal/Impact. let’s repeat the logframe should continue to change during the lifetime of the project.
Timeframe for the project. PROJECT MONITORING. PROJECT RATIONALE The problem the project addresses. • • • • • • • 2. the numbers of people served out of the total population etc). Who identified the problem and how. amounts sought from other funders and the status of applications Project duration: length of project. • • • BASIC DATA SHEET / SUMMARY Name and address of applicant (the UK-based organisation) Name of project Country/(ies) and region(s) in which the project will take place Names of all local partner(s) Project Summary: a brief statement of project objectives. outputs and main activities of the project. Reporting and lesson learning. Who and how? RISKS The main risks that could affect the project’s success.1 A typical project proposal format
1. • • • • 3. PROJECT APPROACH The goal. the area to be covered. Experience sharing with others. • • • 6. amount sought from funder. Why the current design was chosen. The experience of you and your local partners in working on these issues or in the country / area? Lessons you have drawn on. Interaction with other agencies in the area including Government. • • • • • • 4. Sustainability and exit strategy issues. Mitigation
. Resource requirements. • • • • 5. PROJECT MANAGEMENT AND IMPLMENTATION Project implementation and management arrangements. The primary and other stakeholders. expected results and main activities. purpose. The coverage of the project (e. anticipated start and end dates. LEARNING AND DISSEMINATION Monitor and review arrangements. the main intended beneficiaries etc. Alternative ways the project objectives could be achieved. How they were identified.g.: Project cost: total budget.Table 8. How the project was designed and by whom. The fit of this proposal with funding agency objectives. Importance and probability.
other related logframes.Portfolios of logframes
In our journey through the logical framework process. even hundreds of logframes.2 A portfolio of logframes
INSTITUTION Mandate Mission Objectives
PROGRAMMES Themes Sectors Regions
The diagram reinforces a number of points: • The logframe approach helps in standardising planning and design. In reality projects. and communicating with. either within a single organisation as corporately it seeks to achieve its strategic objectives. At the highest level there may be a logframe that captures the overarching corporate mandate.2 illustrates this principle.
. Within the organisation there may be Divisions or Departments each with their own programmes (and logframes) divided perhaps on a geographical or thematic or sectoral basis. as we saw in Chapter 1. Figure 8. And within each programme there may be a variety of projects each seeking to contribute to the higher programmatic goals. or in a multi-stakeholder partnership where external assistance is being provided aligned with and in support of national goals. we have mainly considered logframes in isolation. Figure 8. will usually be part of larger programmes. several logframes will relate to each other horizontally and vertically. a portfolio of logframes that summarises objectives and plans at different levels. Except in the now-rare circumstances where a project really is an isolated. They need to be developed in cognizance of. standalone effort. For example within a single organisation there may be dozens. mission and strategic objectives. though obviously in a large organisation there may be many more than the three layers shown.
each project (or programme) is in effect an assumption for others at the same level since they are all seeking to contribute to the same higher level objective.
One way in which a portfolio of projects can relate is nesting where logframes share objectives horizontally and vertically. Teams at different levels must communicate. information which can be used to manage and focus across a portfolio. Study the Figure for other cross-linkages. The fourth level is a research project into a particular crop weed called Striga. senior managers must bear in mind that changing corporate priorities will change fundamentally what happens at lower levels. Vertically.
Notice how the objectives relate to each other. Thus the Purpose/Outcome at sector level ‘Research outputs disseminated and implemented’ is more or less the same as the first Output at Corporate level and the Goal/Impact at Programme level. See Figure 8.3.• •
It provides monitoring and evaluation information at all levels. It helps individuals to see the whole to which they belong.3 shows the first columns (top 3 rows only) of four logframes. And horizontally. Figure 8. The third level is a research programme focusing on semi-arid systems. in this case Research. The second level is for a sector strategy. • • • • The highest level could be for a large development agency with a focus on support to crop agriculture.
. This can be powerful in a large organisation where the individual may wonder how they are contributing to top level objectives like the Millennium Development Goals.
2. Impact of pests on cotton production minimised. Purpose/Outcome Research outputs disseminated and implemented. . Control of Striga weed project Goal/Impact Research programmes relating to semi-arid systems successfully operational.
Outputs 1. semi-arid systems programme Goal/Impact Research outputs relating to semi-arid systems disseminated and implemented.
Project level e. Outputs 1. Research outputs disseminated and implemented.g. 3. Policy development strategy successfully implemented. Improved methods of control developed and promoted.Figure 8. Impact of weeds on the crop production cycle minimised. Key researchable constraints removed.
Sector strategy level e. Research strategy Goal/Impact Productive capacity of smallholder cropping sector enhanced on economically and environmentally sustainable basis.g. Economic growth. Dynamics of sorghum/Striga communities better understood and incorporated in crop management strategies. 3. Impact of pests on production of sorghum and millet based systems minimised. 3. Purpose/Outcome Productive capacity of crop sector enhanced on economically and environmentally sustainable basis.
Purpose/Outcome Impact of Striga on the crop production cycle minimised. 2.
Purpose/Outcome Research programmes successfully operational. etc
. Research programmes successfully operational.
Outputs 1. National environmental problems mitigated.g. 2.
Programme level e. Successful operations strategy in place.3 Nested logframes: Weed Research in semi-arid areas
Corporate level Goal/Impact Poverty reduced. 2.
It does not define the results chain right down to project and activity level. either the scope of the expected results would have to be lowered.‘Service’ logframes
‘Service’ logframes relate in a slightly different way. A service logframe is one that ‘provides a service’ to another logframe by for example carrying out a monitoring and evaluation function or by addressing / mitigating a risk. WHO. the private sector) need to commit to provide the necessary assistance. The UNDAF clarifies the responsibility for results within the partnership arrangement. WFP – and the specialised agencies – e.4. civil society.
. See Figure 8. or other partners (e.4 A ‘service’ logframe
abc pqr xyz
The outputs and activities of a service logframe may address the indicators and verification or assumptions of anoth er
An example of a portfolio of logframes: the UN Development Assistance Framework (UNDAF)
In a partner country the UN Country Team (all the represented agencies of the UN such as the Funds and Programmes – e. Figure 8.6 which illustrate a hypothetical relationship within an UNDAF Results Framework.g. Study Figures 8. FAO. It may also identify areas where one or more agencies’ support may not be sufficient to achieve the intended result. It however helps to clarify the contributions different agencies are expected to make to jointly achieve important results. The framework also illustrates the difficulty in attributing the achievement of results to the work of single agencies.5 and 8. donors. The diagrams show how the sum of the agencies’ contributions helps to achieve the UNDAF Outcome and ultimately the national objective.g. In such a situation. ILO. UNDP.g. UNESCO etc) develop a UN Development Assistance Framework every 3-4 years which aligns behind the partner country’s national priorities set out in the National Development Plan. UNICEF.
A typical project result or output.Figure 8.
A typical programme result. Its achievement depends on the contributions of more than one partner. Several agencies and outside partners have to provide significant inputs.5 The relationship between project. Its achievement depends largely on the completions of activities.
Figure 8.6 An example of programmes and project contributing to an UNDAF Outcome
Country Programme outcomes in the UNDAF UNDAF outcome supporting MDGs and national goals
25% reduction in new HIV infections by 2009
Conditions favoring risk-free behaviour
All large employers have policy and campaigns on HIV in workplace (ILO) National bodies exist that oversee implementation of AIDS prevention activities (UNDP)
Reliable HIV surveillance
Voluntary and confidential testing and advice available
Policy on VCT agreed among major stakeholders (WHO) Health workers able to conduct VCT (UNICEF)
90% of people know how to prevent HIV infection
High risk groups know how to prevent HIV (EU) 90% of young people 12-18 know how to protect themselves (UNICEF) Multi-media campaign messages reach 90% of all people (UNESCO)
Universal access to condoms
Policy on condoms agreed among major stakeholders (UNFPA)
HIV surveillance system set up (WHO)
Agency level outputs in the UNDAF
Supplies of condoms guaranteed (UNFPA)
UNICEF (2005) Understanding Results-Based Programme Planning and Management
. programme and UNDAF results42
A typical UNDAF results area and UNDAF Outcome.
To determine the precise degree of attribution may not be the priority. sector-wide approaches and budget support.doc 44 Flint M (2003) op cit
.Attribution. attributable change)’ .e. Long-term horizons and weak data exacerbate the problem. Instead of looking ‘downwards’ from the result to the effort. is that there is a credible linkage between effort and result. Attribution ‘Attribution is the extent to which a result is caused by the activity. and yet the need and demand for accountability is just as strong. What is more important in a review of contributions by partners. Outcomes become much less tangible at country and global level and in multi-partner efforts. the better
Flint M (2003) Easier said than done: A review of Results-Based Management in Multilateral Development Institutions. how would the outcome have been different?’43 In the present environment of programme level interventions. This involves making judgements about the interrelationships in a multiple-partner effort. attribution has become increasingly a thorny problem. stand-alone projects with their separate implementation units. If there is no activity. The aid effectiveness and managing-for-results agenda has meant that the need to show results for accountability has rightly become a major driving-force in development work today. ‘Attribution may be difficult but this does not mean that seeking credible linkages between outputs and outcomes is impossible or that resultsbased management is a non-starter for development agencies. but it is easier to be confident about contribution than attribution. contribution and aggregation
We discussed the notions of causality and attribution in the context of resultsbased management.2003. it looks ‘upward’ from the effort to the result. With discrete. Aiming for specific development outcomes and impacts remains a powerful and useful principle. Contribution Contribution is the extent to which an effort has supported a result. ‘The better defined the results.parcinfo. You may think the distinction is pedantic. http://www. It looks at change from the other direction. Development agencies should manage for outcomes and support developing countries in measuring these’44. project. indeed it may be unknowable.org/documents/Results Based Management/Review of RBM in Multilateral Development Institutions . demonstrating the outcome and impact of what you do is relatively straightforward (though even then far from easy!) With multi-partner programme work this is much more difficult. Attribution is very difficult in these circumstances with ‘a clear tension between the benefits of an outcome focus and the need for results to be results in the proper sense (i. programme or agency.
Clearly any scoring system depends firstly on compliance (that staff will carry out and report on scoring. the clearer this linkage will be. Secondly it depends on the quality of scoring.undp. but even then incentives may work against quality of scoring. decrease in maternal mortality rates and more girls at school).doc
. Ultimately such aggregations can be used by Senior Management as one means of monitoring corporate performance. Thirdly aggregation of scores can itself be done inappropriately leading to unjustifiable conclusions. Quality can be improved by involving partners in the exercise. The findings can take on a degree of statistical validity which does not face up to scrutiny.’45 Aggregation Assessing performance results and then aggregating those assessments are associated problems.org/eo/documents/methodology/rbm/RBM-technical-note. some agencies use a spending block in address non-compliance). Performance scoring and aggregation may be a rather blunt instrument for assessing and managing performance across a project portfolio. Nevertheless the increasing demand for accountability and visible results is prompting agencies to explore this path. at programme or country level. http://www. It is however not without considerable pitfalls. scores can be aggregated across a portfolio of projects. More feasible is the aggregation of performance ratings or scores. a Technical Note. Aggregating actual diverse results is generally meaningless (e. We discussed performance scoring for individual projects at Output and/or Outcome / Purpose levels.g.
UNDP (undated) Knowing the What and the How: RBM in UNDP.monitored the progress and the better designed the intervention. With care.
intended or unintended. technical assistance and other types of resources are mobilised to produce specific outputs.doc
.APPENDICES APPENDIX A: GLOSSARY OF KEY LOGFRAME TERMS
The following are the key terms used in the log frame approach. sector wide approach etc. notes are added were necessary for clarification. directly or indirectly. socio-cultural. or what can be reasonably inferred to have been achieved in similar circumstances. These effects could be economic. French and Spanish and • UNDG Approved Harmonised Results-Based Management Terminology (2003)47. Notes
Development Intervention Goal
An instrument or approach for partner (donor or non-donor) support aimed to promote development The higher order objective to which a development intervention is intended to contribute. An assumption is a necessary condition for the achievement of results at different levels. See Impact. human. programmes.g.pdf www. material technological and information resources
Term Activities Definitions Actions taken or work performed through which inputs. technological or of other types. environmental. such as funds.
The financial. The definitions are drawn largely from 2 key documents: • OECD DAC Glossary of Terms in Evaluation and Results Based Management (2002)46 in English. Hypotheses about factors or risks which could affect the progress or success of development intervention. For example projects.org/documents/2485-Results-Based_Management_Terminology_-_Final_version. ‘Goal’ is synonymous with positive impact. institutional. A benchmark refers to the performance that has been achieved in the recent past by other comparable organisations. long-term effects on identifiable population groups produced by a development intervention.oecd. See Risks. Positive and negative. not solely to things e.undg.org/dataoecd/29/21/2754804. An analysis describing the situation prior to a development intervention against which progress can be assessed or comparisons made. Note that both Goal and Impact should relate to people. an ecosystem. A reference point or standard against which progress or achievements can be assessed. budget support.
The inter-relationship of two or more Logical Frameworks to illustrate how they communicate and share objectives at different levels. synonymous with formative indicator or target in contrast with terminal – at the end of a given period or intervention. More or less synonymous with Evidence or Verification or Data Sources. Outputs are like promises. Outcome has become synonymous with Purpose. Limit the Outcome to one succinct statement to ensure clarity and focus. most often at project level. The team has a high degree of control over the delivery of the outputs. A generic term referring to Activities. by whom and when. Outcome statements typically describe the change of behaviour resulting from the uptake or use or implementation by others outside the project team (often beneficiaries) of the Outputs. an personal development plan) and at higher levels (e. budget support.such as an UNDAF Monitoring and Evaluation Framework).g. execution and evaluation of a development intervention. Avoid using it more narrowly e. Outcome and Impact. Significant points in the lifetime of a project.
The likely or achieved short-term and medium-term effects of an intervention’s outputs. Outputs. usually requiring the collective effort of partners.
See Performance Indicators. Intermediate Objective. Outcomes represent changes in development conditions which occur between the completion of outputs and the achievement of impact
The products and services which result from the completion of Activities within a development intervention. Hence the term may apply to a milestone indicator or target.
Means of Verification (MoVs) Nesting
To avoid confusion it is best to only use this term generically.g. It involves identifying strategic elements (inputs.
. they are the deliverables.g. Development Objective. the term of reference of the project manager and team. outputs. outcomes and impact) and their causal relationships. It thus facilitates planning. is also used at lower levels (e. programme. Though most often used at project level.Term
Definitions used for the development intervention. indicators and the assumptions and risks that may influence success and failure. Specific Objective. Data sources and reporting mechanisms that specify how indicator data will be collected. Typically synonymous with Results Framework or Design and Monitoring Framework.
Logical Framework or Logframe
A management tool used to improve the design of interventions. Times by which certain progress should have been made. or country levels .
outcomes and impacts). impacts and feedback. Specify indicators and targets in terms of quantity. A series of activities aimed at bringing about clearly specified objectives within a defined time-period and with a defined budget. synonymous with Output.
Problem Analysis Project
A structured investigation of the negative aspects of a situation in order to establish causes and effects. it is used synonymously with Development Intervention.
Results Based Management
RBM rests on clearly defined accountability for results and requires monitoring and selfassessment of progress towards results. It is useful to view assumptions as the conditions that remain after
. Result is best used as a generic term for output. including underlying assumptions.
A risk should not be written as the negative of an assumption (e.
The publicly stated outcome of a project or programme. products and services contribute to the achievement of desired results (outputs. and culminating in outcomes. and reporting on performance. See Target. Outcome is preferred in UNDG terminology.Term Performance Indicator
Definitions A quantitative and/or qualitative variable that allows the verification of changes produced by a development intervention relative to what was planned.
Notes Synonymous with Indicators or Objectively Verifiable Indicators. moving through activities and outputs. A potential event or occurrence could adversely affect achievement of the desired results. Based on a theory of change. a target is a specific end point.
Results are changes in a state or condition which derive from a causeand-effect relationship. Assumption = ‘inflation remains at manageable level’. quality and time. i. Purpose has become synonymous with Outcome. outcome and impact. positive and/or negative) which can be set in motion by a development intervention – its output. In contrast the EC uses the term narrowly. There are three types of such changes (intended or unintended. Confusingly the term is sometimes used more widely to include programmes and budget support. outcome and impact at any or all levels. Risk = ‘Hyperinflation’). A management strategy by which an organisation ensures that its processes.e.g. An indicator is a means of measuring change. The causal sequence for a development intervention that stipulates the necessary sequence to achieve desired objectives – beginning with inputs.
. The continuation in the benefits produced by the intervention after it has ended.
Identification of all stakeholders who can influence the intervention or are likely to be affected (either positively or negatively) by it. group. Let indicators evolve into targets during design and implementation as baseline data and stakeholder ownership improve. ‘Halve.Term
Notes mitigatory measures have been put in place. Indicators are means. and those involved or excluded from the decision making process.g ‘the proportion of population below minimum level of dietary energy consumption’ is an indicator. the proportion of people who suffer from hunger’ is a target. See Performance Indicator. organisation or institution that has an interest in an activity. targets are ends. E.
Any person. between 1990 and 2015. winners and losers. A specific level of performance that an intervention is projected to accomplish in a given time period. project or programme. This includes intended beneficiaries and intermediaries.
Greater equality. Increased Access. More understanding of male underachievement and of needs. PS: to retain overall control through Project Steering Committee. Greater use of materials to support interactive. Training and Study tours for officers. A practical focus to the curriculum. Improved schooling. School achievement. Opportunities to improve livelihoods. CEO: That he remains involved. Improved gender sensitivity.APPENDIX B: EXAMPLES OF STAKEHOLDER ANALYSES Jamaica All-Age Schools Project
No. Improved statistics on training. Greater support from community. Poverty Reduction. Improved opportunities for girls and boys. Guidance and Counselling teachers placed in project schools. Support for upgrading the most vulnerable schools. Enhanced training opportunities. Strengthen operation. Enhanced capacity to manage school. Better trained teachers. An improved school. Increased involvement in school management. improved attendance. A greater understanding of gender relations in school.
SECONDARY Community members
4 5 6 7 8 9
Parents: mothers Parents: Fathers School Principals Teachers Untrained teachers School Boards
+ + + + + +
=2 =2 =3 =3 =3 =3
10 11 12
DFID The Ministry of Education: general Chief Education Officer/PS Planning Department Guidance and Counselling Unit
+ + + + + +
=4 =4 =4
15 16 17
Professional Development Unit Core Curriculum Unit Media Services Unit
+ + +
=5 =6 =7
Scale 1-10. greater decentralisation. Stakeholders Interests
Likely Impact of the Project Priority of Interest
PRIMARY Girl pupils from low income families Boy pupils from low income families
School achievement. 1 = Highest Priority
. G and C college tutors: increased recent and relevant experience through action research. Project effectiveness. a relevant interesting curriculum a job. flexible ITT. Greater involvement in management of schools. A greater say in the management of the school Improved opportunities for girls and boys. More accessible. To house project manager. More resources for the school. a job. Assistance in implementing new primary curriculum. More training. Greater capacity to do job effectively. Qualification. improved literacy. a relevant interesting curriculum. Teaching and Learning. Training for Language Arts and Maths teachers. improved salary. Greater capacity to effectively manage school. Reduction in levels of poverty. Possibility of training without giving up job. More equitable representation of community members. Greater links with the Regions. Further decentralisation in decision-making.
Training for teachers in reading preparation skills. Involvement in Action Research. industry Basic/Infant Schools . Training in School Development Planning. Assistance form ACREOs. Avoidance of duplication. with Parish Zonal Officers: For ACREOs to partner with Parish Zonal Officers. Better physical infrastructure. Possible funds for project communities. Better equipped libraries in schools. Tthe need to ensure that agencies work together. Better-educated workforce. Improved school support. To design the flexible ITT programme. Staff training. Involvement in project activity.
+ + + +/+ + + + + + + +/+ + + + + + +
=6 =8 =6 =6 =8 =6 =6 =5 =5
27 28 29 30 31 32 33
=5 =6 =7 =7 =7 =9 =7
. Assistance with training School Boards. Liaison. More resources (for the two regional Offices Involved). To be involved in project activity related to assessment.Early Childhood Education School Library Service Social Development Commission Social Investment Fund Reform of Secondary Education project (ROSE) Other Lead Donors: USAID /IDB/ World Bank UNICEF
Greater access for those needing remedial help. A more coherent approach to remedial education. Closer cooperation with Primary schools. The need to expand and develop early childhood education. Greater decentralisation. Greater assistance to project communities.18 19 20 21 22 23 24 25 26
Special Education Unit Projects Unit Technical Services Unit: Buildings Joint Board of Teacher Education Jamaica Teachers Association National Assessment Programme National Council for Education Regional Education Offices Community Relations Officers Territorial Education Officers Teacher training Colleges MICO College Moneague College University of the West Indies Local businesses. To provide funds for community improvement. More qualified members with increased salary. Assistance with introducing National Curriculum into AllAge schools. Close cooperation between projects. Increased expertise in training teams on adult learning strategies and distance/flexible learning. Greater understanding of their role. Close liaison and cooperation esp. Possible use of study centres as assessment centre for pupils Specialist College for the development of reading. The issue of remedial education is addressed cooperatively and coherently. Training. To manage and implement minor works. Co-ordination between this project and USAID New Horizons via reporting arrangements. Partnerships. An integrated approach to the development of the whole community. Strengthened capacity.
Possible reduced control. Cooperation in community development. MIDA. Support for their schools. Improvement in their constituency schools. Possible reduced control.41
42 43 44
Jamaica Movement for the Advancement of Literacy (JAMAL) Churches Members of Parliament Other agencies working with communities such as Public Health.
=8 10 =7
Schools to provide facilities for adult literacy and other adult education provision.
26 27 25 10 11 15 12
1 Girl pupils from low income families 2 Boy pupils from low income families 3 Community members 4 Parents: mothers
12 Chief Education Officer/PS 13 Planning Department 14 Guidance and Counselling 15 Professional Development Unit 16 Core Curriculum Unit 17 Media Services Unit 18 Special Education Unit 19 Projects Unit
23 National Assessment Programme 24 National Council for Education 25 Regional Education Offices 26 Community Relations Officers 27 Territorial Education Officers 28 Teacher training Colleges 29 MICO College 30 Moneague College 31 University of the West Indies 32 Local businesses. RADA
.JAASP Stakeholder Analysis: Relative Influence and Importance Matrix High Importance
A 1 2 5 3 4 44 28 35 18 39. 7 8 B 9 6. industry 33 Basic/Infant Schools . 36. MIDA. 21 20 1.Early Childhood Education
34 School Library Service 35 Social Development Commission 36 Social Investment Fund 37 Reform of Secondary Education project (ROSE) 38 Other Lead Donors: USAID /IDB/ World Bank 39 UNICEF 40 UNESCO 41 Jamaica Movement for the Advancement of Literacy (JAMAL) 42 Churches
5 Parents: Fathers
6 School Principals 7 Teachers 8 Untrained teachers
9 School Boards
10 DFID 11 The Ministry of Education: general
20 Technical Services Unit: Buildings 21 Joint Board of Teacher Education 22 Jamaica Teachers Association
43 Members of Parliament 44 Other agencies working with communities such as Public Health. 29 30 33 34 22 D 40 C 13 41 32 38 37 16 24 23. 17.
JAASP Stakeholder Analysis: Summary Participation Matrix
TYPE OF PARTICIPATION STAGE IN PROJECT Identification Planning Inform Consult Partnership Control
Churches MPs Local Bus. Other community agencies/ NGOs
Girl Pupils Boy Pupils Parents Community School Board Teachers Untrained teachers JBTE NAP JTA NAP NCE Planning Dept. School Library Serv. Churches Girl and Boy Pupils UNICEF
Early Childhood TTCs MICO College UWI Social Development C. JSIF Other Lead Donors UNICEF UNESCO JAMAL ROSE JAMAL Other community agencies/ NGOs
DFID MOEC Principals CEO/PS Planning Dept. Guidance and C. PDU CCU
Media Services Projects Unit Tech. Services: Build. Regional Offices CREOs TEOs Moneague College School Library Serv.
MPs JTA JSIF Other Lead Donors UNESCO Local Bus.
Principals School Board Community Parents Teachers Untrained teachers PDU CCU Regional Offices CREOs TEOs Guidance and C. Special Ed. Unit Principals School Board Community Parents Teachers Untrained teachers CREOs TEOs Girl and Boy Pupils
Tech. S.: Build Media Projects Unit JBTE Early childhood TTCs Moneague MICO NCE NAP UWI SDC ROSE Early childhood TTCs
DFID (TAs) /MOEC (Project Man.) CEO/PS (Steering Committee)
Monitoring and Evaluation
DFID MPs JTA JSIF Other Lead Donors UNESCO ROSE CEO/PS (Steering Committee)
Local Bus. Planning Dept. School Library Serv. Churches
Regional Offices PDU CCU JAMAL Other community agencies/ NGOs Guidance and C. Special Ed. Unit
Tech. S.: Build Media Projects Unit JBTE Moneague MICO NCE NAP UWI SDC
LINK Institution/TAs External Consultants?
Zambia Health Sector Wide Approach (Swap)
A. Primary Stakeholders
stakeholder group 1. The Zambian public, especially poor people (A heterogeneous group including urban and rural people, women, children, people living with chronic illness (especially AIDS), people suffering from seasonal diseases, and disabled people.) interest improved health status how support affects particular interest (+) significantly increasing the resources available through basket funding is the best way we know to improve services at the health centre and health post level, where most poor people receive care (+) essential drugs will be available (+) enhanced funding for drugs and supplies may influence morale of health centre staff; improved training and more supportive supervision methods should also help (+) study of and support for participatory structures (together with Central Board of Health (CBoH), Zambia Integrated Health Programme (ZIHP and others) will strengthen capacity of community-based structures such as Neighbourhood Health Committees (NHC). (+) action-oriented studies will identify major barriers to access for women and the poor. These studies will influence policy decisions and resource allocation vis a vis gender, user fees, etc. priority of interest (1-4)* 1
affordable, accessible health care & medicines better treatment of the public from health centre staff
more powerful public voice in operations of locallevel health services
more appropriate services offered to vulnerable groups
B. Secondary Stakeholders
stakeholder group 2. Zambian health workers (formal sector) interest better working conditions, better equipment potential that there will be an increase in public expectations, and a sustained pressure to perform to a high standard through empowered NHCs and District Health Boards (DHBs) how support affects particular interest (+) (-) priority of interest (1-4) 2
Key: Relative priority; range 1=high, 4=low
3. CBoH/ MoH managers & administrators
more resources means more capacity to realise the National Health Strategic Plan (NHSP)…. … but more CP resources also means increased CP leverage and influence on policy and spending through the Health Sector Support Steering Committee (HSSSC)
helping poor people to realise their right to basic health care achieving the health MDGs (MMR, IMR, reproductive health, gender equality) less control over the detail of expenditure of UK £ more influence over policy and resource allocation
(+) (+) (-) (-) (+)
5. Other cooperating partners (CPs (primarily Danida, Netherlands, EU) 6. Health sector governing bodies such as DHBs and NHCs 7. Churches Medical Association of Zambia (CMAN) 8. Pro-poor advocacy and rights groups such as OxfamZ and Equinet 9. Health service delivery NGOs
significant investment in an improving health system
control over more resources to improve local health outcomes
funding from CPs, capacity to provide a higher standard of care to more people more resources to improve local health outcomes, with an emphasis on equity
gradual loss of direct CP support to the NGO sector overall …but some NGOs will continue to benefit
4 10. Private sector service delivery: pharmacists, private practitioners, traditional healers 11. Political parties coordination and involvement through strengthened DHBs income from customers/clients claiming credit for improvements in the health system; scape goating other parties for system failures; party manifestoes may form the basis for health policy (as with 1990 reforms) (+) (-) (+) for the ruling party if the sector flourishes; (-) for opposition parties if the sector 4
and importance to. International NGOs with an interest in social and economic rights in Zambia (Oxfam UK/I) winning contracts.High power 7 D
. making money improving all Zambians’ access to social services (+) (+) 4 4
Matrix classification of stakeholders according to relative influence on. 5 C 12 9 11 8 10 13 Low importance Low power …………………………. Zambia health SWAp High importance A 1 2 6 4.flounders 12.. Drug and supply companies 13.
Is there only one Outcome / Purpose? iv. Is the Outcome / Purpose too remote from the Outputs? vi. Are the Outputs and Activities linked /cross-numbered?
.APPENDIX C: CHECKLISTS FOR REVIEWING A LOGFRAME A checklist for reviewing the hierarchy of objectives
A simple checklist for checking the objectives in column 1. Does the logic work? • Vertical logic in Column 1 Then
If • Is it necessary and sufficient? (i. Does the gap between Outcome / Purpose and Outputs show realistic ambition? Is it assessable? Is the causal link strong? viii. Is the Outcome / Purpose clearly stated. is too much or too little being proposed?)
iii. ‘through’ and ‘so that’. avoiding phrases like ‘by’. Are the Outputs deliverable? ix. v. i. Do we see Process as well as Product objectives? x. Is the Outcome / Purpose more than just a reformulation of the Outputs? vii.e. Do they answer • • • • Goal / Impact Outcome / Purpose Outputs Activities Greater Why? Why? What? How?
ii. ‘in order to’.
of such high probability and impact. is too much being proposed?
ii. have they been managed? iv. have mitigatory measures been included as Activities and Outputs? i. Does the logic work? • Check the diagonal logic for Columns 1 and 4 THEN
AND these assumptions hold
Is it necessary and sufficient? Again. Are the Assumptions at the right level? vi.g from the Problem trees? Etc. Should the project proceed in view of the remaining assumptions? Or is there a KILLER risk that cannot be managed. Where risks are manageable. moved into Column 1? v. Where possible. i.A checklist for reviewing the Risks and Assumptions
A simple checklist for checking the assumptions in column 4.g. Are the risks specific and clear? Or too vague? iii. that it fundamentally undermines the project and forces you to stop and rethink the whole project?
. is enough being proposed. Have all the important risks been identified? • • e. from the Stakeholder analysis? e.
Are the Indicators described in terms of Quality. Are the Indicators and Data Sources:
iii. Summative and beyond Qualitative and Quantitative Cross-sectoral?
v. Quantity and Time (QQT)? • • • • Relevant Valid / Reliable Measurable / verifiable Cost-effective / proportionate? ii. Are the Data Sources • Already available • Set up where necessary within the project? vii. Are the Indicators necessary and sufficient? Do they provide enough triangulation (cross checking)? iv.A checklist for reviewing Indicators and Data Sources
A simple checklist for checking columns 2 and 3. Are the Indicators varied enough? • • • • • Product and Process Direct and Indirect Formative. Is there adequate baseline data? Is further baseline measurement needed?
. Who has set / will set the Indicators? How will indicators be owned? vi. i.
APPENDIX D: EXAMPLES OF LOGFRAMES
These are not intended as model logframes.3 Raise funds 1. merely ones that are useful in a workshop for reviewing.3 Get planning permission 2. A safe.8 Conduct user survey & evaluation with kids
Swing completed and in use Safety certificate on in 12 months completion Minimal number of accidents Accident records. bruises. Swing maintained and in use Maintenance and annual over minimum 5 year period safety inspection records
Safe recreation leads to happiness and community integration Facilities don’t create conflict People see the benefit of it Easy maintenance
Activities: 1.6 Test it 2. minor cuts & hospitalisation Few repairs needed Maintenance log Planning team set up by x Minutes of meetings Committee chosen by x Monthly meetings during Attendance records planning & building phase with > 8 members Budget Accounts Enough money raised by x Income/receipts Rota agreed amongst parents to maintain swing by x Ideas generated and incorporated in design Designed by x Planning permission by x Tenders issued by x Contract awarded by x Completion by x Tested by builders by x Inspection by x Survey carried out by x Quarterly rota pinned on library notice board Plan discussed with designers Design in hand Permit in hand Documentation Documentation Verbal report Certificate in hand Findings displayed in public library
No vandalism Kids like and use it Kids don’t fight
Enthusiasm and participation maintained Low inflation Sufficient funds raised
Permission given Building firm reliable and capable
.7 Safety inspection on completion 2. be busy and safe enhanced
Objectively Verifiable Indicators
Number of stressed families decreases by 50% Other communities adopt similar ideas 75% of local young kids use the swing at least once a month Kids’ opinion on life in the village improved
Means of Verification
Reports from village clinic and counsellors Newspaper articles User survey Participatory evaluation with the kids
Birth rate continues
1. well-built swing
6-monthly meetings after Minutes of meetings completion with > 5 members.4 Commission builder 2.5 Build it 2. Capacity within community to manage the building and long-term maintenance of the swing 2.4 Set up systems for maintenance 2.1 Consult kids 2.2 Set budget 1.2 Design it 2.1 Establish community committee 1.
Community recreation facilities for kids
Goal: Integrated community with happy kids and adults Kids’ ability to have fun.
REO records and reports TEO Monitoring reports Programme documentation Course registers and records
2 Improved school management
20. Co-operation from other agencies.11 Programme designed and accredited by Y1 3. Officers and college staff sufficiently competent to make distance
3 Distance learning established to provide initial training for unqualified teachers. expected reading age at Grade 4 6 10% increase in attainment in core subjects at Grade 6 and Grade 7 and 9 tests. Interest of community members. 7 10% increase in the number of pupils progressing to secondary education 8 School attendance at 85% 1. 3.6 50% reduction in boys’ and 25% reduction in girls’ absenteeism by Y3 2.5 50% reduction in school vandalism by Y3 1. Training and support is sufficient to enable schools to formulate and implement plans 21.4 80% of school boards and PTAs operating effectively with representation from all groups in the community by Y2. 1.Jamaica All-Age Schools Project
Narrative Summary Goal: Improved lifetime opportunities for poorer children Indicators Means of Verification Tracer Studies of pupils from programme schemes GoJ School Profile Document. 19. JBTE approves programme 22. or above.7 School Development Plans implemented in all schools by Y2. GoJ remains committed to poverty reduction through investment in education
Increased community participation in the management of schools
Minutes of meetings Empanelment reports Logbooks and attendance records Community profile conducted by CREOs Plans submitted to Project manager.12 120 teachers from project schools enrolled in training programme by Y1
NAP assessment data Student Assessment Unit data
17.6 School Development plan prepared in all project schools by Y1 2.
. Places available a nearby full secondary schools
Purpose: Better education for children from poor communities
By EOP 5 10% increase in the number of pupils reading at. Jamaican economy provides employment opportunities
16. Risks and Assumptions
Increased number of children from poor communities finding employment or accessing higher levels of education
Systematic REO plans for INSET provision to remote schools effectively implemented by Y2
School based staff development in all schools by Y2 All teachers using interactive teaching with focus on literacy by Y2 Effective learning support in all schools by Y2 One teacher from each feeder Basic school trained in the Reading Readiness Programme by Y2 40% more children score higher in the NAP entry assessment by Y3 Effective guidance and counselling in every project school by Y2 50% of teachers of Grades 7-9 trained in ROSE curriculum and methodology by Y3 Improved data collection and processing in REOs (MIS) by Y3
Reports to project steering committee Staff development plans in SDPs Course register TEO monitoring Course registers
model effective 23.8
4.2 Appraisal and design process by Y2 7.3 Project memorandum completed by Y2
Baseline data and research reports
Monitoring reports from Project Manager
30.1 Action research taking place by Y1 7.2 4.1 Books and equipment being used effectively by Y2 6. especially those in small schools.3
4. Early drop-out by untrained teachers from programme
4.4 Regional and national systems strengthened to provide training and support for improved learning.9
5 Appropriate levels of learning resources provided to meet curriculum needs 6 Minor rehabilitation works identified and carried out through school development plan process 7 Phase 2 designed
5. 25. ROSE training teams available to the project
4. Efficient procurement and delivery system 29. There are sufficient untrained teachers with entry qualifications 24. Sufficient capacity in Ministry to fund employment and training of Guidance Counsellors 27.6
4. Training overload of teachers. Time taken to complete work
7.4 4.1 Completed work by Y3
Observation reports by TEOs
28. A culture of learning will develop
NAP data Programme documentation NAP data 26.
1 Minor works which will enhance the quality of teaching and learning identified through School Development Plan 7. 1.1 Sensitisation of communities and formalisation of community representation.1 Preparation of REO Development Plan to include INSET delivery 4.1 Project menu of materials and equipment established 5.6 Create a focus on literacy in the community 4. 4.10 Study visits for MOEC officers 4.2 Schools’ Needs Assessment carried out as part of School Development Planning Training in use of materials and equipment 6.5 Training of teachers in assessing and addressing special needs 4.3 Appraisal and design of Phase II
.4 Literacy training is provided for project school teachers 4. 2. 5 days pa 3.9 Training for College tutors of Guidance Counsellors and MOEC officials using action research model 4. RADA.1 Develop a programme to meet the needs of untrained teachers in remote rural all age schools (to include a gender component) 3.1 Baseline study undertaken 7. 2.2 Action Research on specific aspects of the project 7. Peace Corps.8 Group of teachers to conduct action research on gender and boys achievement in school 4.1 Training for Principals/School Boards/TEOs in School Development planning.3 College staff to train literacy resource teachers 4. Public Health.7 Provide Reading Readiness Programme to feeder Basic Schools 4.2 Establish partnerships with SDC and other agencies e.2 Strengthen literacy and learning support training for Moneague college staff/MOEC officers at regional level.2 Inset for College staff 3.Activities: 1.g. JAMAL to target other forms of community development and job creation.2 Training for Principals in Instructional Leadership/School Management. UNICEF.3 Contract with Teacher Training Colleges for implementation and monitoring programmes 4.11 Capacity of Regional Office to support remote rural schools strengthened including MIS 5.
Increase in enrolment and retention of children including hardest-toreach especially girls in schools by end of project. 7. 6. 1.Government commitment to the International Labour Standards.No disruption due to political uncertainty and the Telangana movement.State’s fiscal position does not impact on allocations for UEE and CL.
1. Reports of implementing agency and of monitoring agency.Willingness to implement National legislation. Achievement of GoI targets. ILO documents. 8. CL in slate industry in Markapur is eliminated by the end of the project.
Govt has a strategy to end CL in the state.2 Number of working children reduced in pilot area by end of project. Progress towards compliance with UN CRC targets. ILO takes elements of approach into other areas of IPEC. District records.
1. ILO-IPEC contribution to the development and implementation of the State’s strategy to end child labour in AP. Progress towards ratification of ILO C138 & C182. of Education.2. 1.International Programme For The Elimination Of Child Labour Andhra Pradesh State Based Project
To reduce and prevent child labour in India
Objectively Verifiable Indicators
The GoI and of other states show interest in the Andhra Pradesh state strategy and in replicating its elements.1 ILO –IPEC records Action Programme documents
DPEP records. 9. 2. 2. Strategy implemented for the prevention and elimination of child labour in pilot areas of AP.AP Dept of Education and DPEP respond to
. GoI report to UN.1 Plan for contribution developed by end Sept 2001. 2. Forum for consultation on CL initiated by December 2001.
2. NCLP records.
State Govt records.
Means of Verification
GoI and State documents.Lack of adequate and appropriate AP legislation does not impede the process of elimination of child labour. DPEP.
2. ILO documents.
State expands measures towards universalising elementary education into additional mandals with focus on child labour.1 Six Action Programmes developed in collaboration with primary stakeholders by Sept 2001 and implemented by end of project.1 Report.
Annual statistical reports of Dept. 4.
Replicable pilot interventions which contribute to the progressive elimination of child labour in Andhra Pradesh developed.Nation wide commitment to Universal Elementary Education. 3.Lack of appropriate national legislation does not impede.
1.2 Implementing agency records Govt records
5 Government continued focus on Child Labour.2 Report of consultation.
3 and 3.1 and 3. lessons. Strategies for addressing the hardest-to-reach child labour.3 Employers Associations advocate elimination of CL.Limited focus on enforcement does not jeopardise reduction in CL. possibly B
12.3 Methodology developed for collecting baseline information on the hardest-to-reach available by end of project.
5.4 Collective agreements between unions and employers include a clause on CL. 13.
4.2 Reports and discussion papers prepared by CSOs
Media reports on CSO activity on CL.2 Requests from within and outside AP for information. Lessons and best practice identified. 3. 3. 5. 4.2 Baseline information on GCL in pilot areas by December 2001.1 Trade Unions include child labour in their agenda and policies on labour issues. documented and disseminated. 5.Implementing agencies perform effectively. 4. 3.needs of UEE.3 Implementing agency reports and project documents.
4. 6. agreements). employers) mobilised.There are no further delays in start-up. A. 3. resolutions. 5.
6. long-term settlement U/S 12(3) and 18(1) of ID Act. Network of civil
society organisations with common agenda addressing child labour established. 3. ILO social partners (including Trade Unions. including girl CL.1 Network records.1 Strategy document.4 Collation of minutes of meetings of employers associations. 5.2 Collation of TU records (minutes.
4.2 Trade Unions influence government to initiate measures to end CL.1 Documents on file 6.1 x documents in a wide range of forms developed. 5. Press reports of employers’ action. limited expenditure B Mini-programmes of expenditure of less than $5000 or external collaboration contracts.
ILO Categorisation of activities A Activities that are done by the central project team. 11.2 Implementing agency reports.
6.3 Number of state and district level meetings on CL by CSO network. papers etc.2 Record of requests Press reports
1.Increased resources are allocated for UEE.1 Strategy developed by December 2001 5. 6. piloted.2 CSO network agenda of action agreed by June 2002 and implemented by end of project. 3. 4. 10.1 CSOs from at least 16 districts become members of the network by end March 2002.1 Draw up an action plan for contributing to scaling up50 strategy. require implementing agency C Action Programme of expenditure more than $5000.3 Minutes and
reports. 3. requires implementing agency possibly with elements sub-contracted to an executing agency(ies)
3 Conduct studies on Government policy on CL and feed in outcomes into Government policy and implementation. B or C 4.2 Support the on-going Integrated Girl Child Labour Programme of Govt of AP. B or C (with 4. C 2. C 5.2)
14.1 Develop and implement a strategy to target young children (4-8 years) at risk of joining the workforce. they have a minimal impact on the project. 18.1 Develop and implement programme for Girl Child Labour (10-15 age group) in pilot areas.If natural disasters occur. 19.1 Implement the Trade Union Action Programme against CL as approved by the Steering Committee 30/4/01.CL employers’ response will not be such that it impedes the project. 15.3 Sensitisation and capacity building of key government agencies and civil society partners. C 2. C 3.2 Develop and implement an Action Programme for mobilising 3 categories of employers against CL. B
5.3 Research and develop strategies to address the problem of the hardest-toreach CL in AP.1. A/B 1.Key individuals trained are retained. A 4.Willingness to draw on the expertise of CSOs.Proper PM&E systems can be developed. It does not imply the repetition on a wider scale by the project of interventions used by the project in pilot areas. B 2. C 2. 16.6 Develop exit strategy and conclude activities of IASP in Markapur including TECs C 3.
.Hidden CL can be identified with reasonable accuracy. C 2.4 Support additional income opportunities to families of CL.5 Develop and pilot a model PM & E system.2 Develop and implement a strategy for creating community level awareness on CL C 2. enrol them in schools and retain them.2 Networked CSOs agree to a common position and plan.2 Establish a continuous dialogue with government on CL policy and implementation. B Scaling-up here implies an influencing of others in policy development and implementation. C 4. such that lessons and processes learned are applied on a larger and wider scale outside pilot areas.1 Draw up a plan for networking CSO.3 Ensure regular flow of information amongst the CSOs on CL initiatives. 17.
5.3 Disseminate lessons to audiences within and outside India. A 6. or possibly B 6.4 Influence Govt policy to reach the hardest-to-reach groups.2 Document lessons in format appropriate to a range of specified audiences. A. B
.4 Conduct review event involving key stakeholders 10 months prior to the end of the project. B/C 6.1 Early lessons prepared for contributing to dialogue at state level. B 6.
(NACP target) Reduction in TB prevalence from 400/100.8 to less than 0.8 to 4 in 2004 and to 2. (I-PRSP & NHP target) HIV prevalence remains below 5% among vulnerable groups in 2007. (modified EPI target) Increase in Contraceptive Prevalence Rate among 15-49 year old women from 28% in 2001 to 40% by 2005. (I-PRSP target) Maternal mortality falls from 350/100.000 in 2010.5 Million DBS Over 4 Years
Narrative Summary Goal: To improve the health of poor people in Pakistan (in line with IPRSP priorities in health and population welfare) Objectively Verifiable Indicator Reduction in annual population growth rate from 2.000 to 65 by 2004 and 55 by 2010. especially for the protection of high-risk groups in highly endemic areas . (I-PRSP area) Reduction in total fertility rate from 4.1 (replacement level) in 2020.000 to 240/100. (NTP target) Increased use of subsidised Insecticide Treated Nets (ITNs). 70% of smear positive TB detected and successful treatment of 85% of TB by 2010. (NHP Target) Elimination of neonatal tetanus by 2007 and eradication of polio by 2004. (NHP target) Condom use rate during last sex act among high-risk groups. (NHP target) Reduction in annual parasite incidence (API) from 0. Nutrition OVI to be determined in future Strategic Framework. Data sources PRH & FPS DHS DHS DHS PRH & FPS DHS NACP surveys NTP reports MCP reports Assumptions
EPI reports PRH & FPS DHS DHS EPI cluster surveys PRH & FPS NTP reports MCP Political stability Economic growth Effective implementation of devolution plans Improved literacy and education levels
Purpose: To increase utilisation particularly by poor people of services which benefit public health
.000 to 180/100.5/1000 population by 2010.9% in 2004 and 1. with P.1% to 1.000 by 2010. (NPP target) Births attended by skilled professionals increased from 20% to x% (to be available in 1y) Increase in EPI coverage (12-23 months) from 45% to 90% by 2005.from current zero coverage to protection of 1.Pakistan National Health And Population Welfare Facility £64.3% in 2020. falciparum maintained below 40% of all malaria infections. (I-PRSP target) Reduction in infant mortality from 90/1. (I-PRSP area & NHP target) Reduction in child mortality from 110 per 1000 live births to 75 by 2007.2 million population by June 2006.
2.Narrative Summary Outputs: 1 Supportive policies and multi-year strategies and plans linked to national targets and MTBF adopted
Objectively Verifiable Indicator 1. (LHWP target) 3.3.1 LHW programme coverage increases from 40% in 2001 to 90% of the target population by 2005.1Budget circular includes indicative. ? others] 1. Recruitment to fill vacant positions
.2 Population sub-policy completed on [?contraceptive pricing.3. 04) 2.4 National Nutrition Strategic Framework agreed by 2004 1. multiyear ceilings (Nov 03) 2.2 Outturns are more even throughout the financial year and meet programme needs (by end-Nov 03 to 30-35% and to 70-75% by end April).1. PW PC1 Jun 04) 1.
MTBF TA Reports Preliminary and Final Draft Budget Submissions (December and March) Discussions with GoP officials Available minutes of budget setting meetings.2.1 Review of procurement rules and regulations (by Jan.1.1.1 Outturns as % of budgets increase for FY03/04. Budget documents and AGPR expenditure info. (PRSP indicator)
3 Improved quality of service delivery of federal health and population programmes
Improved quality of services encourages greater utilisation.3 Health Policy work completed on • • Private sector by 2004 Health financing by 
Data sources Policy team reports to MoPW and MoH secretaries Revised strategic plans PC1s MTBF TA Reports
Assumptions Provincial and district plans and budgets for the programmes conform to and complement national plans and budgets
2 Improved annual budget process in terms of (2.2 Improved budget submissions linked to PC1s and demonstrating need and latent capacity (Dec 03 for first draft.5 PRSP health and population programmes and targets reviewed/refined in light of emerging unit cost data 2.2.1 Medium term programme plans linked to national targets and to reliable indications of resource availability (LHW PC1 Jun 03.2 Number of service delivery outputs with correct staffing.3 Budget allocations reflect priority and absorptive capacity of national health programmes (Jun 04)
(2. [Mar 04] for final draft) 2. MTBF TA Reports Discussions with GoP Monitor with WB Auditor General’s office LHW data
(2.3) financial management
• HR by ? 1.2 CFAA Action Plan approved (May 03) 3.
Policy Capacities b.6 Contraceptives available in all population and health outlets 3. 4. malaria. 5.4 TA Management functions progressively absorbed into MoH during 2005-2007. 4. 4. Organisational and System Capacities d.6 Federal assistance provided to Provinces in development of provincial strategies for national programme delivery. ?80 districts in 2005. 6.2 Sufficient public health and epidemiological expertise in all national programme (Jun 04).
Information dissemination leads to increasing awareness of services and awareness to utilisation.Narrative Summary
Objectively Verifiable Indicator 3. Technical Capacities b.9 RBM strategy operational in all high malaria prevalence districts by June 2006.1 TV/radio programmes dedicated to health and nutrition in coordination with ministries and other authorities (NHP indicator).4 Refresher training and continuing professional development system reestablished (Jun 04). International reviews.
. 5.3 X% of MoPW service providers received refresher training by end 2004. Organisational System Capacities • • Federal Provincial and District 6 Improved delivery of information regarding programmes to the public
Complementarit y with other donor TA plans sustained. staffed and functioning (Jun 04). Support to Provinces and Districts
Complementarit y with other donor TA plans sustained.2 Sufficient public health/FP expertise in MoPW (Jun 04).
4 Improved capacities within MoH and programmes a.3 ‘Contracting of services’ (private sector and NGO arrangements in place for TB and NACP by? 4.5 EPI services improved in poor performing districts (those with less than 40% coverage) – exact OVI to be determined after current international review 3.4 TB DOTS coverage in ?60 districts by 2004.8 Vitamin A/micronutrient coverage (exact OVI to come out of strategic framework). 6.2 Population programme undertaking communication initiatives with opinion leaders.1 Policy capacity in MoH established. 3. 4. 5. Technical capacities c. 4. TB and nutrition.
Programme reports Discussions with service user through NGOs.3 Support to district for preparation of district population plans. 5.
Data sources MoPW data NTP data EPI cluster surveys and programme data Population and health facility surveys NACP Surveys (?which) MCP data
Assumptions allowed to go ahead.1 Policy capacity in MoPW established. Discussions with Programme managers. men and youth/adolescent groups (National Population Policy). with complete coverage by 2006? 3. staffed and functioning (Dec 03).
5 Improved capacities within MoPW a. 3.5 BCC capacity strengthened in NACP.7 Preventive and treatment services available for all high risk (to HIV/AIDS) populations 3. with annual CPD by 2007.
. MoPW and programmes utilise funds TA management agency set up TA ToR produced and consultants provided Six monthly reviews undertaken
£0.5m £0.Narrative Summary Activities:
Objectively Verifiable Indicator Data sources Financial aid in 6 monthly tranches provided and disbursed MoF release of funds MoH.
as the webpages say.undg. The logframe approach includes a set of interlocking concepts to guide and structure an iterative process of analysis.
The LFA can be applied at different levels with small projects. a mentality. In many agencies and for a variety of reasons.pdf 54 http://www.org/documents/2485-Results-Based_Management_Terminology__Final_version. In this paper. is a simple process that helps: • organise thinking. frameworks are needed for different outcomes so a general design framework will differ from one specifically to show detailed results monitoring arrangements.oecd. Aid effectiveness commitments. It involves identifying strategic elements (activities. Similarly there is more uniformity amongst agencies in the format of logical frameworks than there was a decade ago. most recently in the 2005 Paris Declaration52 agreed by most partners in the development community.org/dataoecd/29/21/2754804. The logframe approach. it has become mandatory practice. the logical framework matrix. indicators and evidence to measure performance and the assumptions and risks that may influence success and failure.doc
. in OECD53 and UNDG54 glossaries). the term ‘project’ is intended to include all levels. In this paper we distinguish between that process and the documented product of that process. design and management. proponents argue. ‘under construction’. in international development work. but not exclusively.g. Already we are seeing much more consensus on terminology (e. implementation. The approach is essentially a way of thinking. This is work still. Complete uniformity is unlikely to be achievable or indeed desirable. Many development agencies.pdf 53 http://www. set out clear progress indicators including for harmonisation of procedures in shared analysis.oecd. The approach has become very widely employed and influential especially. evaluation and audit. including national governments. The important thing is that the frameworks help not hinder communication. and nongovernment organisations. a higher-level programme or indeed a whole organisation. In some contexts the matrix product is less important than the process. design and results-oriented frameworks. A quality process is vital if a useful and effective product is to be generated. indeed a matrix may not be needed. use the logframe approach in one of its variants. outcome and impact) and their causal relationships.org/dataoecd/11/41/34428351. multilateral and bilateral partners. 52 http://www. that users can see how frameworks for different outcomes link one to another within an overall results-based management system.APPENDIX E: STRENGTHS AND WEAKNESSES OF THE LOGFRAME APPROACH
INTRODUCTION The logical framework (logframe) approach (LFA) is a process and tool (more accurately a ‘basket of tools’) for use throughout the project and programme cycle51 to help strengthen analysis and design during formulation. outputs.
. rather than only being added at the end. Many lessons have been learnt over the last twenty years as regards LFA best practice. but one that is often badly applied. STRENGTHS OF THE LOGICAL FRAMEWORK APPROACH The major strengths of the logframe approach are: It brings together in one place a statement of all key elements of the project or programme. environmental. • Having all key components of projects or programme in a systematic. As such it must be embedded in a wider process. all the better. allocate responsibilities. that it exacerbates power imbalances between funder. The LFA will only be beneficial if it is used in a thoughtful way such that it influences project identification and design from the start. The 'good servant. justification for widening the use of the LFA is that 'something is better than nothing'. but not altogether satisfactory. hierarchical control. set out performance indicators. of the problem to be addressed. The logframe matrix itself should be a product and summary of thorough and systematic situation analysis and cannot be a substitute for this. An approach has to be used. Some who criticise the LFA as a planning tool.). institutional. before work on the logframe matrix starts. or gender etc. are actually comparing it with not planning. In the current debate. there needs to be analysis of who should be involved and how. Perhaps the most valid. Most of us would rather not plan. of the vision sought and strategic analysis of the alternative ways forward. and if there is widespread consensus on one approach. This in turn will lead to more effective appraisal of the context (be it social. bad master' theme is deepened by the frequent use of the logframe as a rigid and inflexible tool for central. intermediary and beneficiary and that it is 'western-centric'.
There are however limitations to the logframe approach. examples of enlightened and rewarding application in a variety of contexts are now common. it is not easy to separate weaknesses that may be inherent in the tool itself from the poor application of that tool. Some opponents go further and reject the approach itself on the grounds that it is reductionist and simplistic. ultimately to report progress against expenditure. This can be particularly helpful when communicating between partners and when there is a change of personnel. economic. Some feel it is essentially a good tool. communicate information on the project concisely and unambiguously. technical. concise and coherent way helps you clarify and demonstrate the logic of how the initiative will work.• • • •
relate activities and investment to expected results. but not planning rarely results in effective and efficient operation.
It fosters good situation analysis and project design that responds to real problems and real needs. • It systematizes thinking. It can help ensure that the fundamental questions are asked and that cause and effect relationships are identified. Problems are analysed in a systematic way and logical sequence. It guides you in identifying the inter-related key elements that constitute a well-planned project. It highlights linkages between project elements and important external factors. It encourages robust risk management. • It systematically requires risks to be identified and assessed and mitigatory measures to be factored into the design. It informs the ultimate decision to approve the plan for implementation in the light of remaining assumptions. It anticipates implementation. • The logframe approach helps in the setting up of activity and input schedules with clear anticipated outcomes. Likewise the use of logframes, can help ensure continuity of approach if any original project staff move or are replaced. It sets up a framework for monitoring and evaluation where anticipated and actual results can be compared. • By having objectives and indicators of success clearly stated before the project starts the approach helps you set up a framework for monitoring and evaluation. It is notoriously difficult to evaluate projects retrospectively if the original objectives are not clearly stated. It helps to reveal where baseline information is lacking and what needs to be done to rectify this. The approach can help clarify the relationships that underlie judgements about the likely efficiency and effectiveness of projects; likewise it can help identify the main factors related to the success of the project. It is easy to learn and use. • Effective training in the basics of the logframe approach can be given in a few days. Opportunities are then needed to apply and consolidate learning with follow-up support through mentoring, networking and further training. A key group of staff can become an effective resource team in a short period of time. It does not add time or effort to project design and management, but reduces it. • Like many other design and management tools the logframe approach has to be learnt before it can be effectively used. Once learnt however, it will save time. Of course, if it is being compared with not doing essential analysis and design work, then it takes longer; but ‘not doing’ is not an option. It enhances communication. • The approach facilitates common terminology, understanding, purpose and ownership within and between partners. Several logframes can interrelate; they can nest together as a portfolio of initiatives working towards a common
vision. In a powerful way this can help individuals and teams understand the whole of which they are a part; it helps them to see the bigger picture. It can be used as a basis for a reporting and overall performance assessment system. • The monitoring and evaluation elements of the logframe can be used to develop a format for reporting clearly and succinctly against objectives and indicators and for success scoring. Scores in turn can be collated across a portfolio to give an assessment of overall performance and organisational and developmental effectiveness. WEAKNESSES OF THE LOGICAL FRAMEWORK APPROACH Some significant limitations of the LF approach are: It is not a substitute for other technical, economic, social and environmental analyses. It cannot replace the use of professionally qualified and experienced staff. • It can help project design, implementation and evaluation, but clearly does not do away with the need for other project tools especially those related to technical, economic, social and environmental analyses. Likewise the approach does not replace the need for professional expertise and experience and judgement. It can be used as a means of rigid, top-down hierarchical control. • Rigidity in project administration and management can sometimes arise when logframe objectives, targets and external factors specified during design are used as a straightjacket. The LF matrix should not be sunk in concrete, never to be altered to fit changing circumstances. There needs to be the expectation that key elements will be re-evaluated and adjusted through regular project reviews. The logframe process might be carried out mechanistically as a bureaucratic boxfilling. • This is a common abuse of the tool. The individual at their desk or in their hotel room mechanistically filling in the matrix ‘because that’s what the procedures say’ is the antithesis of the approach. In its extreme the approach becomes a fetish rather than an aid. The process requires strong facilitation skills to ensure real participation by appropriate stakeholders. • To undertake the logframe process with the active participation of appropriate stakeholders in decision-making is not easy. Facilitating, for example illiterate primary stakeholders effectively through the process requires considerable skill. The logframe is simplistic and reductionist. • It over-relies conceptually on linear cause and effect chains. Life is not like that. As a result, the logframe can miss out essential details and nuances.
The whole language and culture of the logframe can be alien. • The jargon can be intimidating. In some cultures (organisational and national) the logframe can be very alien. Concepts and terminology do not always easily translate into other cultures and languages. The objectives-driven nature of the logframe does not always transfer well across cultural boundaries. Unless precautions are taken the LFA can discriminate and exclude. The logframe approach is western-centric. • This continues to be a hotly debated issue. Some opponents see the approach as a manifestation of western hegemony and globalisation. IN CONCLUSION The logframe is not a panacea. However, used sensitively, it is a powerful approach, that can result in greater effectiveness, efficiency and inclusion. Developing a logframe with real participation can have a very positive impact. Fresh thinking is needed, customised to each context, to the extent in some contexts perhaps of not using the matrix itself, and just working with the questions therein. The LFA’s wide adoption suggests that, on balance, its strengths outweigh its limitations; some disagree. Users need however to be well aware of the weaknesses and potential abuses and misuses of the approach. The LFA must to be used flexibly with eyes open to its limitations and pitfalls.
World Bank www1.html Nunberg.pdf) OECD/DAC (2006) Emerging Good Practice in Managing for Development Results.worldbank.A.au/ausguide/default. R.jica.adb.org/web1/programmes/rcs/cca_undaf_training_material/teamrcs/file.jp/english/evaluation/guides/guideline.org/Documents/Guidelines/MfDR/Introduction-to-Results-Management.uk/archive/civil_service_reform/busplan/WORD/Yds.gov.org/documents/Results Based Management/Review of RBM in Multilateral Development Institutions .2003. J http-server. Ausaid guides to project cycle management (PCM) www.pdf DFID (2003) Promoting Institutional and Organisational Development: A Source Book of Tools and Techniques www.eu/comm/europeaid/reports/concept_paper_final_051006_en.pdf.dfid.pdf See also www.gov.uk/pubs/files/prominstdevsourcebook.doc Gasper D (1999) Problems in the Logical Framework Approach and Challenges for Project Cycle Management www.asp?ID= 341 Grimble. An Introduction to Results Management www.parcinfo.org/index.org/publications/bpg/bpg02.html an eccentric Canadian website mainly on stakeholder analysis DFID (2002) Tools for Development www.civilservice.adb.pdf EU (2004) Aid Delivery Methods: Volume 1 Project Cycle Management Guidelines.go.gov.unssc.europa. What? And How? ec.org/publicsector/anticorrupt/PoliticalEconomy/PREMNote95.gov.eu/comm/europeaid/reports/pcm_guidelines_2004_en.org/Documents/guidelines/guidelines-preparingdmf/guidelines-preparing-dmf.Your delivery strategy: a practical look at business planning and risk.APPENDIX F: KEY REFERENCES
Asian Development Bank (2006).dfid. ec.org/Sourcebook.cfm Cabinet Office and HM Treasury (2000). Available at www. PREM Notes.pdf EU (2005) Institutional Assessment and Capacity Building: Why.doc Chevalier.html
. NRI www.uk/pubs/files/toolsfordevelopment.pdf Asian Development Bank (2006). www.europa.policy-powertools. http://www.uk/pubs/files/prominstdevguide.ca/~jchevali/Frontengl.html JICA (2004) Guidelines for Project Evaluation www. (2004) Operationalising political analysis: the Expected Utility Stakeholder Model and governance reforms.mfdr. B and Green.dfid.pdf DFID (2003) Promoting Institutional and Organisational Development www.ausaid.gov.(1998) Stakeholder Methodologies in Natural Resource Management.nri.pdf Flint M (2003) Easier said than done: A review of Results-Based Management in Multilateral Development Institutions.carleton. Guidelines for Preparing a Design and Monitoring Framework (DMF) www.
phrplus.se/shared/jsp/download.se/shared/jsp/download.jsp?f=SIDA28355en_LFA_web.sida.worldbank. http://www. World Bank interesting guidelines for doing stakeholder analysis www1.pdf UNDP (undated) Knowing the What and the How: RBM in UNDP. – Partnerships for health reform www.org/evaluation/files/RBM_Guide_20September2003.sida. enter by http://www.se/shared/jsp/download.pdf Swedish SIDA PCM guide www.org/publicsector/politicaleconomy/November3Seminar/Stakehlder%20R eadings/SAGuidelines. Kammi (1999) Guidelines for Conducting a Stakeholder analysis.jsp?f=LFA-review.pdf
.pdf&a=21025 UNDP (2002) Handbook on Monitoring and Evaluation for Results (2002) stone. a Technical Note.sida.doc UNICEF (2005) Understanding Results-Based Programme Planning and Management www.undp.worldbank.org/Pubs/hts3.undp.pdf Schmeer.jsp?f=SIDA1489en_web.org/undpweb/eo/evalnet/docstore3/yellowbook/documents/full_draft.pdf World Bank website and in particular the Poverty and Social Impact Analysis pages.pdf&a=23355 SIDA (2005) The Use and Abuse of the Logical Framework Approach www.oecd.org/psia.OECD (2005) Paris Declaration on Aid Effectiveness www.pdf&a=2379 SIDA (2006 Logical Framework Approach – with an appreciative approach at www.org/eo/documents/methodology/rbm/RBM-technical-note.org/dataoecd/11/41/34428351.unicef.
including a new constitution. Because the country is land-locked with poor international communications. Poverty is chronic and widespread. It is hoped that key reforms in land and credit markets will allow growth in other areas: natural resources.and medium-scale enterprises (MSMEs) and improve the legal frame work within which they operate. small. only two qualify for tertiary. Nor have they implemented past policy commitments. 29% as extremely poor. However government have not dealt vigorously with critical issues such as land reform and corruption or restoring macroeconomic stability.3 and annual population increase 2%.APPENDIX G: THE CHIMBE CASE STUDY55 Country Assistance Plan summarised The Challenge
Chimbe has among the lowest per capita income (at $230) in Africa. erratic weather conditions and a system of land ownership and inheritance that does not encourage investment. The prevalence of AIDS in the economically active 15-49 age group is 16. there is a low ratio of qualified teachers to pupils (1:88). Chimbe has limited natural resources. While progress has been made since 1994 in primary education enrolment. inadequate provision for teaching and learning materials. and too few classrooms. well below the 5-6 % needed to make a real dent in poverty. They also plan to develop micro-. Beyond tobacco. tourism and small-scale mining. Life expectancy at birth has fallen from 48 to 38 in the past decade. there has been considerable progress in establishing the institutions and systems of democracy.4% and rising. not least. manufacturing. agriculture currently provides what little growth there is. Since1994. much of Chimbe’s produce is uncompetitive for export purposes. intensifying production and shifting to higher value crops. The average total fertility rate is 6. c. Growth is disappointing. The government plans to bolster the agricultural sector by increasing utilisation of land. Chimbe has not yet found a sector or activity of comparative advantage. Social indicators continue to worsen. The challenge for the Government of Chimbe is to move beyond populist policies and make the hard social and economic choices necessary to advance pro-poor objectives articulated in the impressive Poverty Reduction Strategy Paper (PRSP).
Based on the DFIDMalawi CAP 2003
. Success will depend on a number of factors. mainly due to AIDS and malaria. The country has a young and largely dependent population. improved governance.65% of the population is classified as poor. For every thousand pupils entering primary education. but production is beset by degraded soil. when Chimbe held its first multi-party elections.
government will be better equipped to deliver sustainable services to poor people. We will encourage more plural ways of working e. the Poverty Reduction Budget Support Group. the Forestry Sector Support Programme (FSSP)
. We and the EU are interested in drawing up a joint budget support agreement. • Livelihoods We seek to support and influence land policy reform. Our contribution will focus on three core areas over the CAP period: • measures to enable sustainable growth and improve livelihoods • better service delivery to the poor • pro-poor governance. Education and Livelihoods: • Health We will provide strategic support to the Ministry within the framework of the National Sexual and Reproductive Health Programme (SRHP) and basketfunding of the National TB Programme. We will support improved planning and management capacity at district and central government levels. In parallel with this we will continue to work with government and other donors to improve standards of financial accountability. consistent with PRSP monitoring indicators. public-private partnerships. This will involve appropriate technical assistance including support for anti-corruption measures. • Education We will work towards whole school improvement through enhanced capacity of teachers and communities to implement a reformed national primary curriculum. A significant part of UK assistance will be aimed at improving services so that over time. We propose to link budget support to performance in key sectors. progressing the Medium Term Expenditure Framework and conducting expenditure tracking studies. Harmonised Sector Programmes We plan to rationalise our project portfolios within three main programmes.Our Response
Through its Country Assistance Plan. increased community responsibility and capacity to manage schools. we will support the Government to achieve its PRSP goals. Budget support We intend to increase our support as part of the recently-formed joint donor mechanism. Coordinated efforts are needed to support improved education service delivery via sector wide funding. to better equip it to deliver sustainable services to the poor and to help mitigate risks that threaten to derail these processes. rehabilitation and resourcing of school classrooms. Health. the National Safety Nets Programme (NSNP).g. We will collaborate at District level in the building. combined with better district capacity to deliver education. We hope to provide support through a variety of aid instruments.
Development of a rural livelihoods strategy will develop knowledge of how AIDS is deepening poverty in rural areas and of how best to respond. accountability and rights Chimbe is a young and developing democracy. media) to strengthen capacity to monitor and evaluate implementation of the PRSP. • Public financial management Our programme will include well-targeted technical assistance to help strengthen public financial management systems including fiscal control. • Environmental sustainability We will consider how best to work with other donors to ensure capacity development of Chimbian partners. We will maintain its support to strengthen civil society’s capacity to work with government at the policy level including through regional and centrally funded CS initiatives. remain undeveloped. Beyond inputs for food production we will contribute to the longer term development of the National Food Security Strategy and continue to provide humanitarian assistance as needed. Civil society organisations will be key partners in this process. private sector. Pro-poor governance programmes • PRSP implementation / poverty monitoring We will work with Government and other partners (donors. environmental sustainability and poverty-environment linkages. An appropriate programme of ourselves with USAID and CIDA support is being developed. The Government is committed to developing a Poverty Monitoring Master Plan.
. It will contribute to the implementation of the National Strategic Framework for HIV/AIDS through continued collaboration with sexual and reproductive health programmes and harmonised donor work with the National AIDS Commission. Food Security We will help to ensure the spectre of food shortage is minimised. Poor people’s voice and the capacity to question the state and press for change. FSSP and ASIP. care and impact mitigation.and the Agricultural Sector Investment Programme (ASIP). civil society. • Voice. Key steps will be in fostering peer review and lesson learning mechanisms. including through NSNP. Cross-cutting programmes • HIV/AIDS We will support the implementation of an HIV/AIDS mainstreaming strategy to promote an effective multi-sectoral response covering prevention.
what would you highlight for the late 2000s? Period Development Policies International Context 1950s – 60s • Economic Growth through • Rapid. some aspects of policy or context you may feel pertain to other decades as well. But what about current trends in policy and context. post-war reconstruction as model of the ‘modernisation based on state-led successful planned economy industrialisation. independence of most former colonies • ‘The Population Bomb’ 1970s • Collapse of international • Continued reliance in import monetary system of fixed substituting industrialisation exchange rates • Focus on basic needs and proemployment strategies. GATT • Focus on GNP • Cold War. both Western models and state socialism • Increase in influence of Bretton Woods system. competition for • Green Revolution influence over Third World • Trickle Down countries • Infrastructure and capital aid • The Vietnam war • The decline of colonialism. several Asian economics and proreducing state control on market policies in western economies and opening up to countries international trade • Deepening debt crisis • Women in Development (WiD) programmes • Growing rate and scale of environmental degradation • Training for Development • Growing power of trans-national • More trade and aid. explicit and and security multidimensional anti-poverty strategies • 1990 First HD report
POLICY SHIFTS IN DEVELOPMENT
This is a potted history of development over the last 50 years. • Expansion of international capital markets • Integrated rural development Programmes • Oil price shocks of 1973-74 and 1978-79 • Appropriate technology • Declining relative value of • Transfer of technology commodities to manufactured • Trade and aid. tied aid goods • Food security • ‘Limits to Growth’ • More Green Revolution • Environment on the development agenda 1980s • Continued dramatic success of • ‘Structural adjustment’ policies. tied aid corporations • Start of participatory approaches / PRA • Sahelian droughts – Live Aid • Thatcher and Reagan • Farming systems approaches • Indigenous technical knowledge • The Brundtland Report ‘Our common future’ 1990s • End of Cold War. redefining of • Poverty moves to centre of roles with respect to governance development. WB. aid-funded. IMF. It does not pretend to be complete and obviously the timings blur at the edges.
Rome and Paris. MICs & LICs • Commission for Africa • Doubling Aid. SWAPs. London… The War against Terror Afghanistan Iraq Cancun and Hong Tong trade talks Indian Ocean tsunami Millennium Project and Campaign Millennium Development Summit Global Warming – Stern Report ? ?
• ? • ? • ? • ? • ? • ?
. different aid instruments. PRBS • Results based management • NEPAD • Monterrey. redefining the role of government • Decentralisation • International Development Targets • HIPC • PRSPs and the PRSP process • Away from projects. Madrid. eg International Finance Facility • Value for money objectives • Risk mgt focus – more than just risks to achievement of objectives • • ? • ? • ? • ? • ? • ? ?
International Context • 1992 Rio Earth Summit • Globalisation • Debt remission campaigns • East Asian financial crisis focuses attention on role of international financial institutions • 1997 Change of UK government • 1999 Seattle WTO talks collapse
• • • • • • • • • • • •
Doha Development Round 9/11.Period
Development Policies • Participation and empowerment • Human rights • Good Government • HIV/AIDS • Sustainable development and the environment • Livelihoods approaches • Shift from WiD to gender and development approaches • Working with civil society and the private sector. Bali. commitments in financing. harmonisation and aid effectiveness • Commitments to spending in poorest countries.
Purpose and Output level. 6. 5. 2. 7.
. 4. 3. (This is distinct from approval of a completed design to proceed with implementation). Significant Policy/Design/Implementation issues.APPENDIX I: THE ELABORATED PROJECT CONCEPT NOTE
The purpose of a Concept Note is to present an idea and thereby seek clearance to proceed with and spend on design. with ideas for Indicators rather than Targets) Risk Analysis Projected timetable of steps to project approval. Project Title and name of Project Officer (you) Basic Information: • Project objectives – how do they relate to Millennium Development Goals and/or Poverty Reduction Strategy Plans’ overall objectives and those set in the Country Strategy Paper / Assistance Plan – as appropriate • rough cost • principal programme/project partners and recipient institution(s) • other donors (if any) The remaining sections should be completed as far as is relevant to the case being made. 8. 9. Problem or Objectives Tree Stakeholder Analysis Statement (drawing on 2 & 4 above) of who it is planned will be consulted during design and appraisal (and how). For our purposes the Elaborated Concept Note will be half way between a preliminary idea and a fully worked up submission The format will include: 1. Draft Logical Framework (at least to Goal.