TANZANIA INSTITUTE OF ACCOUNTANCY

(TIA)
COURSE: BBA 3 & BMPR 3 (F/TIME & EVENING 2022/2023)
SUBJECT: PROJECT MANAGEMENT
CODE: BAU08108
TOPIC 6: DESCRIBE CONCEPTUAL AND LOGICAL FRAMEWORK IN PROJECT
MANAGEMENT
LECTURER: DR. ANICETH KATO MPANJU

6.1 DEFINE CONCEPTUAL AND LOGICAL FRAMEWORK

6.1.1 DEFINE CONCEPTUAL FRAMEWORK

6.1.1.1 Explain Conceptual Framework

A conceptual framework represents the researcher's synthesis of literature on how to

explain a phenomenon. It maps out the actions required in the course of the study given
his/her previous knowledge of other researchers' point of view and his observations on
the subject of research.
In other words, the conceptual framework is the researcher’s understanding of how the
particular variables in his study connect with each other. Thus, it identifies the variables
required in the research investigation. It is the researcher’s “map” in pursuing the
investigation.

As McGaghie et al. (2001) put it: The conceptual framework “sets the stage” for the
presentation of the particular research question that drives the investigation being
reported based on the problem statement. The problem statement of a thesis presents
the context and the issues that caused the researcher to conduct the study.

The conceptual framework lies within a much broader framework called theoretical
framework. The latter draws support from time-tested theories that embody the findings
of many researchers on why and how a particular phenomenon occurs.

6.1.1.1.2 Step By Step Guide on How to Make the Conceptual Framework

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Before you prepare your conceptual framework, you need to do the following things:

1. Choose your topic. Decide on what will be your research topic. The topic should be
within your field of specialization.

2. Do a literature review. Review relevant and updated research on the theme that you
decide to work on after scrutiny of the issue at hand. Preferably use peer-reviewed
and well-known scientific journals as these are reliable sources of information.

3. Isolate the important variables. Identify the specific variables described in the
literature and figure out how these are related. Some abstracts contain the variables
and the salient findings thus may serve the purpose. If these are not available, find
the research paper’s summary. If the variables are not explicit in the summary, get
back to the methodology or the results and discussion section and quickly identify the
variables of the study and the significant findings.

4. Generate the conceptual framework. Build your conceptual framework using your
mix of the variables from the scientific articles you have read. Your problem statement
serves as a reference in constructing the conceptual framework. In effect, your study
will attempt to answer a question that other researchers have not explained yet. Your
research should address a knowledge gap.

Figure 1: A Sample Conceptual Framework

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6.1.1.2 DEFINE LOGICAL FRAMEWORK
The logical framework or logframe is a document that gives an overview of
the objectives, activities and resources of a project. It also provides information about
external elements that may influence the project, called assumptions. Finally, it tells
you how the project will be monitored, through the use of /content/indicators.

A Logical Framework (or LogFrame) consists of a matrix with four columns and four or
more rows which summarize the key elements of the project plan including:

The project's hierarchy of objectives. The first column captures the project’s development
pathway or intervention logic. Basically, how an objective or result will be achieved. Each
objective or result should be explained by the objective or result immediately
below. Although different donors use different terminology, a LogFrame typically
summarizes the following in its first column:

o The GOAL / OVERALL OBJECTIVE/ DEVELOPMENT OBJECTIVE

o The PURPOSE / IMMEDIATE OBJECTIVE
o The OUTPUTS
o The ACTIVITIES

In developing a logframe, it is very important to pay attention to how the objectives and
results are formulated.

First Stage ― TOP DOWN:

First stage of the preparation of the logframe matrix. Source: Barreto (2010)
 Goal: starting at the top and using the information from the Objective Tree write
the overall objective of the project. The overall objective may be beyond the reach
of this project on its own, for instances: “To contribute to improved family health
and the general health of the river ecosystem”.
 Purpose: it describes the desired outcome that the project will achieve. This
should be clear and brief. Example: “Improved river water quality”.

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  Outputs: describe the project intervention strategy. There may be several
outputs. Example: “1) Reduced volume of wastewater directly discharged into the
river system by households and factories”.

 Activities: these are the tasks that are needed to achieve these outputs. There
may be several for each output. Statements should be brief and with an emphasis
on action words. Examples: “1.1) Conduct baseline survey of households and
businesses; 1.2) Complete engineering specifications for expanded sewerage
network, etc.”

 Inputs: when required to do so provide additional information, such as the means

and costs, which are needed to carry out these activities.

Second Stage ― WORK ACCROSS:

Second stage of the preparation of the logframe Matrix. Source: Barreto (2010)
 Objectively verifiable indicators of achievement: starting from the top to
the bottom of the hierarchy of the objectives, begin to work across the logframe
identifying the Objective Verifiable Indicators for measuring the progress in terms
of quantity, quality and time. There are two kinds of indicators: 1. Impact
indicators: related to the overall goal, helps to monitor the achievement and the
impact of the project. Example: “Incidence of water borne diseases, skin infections
and blood disorders caused by heavy metals, reduced by 50% by 2025, specifically
among low income families living along the river”. 2. Process (our outcome)
indicators: related to the purpose and results. These measure the extent to which
the stated objectives have been achieved. Example: “Concentration of heavy metal
compounds (Pb, Cd, Hg) and untreated sewerage; reduced by 25% (compared to
levels in 2019) and meets established national health/pollution control standards
by end of 2024”.

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  Sources and means of verification: the source of verification should be
considered and specified at the same time as the formulation of indicators. This
will help to test whether or not the indicators can be realistically measured at the
expense of a reasonable amount of time, money and effort. You should specify
how, who and when the information will be gathered.

Third Stage ― BOTTOM UP:

Third stage of the preparation of the logframe matrix. Source: BARRETO (2010)
 Assumptions: reflecting up from the bottom of the logframe, consider how, if
each assumption holds, it will be possible to move to the next stage of the project.
Assumptions are external factors that have the potential to influence (or even
determine) the success of a project, but lie outside the direct control of project
managers. Assumptions are usually progressively identified during the analysis
phase. The analysis of stakeholders, problems, objectives and strategies will have
highlighted a number of issues (i.e. policy, institutional, technical, social and/or
economic issues) that will impact on the project ‘environment’, but over which the
project may have no direct control.

In the case of the river water pollution example, important assumptions might
include issues related to: 1. Rainfall and river flow (beyond the project’s control,
but potentially critical in terms of changes in levels/concentration of pollutants
found in the river); 2. Householders and businesses willingness to pay for improved
sewerage connections.

A Figure below shows a complete logical framework

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The Logical Framework Approach (LFA) is a highly effective strategic planning and
project management methodology with wide application. It is particularly valuable for
water management and sanitation projects, especially because water, the resource base,
has diverse and competing uses. It comprises an integrated package of tools for
analysing and solving planning problems and for designing and managing their solutions
(the approach). The product of this analytical approach is the logframe (the matrix), which
summarises what the project intends to do and how, what the key assumptions are, and
how outputs and outcomes will be monitored and evaluated.

Before starting with the activity design and the construction of the logframe matrix, it is
important to undertake a structured analysis of the existing situation. LFA incorporates
four main analytical elements to help guide this process:

 Problem Analysis: involves identifying what the main problems are and
establishing the cause and effect relationships which result in, and flow from, these
problems.
 Stakeholder Analysis: having identified the main problems and the cause and
effect relationship between them, it is then important to give further consideration
to who these problems actually impact on most, and what the roles and interests
of different stakeholders might be in addressing the problems and reaching.
 Analysis of Objectives: objective trees should be prepared after the problem
tree has been completed and an initial stakeholder has been undertaken. This will
give an image of an improved situation in the future.
 Analysis of Strategies: comparison of different options to address a given
situation.

The results of the stakeholder, problem, objectives and strategy analysis are used as the
basis for preparing the Logical Framework Matrix. The Logical Framework Matrix (or
more briefly the logframe) consists of a matrix with four columns and four (or more) rows,
which summarise the key elements of a project plan and should generally be between 1
and 4 pages in length. However, this will depend on the scale and complexity of the
project.

6.1.1.2.1 Applicability of the Logical Framework Approach

The logframe is applied when planning, implementing and evaluating specific projects
and programmes within an action plan. It is valuable for carrying out logical checks during
project design as well as for monitoring progress and reviewing activities and output
during project implementation (Philip et al. 2008)

The main steps in the Logical Framework Approach are:

1) Getting to know the context

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 2) Identifying the stakeholders
3) Problem tree analysis
4) Formulating the objectives tree
5) Choosing the project's main strategy
6) Formulating the logframe
7) Verifying the project's design

Although you can go step by step through this process, you mustn’t forget that this is
not a linear process per se. You may need to come back to a previous step, or you
may want to go through these phases in a different order. For instance, you may want
to start be identifying the stakeholders and then identify the problems with them, but
you can also start by identifying the problem and then see who is most impacted by them
(and maybe do a closer problem identification with them).

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6.2 EXPLAIN PROBLEM AND OBJECTIVE TREE

6.2.0 Using a Problem and Objective Tree to Set Realistic Goals

This section aims to help you understand how setting realistic goals can improve your
planning process. In development work, we often want to solve everything at once, but in
practice there are often constraints upon time and resources that prevent us from
achieving all that we desire. Using a Problem Tree that is then transformed into specific
objectives enables you to set goals that are realistically achievable. Planning according
to these specific and realistic goals will make your project more effective and cost-
efficient, allowing you to do more with less.

If you want to be successful, your goals must be within reach of what is possible. These
achievable goals though, may still be part of a larger goal. Let’s use the example of
wanting to end hunger. Globally, your impact is going to be limited by a multitude of
factors, like reach and access to necessary resources. Implementation is likely to be
realistic only at a smaller scale. It does not mean that you should not strive to end hunger.
What you should do is find ways in which your team can rectify hunger, poverty or food-
shortage issues where you have reach. Once you’ve come up with an efficient and
impactful design on a local level, you may be able to scale it up yourself and deploy it to
other communities – or maybe it is an approach that other organisations can replicate
and grow on their own. Both of these serve the ultimate goal and will bring several
communities much-needed support.

In order to set your goals realistically and phrase your objectives specifically, it is essential
to know what you are trying to do. For this, you have to know your problem, and the
context you’re operating in.

To get started in setting appropriate goals for your activities, there are a couple of different
techniques that you may want to utilise. Ultimately, you want to set goals that are not
only feasible, but also effective. Understanding what resources you have, how projects
have been conducted in the past and what you aim to achieve is a solid base for your
development work. Here are some tools that are successfully used by project managers
in business, as well as, development to help properly plan a project.

6.2.1 Problem Tree Analysis

Problem tree analysis (also called Situational analysis or just Problem analysis) helps to
find solutions by mapping out the anatomy of cause and effect around an issue in a similar
way to a Mind map, but with more structure.

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The purpose of the Problem Tree is to provide a broad overview of the problem, as well
as, identify specific causes and resulting effects. The use of negative language whilst
using this tool is helpful in identifying specific problems.

Why develop a Problem Tree?

The Problem Tree structure brings several advantages:
 The problem can be broken down into manageable and definable chunks. This
enables a clearer prioritisation of factors and helps focus objectives;
 There is more understanding of the problem and its often interconnected and
sometimes contradictory causes. This is often the first step in finding win-win
solutions;
 It identifies the central issues and arguments, and can help establish who and what
the political actors and processes are at each stage;
 It can help establish whether further information, evidence or resources are needed
to make a strong case, or build a convincing solution;
 Present issues – rather than apparent, future or past issues – are dealt with and
identified;
 The process of analysis often helps build a shared sense of understanding, purpose
and action.

Steps in Preparing a Problem Tree

Step 1 Identify the Main Problem

 You will have identified the broad problem your organisation is seeking to address
during your situational analysis in Initiation phase. Now is the time to start being a
little bit more specific about your problem.
 The main problem will be placed at the centre of your problem tree.
 Deciding on the problem is best done in a group setting where community members
and non-profit staff discuss core issues together.
 When trying to make your problem more specific, It can be useful to write suggested
problems on a large piece of paper or blackboard so that everybody can see the
options, identify how they interact and decide upon the most important problem to
them as a group.
 Remember! It is important to identify a “problem”! Make sure that your problem is
an existing negative state, not an absence of a solution. For example; “Few babies
and infants vaccinated” is a problem, “No vaccinations are available” is not.

Step Two Identify the Problem Causes

 Find the specific causes that are contributing to this problem.
 The specific causes contributing to the central problem are placed below the main
problem, forming the ‘roots’ of your tree.
 Often, many of the problems your team identified in step 1 are contributing causes
to your main problem and can be added at the bottom of the tree.
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  Remember that there are often multiple layers to contributing causes. Try to dig
deep. The more detail you go into at this stage, the easier it will be to identify
objectives and solutions.
 It is useful to use post-it notes if available so that you can easily re-arrange your
tree. This is particularly useful when grouping related causes together.

Step Three Identify the Problem Effects

 The final element of your problem tree are the effects resulting from your central
problem
 These effects are placed above the problem and form the ‘branches’ of your tree
 Remember to explore multiple layers of each effect and be very specific

The problem tree is finished when all stakeholders are satisfied that all of the factors
related to the main problem have been identified and placed on the tree.

Example of a problem tree

Based on the steps described above, let’s look at an example of a problem tree:

In step 1: RhoPa Group Inc is a web hosting company. In the last semester, it has been
presenting a 35% increase in complaints and claims from its customers. RhoPa Group
Inc made a classification of the reasons for the complaints by analyzing their frequency.
In addition to this, telephone and e-mail interviews were conducted with customers who
had reported complaints, which allowed us to further refine the classification.

In step 2 we identify the problems: From this example and depending on the classification
made, we could obtain several problems depending on which one is affecting us the most.
In this case we would be choosing a specific option, however in this example we are going
to work with the general option. Consequently, the main problem is: Increase of 35% in
customer complaints and claims in the last quarter of the year by hiring hosting services.

In step 3 we will identify the causes and effects. With the information collected above, we
are already well on our way. The three main types of complaints are:

 After-sales service is bad: The personnel sent do not know what they are doing
and are sometimes rude (this includes telephone support).
 Poor quality of the product: It does not work when installed, the website crashes
frequently or does not have enough hosting capacity.
 The product went up too much in price

The first to be identified is usually the causes. Then we identify the effects. In addition to
thinking about all the possible effects that the main problem may have, we will consider
the 1 to 1 effects of each cause, where, for example, a poor after-sales service will reduce
the number of purchases made by customers.

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What we have so far from the problem tree is the following:

Figure 1 Sample Problem Tree

Effect Loss of profit Decrease in Loss of labor
market share motivation

Decrease in Degradation of Strengthening of

purchases made the image made competence
by customers by the company

Increase in the number of

complaints and claims made
by customers

Poor after-sales Poor product Increase in

service quality product prices

Insufficient Poor Product is Delayed Not Increase

staff staff damaged product enough in raw
training attitude very performance productivity materials
Cause quickly prices

6.2.2 Objective Tree Analysis

The purpose of the objective tree is to identify specific objectives that will overcome each
element of the problem tree. Objective trees are important in guiding your project design
and measuring your success. When writing the statements on your problem tree, you
used negative language, simply changing these to positive statements will help shape
your objectives. For instance, “lack of resources,” will become “increased resources.”

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  To transform your problem tree into an objective tree, simply rephrase each
element into a positive solution statement.
 The more specific you can be, the more useful your tree will be.
 It’s okay to add new objectives that come to mind. If you do so, consider going back
and adding the associated problem to your problem tree, as well.

Example of an objective tree

Recalling the result of the problem tree:

Let’s transform causes into means and effects into ends.

Notice the following things:

With the objective tree we moved from the negative to the positive, with the positive being,
the situation where we want to get to, where we are aiming for.

In most of the blocks, the change consisted in using the antonym of the word that
described the problem, cause or effect, although…

In some blocks, it is not enough to use the antonym of the word since we will not be facing
the problem. For example, it does not make sense that in cause number 1 “insufficient
staff training” we place as an objective “sufficient staff training”. If we are trying to solve
the problem, we have to have trained staff and make sure that this training works, that is
why this objective is “staff trained and evaluated to provide customer service”.

If before the problem was the increase in complaints and claims, now our objective is to
reduce complaints and claims.

Based on the above points, our solved objective tree looks like this:

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Figure 2 Transformation of the problems into objectives

End Increase in profit Increase in Increased

market share workforce
motivation

Increased Improved Strengthening of

customer company image company’s
purchases competitiveness

Decrease in customer
complaints and claims

Excellent after- Improved quality of Decrease in prices

sales service product and services of products and
services

Staff Personnel Increased Optimal and Improved Decreased

trained and with productivity on-time productivity raw material
evaluated service longevity product prices;
Means to provide attitude performance
Negotiations
customer with
services suppliers

6.3 DESCRIBE THE COMPONENTS OF LOGICAL FRAMEWORK (SITUATIONAL

ANALYSIS, STRATEGY ANALYSIS, PROJECT PLANNING MATRIX,
IMPLEMENTATION)

6.3.1 LOGICAL FRAMEWORK ANALYSIS (LFA)

Logical Framework Analyses are widely used by donors and governments in the planning
and evaluation of development projects and disaster relief projects.

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They exist in various forms and under a variety of names, including ‘OOIP’ (Objective
Oriented Intervention Planning), ‘ZOPP’ (Zielorientierte Projektplanung) or GOPP (Goal
Oriented Project Planning). UNHCR call it OMS (Operations Management System).

6.3.1.1 WHAT IS FRAMEWORK ANALYSIS (LFA)?

There is no set methodology for developing and implementing a dryland management

programme. There are many techniques and methodologies available but there is not,
and most likely never will be, a single blueprint.

The logical framework (or logframe) approach provides a set of designing tools that, when
used creatively, can be used for planning, designing, implementing and evaluating
projects. The purpose of LFA is to undertake participatory, objectives-oriented planning
that spans the life of project or policy work to build stakeholder team commitment and
capacity with a series of workshops.

The technique requires stakeholders to come together in a series of workshops to set

priorities and plan for implementation and monitoring.

It provides in-depth analysis of project objectives, outputs, and activities. A major

component of it (the project planning matrix or PPM) results from stakeholder workshops
that are scheduled through the life of a project to encourage brainstorming, strategizing,
information gathering, and consensus building among stakeholders. As such, LFA
provides a structured, logical approach to setting priorities and determining the intended
results and activities of a project.

6.3.2 Steps in Logical Framework Analysis

Logical Framework Analysis is one of several methodologies for developing programmes

or projects. LFA consists of 4 main steps:

 Situation Analysis
 Strategy Analysis
 Project Planning Matrix
 Implementation

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 Situation Analysis
(1) Stakeholder Analysis
(2) Problem Analysis
(3) Objective Analysis

Strategy Analysis

Project Planning Matrix

(1) Matrix
(2) Assumptions
(3) Objective Indicators
(4) Verification

Implementation

Within each of these steps are a number of activities that help in formulating the logic and
sequence of the intended programme or project. LFA has a strong participatory
component in the situation analysis calling for the involvement of different actors in
formulating and developing a programme or project

What follows is an introduction to the first three steps to understand the general principles
in undertaking an LFA.

STEP 1: SITUATION ANALYSIS

The LFA approach begins by analysing the existing situation and developing objectives
for addressing real needs.

A situation analysis has as its core task to find out the actual state of affairs with respect
to an issue to be analysed; it is focused by problems and an attempt to understand the
system which determines the existence of the problems. As problems are always
connected to unfulfilled objectives, a situation analysis comprises of an Objectives’- as
well as a Problems’-Analysis. And as it is always people’s problems and objectives which
make up a situation, the analysis includes a Participants’-Analysis.

The analysis phase is the most critical, yet most difficult, phase of the logframe approach.
The analysis phase consists of three stages,

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I. Analysis of stakeholders
II. Analysis of problems
III. Analysis of objectives.

The situation of the proposed project or programme needs to be analysed. Answers to

the following questions are needed:

 What are the general areas of concern, or themes, that the project will focus on?
 What is the project aiming to achieve?
 At what spatial levels will the project focus, in terms of subject (broad/macro to
specific/micro) and or geography (local to global)?
 What political, socio-economic, technological and biophysical environment will the
project operate within?
 Who are the major stakeholders?
 How will stakeholders be involved in the process of design, implementation,
monitoring, evaluation and reporting?
 Who is working on the issues already? What are they doing?
 What is the niche of the project?
 Who will implement the project?
 What is the intended duration of the project?
 What is the anticipated level of funding?
 Who will fund the project?

I. Stakeholder Analysis

Projects are influenced by many actors. Their different interests, potentials, deficiencies
and other characteristics play a role in the process of designing and implementing a
project. It has been a frequent experience in development that marginal groups were not
sufficiently considered in the planning, and hence caused poor implementation. Thus it is
usually necessary and expedient to analyse stakeholders in a project as part of the
planning process.

In using the LFA approach, the stakeholder analysis is an analysis of the problems, fears,
interests, expectations, restrictions and potentials of all:

– important groups
– organisations and institutions
– implementing agencies
– other projects and - individuals

who may have an influence on a situation/(intended) project or are themselves affected

by it. Those analysed in detail should be limited to those who are perceived to:

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 – be able to contribute to questions to be answered
– be important with regard to decisions to be taken.

They should constantly be referred to in developing the LFA. Key questions to ask in
preparation for developing the logframe are:
 Who will be involved in the logframe development?
 Where will the development be conducted?
 Who will facilitate the development of the logframe?
 What background materials, papers and expertise may be needed?
 What materials and logistics are required?

II. The Analysis of Problems

The analysis phase usually begins with an analysis of problems. The problem analysis is
undertaken by identifying the main problems and developing a 'problem tree' through an
analysis of cause and effects.

The guiding principle in the Analysis of Problems is: problem-focused analysis combined
with a systems’ understanding

 Problem-focused analysis means:

 analyse only those issues which are identified to be problematic, be guided by
problem view
 narrowing the focus with respect to the scope of analysis and at the same time
digging deep into these problems and their causal factors.

System’s understanding means:

 understand how the system (in which the problem and its causing factors occur)
operates
 widening the view with respect to analysing the interlinkages and feed-back
mechanisms between components of the system

Brainstorming techniques can be used to identify the main problems. Before the
brainstorming exercise commences it is important that the facilitator explain the process
and the group agrees on some rules for brainstorming.

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The brainstorming exercise:
(1) Commences by asking workshop participants to identify the main problems that the
project will address
(2) The main problems should be written on small pieces of card, and stuck on the wall.
(3) High order problems should not be described as 'lack of' something, for example
lack of knowledge, but instead they should be described as an effect, for example
lack of knowledge may become 'destructive forest harvesting practices'
(4) After all of the problems are displayed on the wall they should then be clustered into
groups of similar issues
(5) Problems that are duplicated can be discarded
(6) At this stage a simple 'weeding' exercise can be undertaken. The aim of the weeding
exercise is to remove any problems that are clearly not problems that can be
addressed by the project.

Developing the Problem Tree

The problem tree is developed by moving problems from the clusters of problems on
the wall and by adding new problems that emerge as the tree is developed. Problems
can be moved up or down the tree as required. The tree should end up with one main
problem and a series of lower order problems that branch out below the main problem.

The problem tree is constructed by selecting a problem from the list and relating this
problem to a starter problem using the cause-effect rationale described below:

If the problem is a cause of the starter problem it is placed below the starter problem

If the problem is an effect of the starter problem it goes above

If it is neither a cause or effect it goes at the same level

How to make a problem tree step by step

1. Analyze the situation: Yes, you know there is a problem situation, but analyze it.
What is happening, why is it happening and what is triggering it. Collect data that
will allow you to understand the problem situation. This in itself will give you a lot
of input for the next step.
2. Identify the main problems of the situation you have analyzed: Any technique
to generate ideas will be useful. A team brainstorming, defining by consensus what
the main problem is, is usually a good alternative. However, if the problem is much
more technical and requires many experts and discussions, since it is complex to
differentiate causes from effects, try the Vester matrix. This alone will allow you to
prioritize the main problem, and will get you a few steps ahead by giving you
causes and effects of the main problem.
3. Determine the effects and causes of the main problem: You already have the
trunk of the tree, now identify the causes (roots) and the effects or consequences
(leaves or branches). Again, it is better if this is done as a team, seeking to reach

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 a consensus. If in step 2 you elaborated the Vester matrix, you will already have
this step quite clear.
4. Draw the tree: Simple. We will see how in the example below.
5. Go deeper into causes and effects: Solving the core problem will be much easier
as you determine the root causes and effects. That is, if you have already
determined a cause, is it possible that this cause is brought about by something
else in turn? Draw a line and go as deep as possible.

With this done, all that remains is to move from the problem tree to the objective tree,
taking causes to means and consequences to ends.

III. Objectives Analysis

An objectives’-analysis in a wide sense is a procedure for systematically identifying,

categorising, specifying and - if required - balancing out objectives of all parties involved
in a specific situation (for which those objectives apply).

The problem tree is transformed into an objectives tree by restating the problems as
objectives. The objectives tree can be viewed as the positive mirror image of the problem
tree. It is usually necessary to reorder the position of objectives as you develop the tree.
The objectives tree can also be considered as an 'ends - means' diagram. The top of the
tree is the end that is desired and the lower levels are the means to achieving the end.

How to make an objective tree step by step

If you are preparing to make an objective tree, it is because you have already analyzed
the problematic situation and you have a problem tree. From this point we start to make
a tree of objectives or means and ends:

 From negative to positive: There are already causes and consequences, let’s
write them in positive to transform causes into means and effects into ends. As
long as we have relevant causes and consequences, they will be the means and
ends that we obtain. If the means and ends obtained are not appropriate or are
considered too diffuse, we discuss the problem situation again and reconsider a
modification to the problem tree.
 Check and modify: It is done. Now let’s check for redundancies, similarities or
inconsistencies in the tree. A good way to accomplish this is to establish a 1 to 1
relationship from cause to effect and from effect to end.
 With this done, it only remains to move from the problem tree to the objective
tree, taking the causes to means and the consequences to ends, and this is what
we are going to see with the example started in the problem tree post.

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STEP 2: STRATEGY ANALYSIS

A strategy analysis or analysis of alternatives is a systematic way of searching for and

deciding on problem solutions. It follows the problems and objectives analysis and is a
prerequisite to designing action strategies.

Choices among different solutions to problems may concern

– overall concepts, strategic plans, objectives

– people, target groups, organisations, agencies
– methods, procedures, processes
– technologies, services, products, outputs
– measures, actions, materials, inputs

All alternative strategies considered must contribute to solving a problem, or in other

words: they must be suitable steps towards the attainment of identified guiding objectives
(=relevance).

Based on the situation analysis and the ordering sequence of the problem and objective
trees, the strategy analysis involves clustering objectives and examines the feasibility of
different interventions. The main objective becomes the project purpose and the lower
order objectives become the outputs or results and activities.

The strategy analysis phase involves the selection of a strategy to achieve the desired
results. The strategy comprises the clusters of objectives to be included in the project. In
addition to examining the logic, strategy analysis also looks at feasibility of different
interventions. This may mean that the focus of the project shifts, therefore once the
strategy has been selected, the project purpose and overall objectives are finalised.

An example of a strategy analysis is shown below. In this example it is unlikely to choose

"efficient human population programme" (identified in the objectives analysis) but rather
one or all of the other means. The process of making choices should be carried out in a
very methodical way, giving due consideration to the ends/means relationship in the
objectives tree.

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Overall Increase in Increase in Increased
objectives profit market share workforce
motivation

Increased Improved Strengthening of

customer company image company’s
purchases competitiveness

Decrease in customer
Project complaints and claims
Purpose

Excellent after- Improved quality of Decrease in prices

sales service product and services of products and
services

Staff Personnel Increased Optimal and Improved Decreased

trained and with productivity on-time productivity raw material
Results evaluated service longevity product prices;
or attitude performance
to provide Negotiations
Outputs
customer with
services suppliers

STEP 3: PROJECT PLANNING MATRIX (PPM)

What is a PPM?

The Project Planning Matrix is developed from the strategy analysis by filling in the
columns of the matrix as shown below. The goals, purpose, outputs/results and
inputs/activities are transposed from the strategy tree to the columns and rows in the
matrix.

What does the Matrix look like?

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Narrative Summary Objectively Means of Important
Verifiable Verification Assumptions
Indicators
GOALS/ OBJECTIVE Measures of goal Various sources of Goal-purpose
achievement information; linkages
methods used
PROJECT End-of-project Various sources of Output-purpose
PURPOSE status information; linkages
methods used
OUTPUTS/RESULTS Magnitudes of Various sources of Input-output
outputs; planned information; linkages
dates of methods used
completion
INPUTS/ ACTIVITIES Types/levels of Project data, other Initial assumptions
resources; starting sources of regarding the
date information causality of the
programme

The PPM provides a one-page summary of:

 Why a project is carried out (= who/what will benefit?)

 What the project is expected to achieve (= utilisation of services)
 How the project is going to achieve its outputs/results (= measures executed)
 Which external factors are crucial for the success of the Project (= risks and frame
conditions)
 How we can assess the success (= indicators)
 Where we will find the data required to assess the success (= means of verification).

What are the Main Elements of the PPM?

(1) Narrative Summary

GOAL
The development goal describes the developmental benefits which the respective
target groups can expect to gain from the program or the project

It contains hints on: the kind of benefits which are expected to accrue to the target
groups and by what type of capabilities they should be enabled to keep up or improve
their conditions in changing economic, social and institutional environments

PROJECT PURPOSE
The purpose of a program or a project describes the changes in behaviour, structures
or capacity of the target groups which directly result from the utilisation of the
deliverable outputs or results the program or project will be expected to yield.

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 It contains aspects like: a changed type/method of resources utilisation, an improved
system of production/organisation which allows the target groups to participate in the
project / program, and which is adjusted to their economic, social, ecological and
institutional frame conditions

OUTPUTS / RESULTS
The outputs or results describe the goods and services, the direct deliverables which
are contributed from the side of a project or program.

Outputs or results must express the nature, scope and intensity of support or of the
solution being sought. This includes: (1)provision of information on support/solution
compatibility of support/solution with prevailing frame conditions (2)access to
support/solution by specific target-groups, including gender aspects (3)availability of
support/solution

INPUTS/ACTIVITIES
Measures/tasks carried out by the project/program in order to achieve and obtain the
outputs/results (actions)

(2) Objectively Verifiable Indicators:

For each cell of the narrative summary, indicators need to be developed. Objectively
verifiable indicators or OVI should meet the following criteria: -
– Measurable: An indicator must be able to be measured in either quantitative or
qualitative terms - Feasible: An indicator should be feasible in terms of finances,
equipment, skills and time.
– Relevant and Accurate: An indicator should reflect what we are trying to measure
in an accurate way.
– Sensitive: An indicator should be capable of picking up changes over the time
period that we are interested in.
– Timely: An indicator should be able to provide information in a timely manner.

Indicators should show who is benefiting from the project and allow for evaluation of
the intended and unintended impacts of the project on various social groups and
stakeholders. This requires the collection of information separately for men and women,
for different ethnic groupings, for different age groupings (children, adults, elderly) and
for different economic (rich, poor) and social groupings (agriculturists, pastoralists,
businesses).

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(3) Means of Verification

Once indicators have been developed, the source of the information and means of
collection (means of verification (MOV)) should be established for each indicator. An
MOV should test whether or not an indicator can be realistically measured at the
expense of a reasonable amount of time, money and effort. The MOV should specify:

– The format in which the information should be made available (e.g. reports, records,
research findings, publications).
– Who should provide the information.
– How regularly it should be provided.

(4) Assumptions:

The aim of specifying assumptions is:

(1) to assess the potential risks to the project concept right from the initial stages of
project planning
(2) to support the monitoring of risks during the implementation of the project
(assumptions can be specified by indicators and are an object of monitoring the
frame conditions of a project / program and the changes in the frame conditions)
(3) to provide a firm basis for necessary adjustments within the project whenever it
should be required.

Vertical and Horizontal Logic within the PPM

The matrix functions on two dimensions, vertical and horizontal.

Vertical: The vertical logic can proceed from very specific inputs moving up to a general
goal. It can also be considered in reverse from a general goal to the necessary specific
inputs.

If the project or programme has good causality, then the vertical logic should be correct
and demonstrable. Testing the vertical logic is important becomes it makes explicit the
relationship between the particular inputs and outcomes. LFA also causes project
participants to examine not only the causality of their project but also the resource
requirements.

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Linking of Matrix Cells through Vertical Logic

Intervention Strategy Important Assumptions

Goal Assumptions for
sustaining the goal in the
long term
Project Purpose Achieved plus assumptions for achieving
the goal

Outputs/Results Achieved plus assumptions for achieving

the project purpose
Inputs/Activities Carried
out plus
Inputs/Activities Carried out plus Assumptions for
achieving the
outputs/results

Horizontal:

The horizontal logic of the matrix considers how to determine the status of inputs, outputs,
achieving the project purpose and contributing to the overall goal by listing the indicators
and verification and the assumptions overarching the project implementation.

An Example of a Matrix Below is a simplified example of a filled out matrix with the overall
goal to improve human nutrition.

Narrative Objectively Means of Important

Summary Verifiable Verification Assumptions
Indicators
GOAL/ Improved human Quantitative Having more food
OBJECTIVE nutrition measures available produced will
from public sources increase availability
Improving human or records of the and improve
nutrition in X project nutrition
PROJECT Increased food Quantitative Better yields will
PURPOSE production measures available lead to increased
from public sources production
increase food or records of the
production project
OUTPUTS/ Increased Quantitative Using irrigation
RESULTS quantities of measures available water will increase
vegetables from public sources yields

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 increased yields of or records of the
vegetables project
INPUTS/ Irrigation water Quantitative Irrigation water is
ACTIVITIES measures available available and can
from public sources be distributed
Irrigation water or records of the
project The increased
yields will be
available to the
people

STEP 4: IMPLEMENTATION

The operational phase of a project commences when implementing activities begin in

order to achieve the expected outputs/results. In many cases this may be one or two
years after the project concept had been established at the end of the design phase (as
laid down in the PPM of the project appraisal). In the meantime framework conditions may
have changed, so that a verification of the PPM must take place during the operational
planning. The project purpose and development goal, however, should be altered only in
exceptional cases when major changes have occurred.

Implementation should have a plan of operations i.e. the detailed plan for the
implementation of project. It is established by the project team and will be documented
as:

 workplans / work schedules

 project budget / resources plans
 personnel plans
 material and equipment plan / procurement plan / staff training plans.

The work plan and the project budget constitute the core of the Plan of Operations.

Constructing a Combined Workplan and Project Budget

Step 1: Develop a table (workplan skeleton) and transfer the activities from the Project
Planning Matrix to the first column of Define any necessary sub-activities.

Step 2: For each activity / sub-activity:

 specify the anticipated milestone(s)
 assign responsibilities for the implementation
 determine the beginning and the end of the implementation of each activity / sub-
activity (timing)
 specify staff requirements per activity/sub-activity
 specify the quantity of material and equipment needed per activity/sub-activity

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  specify cost and cost category for every activity/sub-activity
 specify important assumptions and their indicators.

Step 3: Final check with focus on:

 consistency of cost with overall allocation / availability of financial resources.
 workload of assigned / responsible personnel
 consistency of the timing.

It may be advisable to transfer the reviewed workplan into a bar-chart with time axes.

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Possible Format for a Workplan:

Activity Mile Assigned to: 2022 2022 2022 2022 Staff / Equip. Misc. Remarks
Stone 1st 2nd 3rd 4th Training TZS Materials TZS TZS
Responsibility to Div. Div. Div. Div. Requirements

Activity
1.0 …

Activity
1.1 ……….

Activity
1.2 ………….

Activity
2.0 ……………

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The workplan and project budget sheet constituting the core of the Plan of Operations,
will serve as the basis for further detailed operational planning: e.g. sectional work-plans
/ budgets, half-yearly/quarterly plans, specific functional plans e.g. for training,
procurements, etc.

Recommended Structure of a Plan of Operation (in the form of a document)

1. Summary
Name of project, location, project executing agencies; overall goal, project purpose,
background and major time schedule; indicators regarding ongoing project phase,
outputs/results, major activities and resources required in the planned project period.

2. Overall Concept
Problem analysis and objectives; target groups, long-term project strategy,
outputs/results, assumptions and risks for the overall project period; guarantee of the
sustainability (integration planning), organisation of project executing agencies,
development of institutional structures; total costs.

3. Description of previous project phase (if applicable)

Description of the situation at the beginning of the planning period; comparison of
targets and actual situation, with respect to the results of previous planning period and
the utilisation of resources, indications concerning assumptions and major (non-
scheduled) impacts, conclusions concerning subsequent planning period or overall
concept (modifications, new activities, evaluations, etc.)

4. Description of upcoming project phase

Description of project goal, the outputs/results and assumptions, providing indicators
for this period; description of the major activities; the procedure followed in the
individual work areas and time frame (work plan), inter-linking of activities, impacts on
target groups, their contributions and how they are integrated; monitoring and project
controlling; description of the major organisation, competencies and responsibilities of
the project executing agency in the project; functions of personnel; contributions by
third parties; how funds are managed; organisation of cooperation in project (co-
ordination, work-flows, communications, etc.)

5. Contributions by the partner organisation, the funding agencies and by third

parties to the ongoing project period
Project budget Personnel plan Staff training plan Material & equipment plan /
procurement plan

6. Monitoring and Reporting

Deadlines for reports, addressees, deadlines for re-planning, evaluations.

7. Appendices

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Problem tree for entire project period
Objectives tree for entire project period
Project planning matrix for entire project period
Project planning matrix for upcoming project period
Monitoring and evaluation documents
Organisation chart for project executing agency and for the project
Job descriptions of project staff (expatriate and local personnel)
List of available planning documents

6.4 ADVANTAGES AND DISADVANTAGES OF LOGICAL FRAMEWORK

6.4.1 Advantages
 During initial stages, it can be used to test project ideas and concepts for relevance
and usefulness.

 It guides systematic and logical analysis of the key interrelated elements that
constitute a well-designed project (The World Bank, 2000).

 It defines linkages between the project and external factors.

 During implementation, the logframe serves as the main reference for drawing up
detailed work plans, terms of reference, budgets, etc.

 A logframe provides indicators against which the project progress and

achievements can be assessed.

 It provides a shared methodology and terminology among governments, donor

agencies, contractors and clients (The World Bank, 2000).

6.4.2 Disadvantages
 Focusing too much on problems rather than opportunities and vision (WUR 2010).

 Organisations may promote a blueprint, rigid or inflexible approach, making the

logframe a straitjacket to creativity and innovation (The World Bank, 2000).

 Limited attention to problems of uncertainty where a learning or adaptive approach

to project design and management is required.

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The strong focus on results can miss the opportunity to define and improve processes.

Birth complications Increased/earlier

diagnosed later or diagnosis of birth
not all complications

REVIEW QUESTIONS

Question 1
(a) What is conceptual framework?
(b) How is constructed?

Question 2
What is logical framework? How is it developed?

Question 3
Practically, differentiate problem tree from objective tree.

Question 4
Describe the components of logical framework.

Question 5
Explain advantages and disadvantages of logical framework.

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