The Logical Framework as an Implementation and Monitoring Tool

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The Logical Framework as an Implementation and
Monitoring Tool

• RBEC Environment Energy Practice Workshop
• Almaty, Kazakhstan. 6-9 October 2004
• John Hough, UNDP GEF BD PTA

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Reminder The LogFrame is an Approach not a Matrix

• Methodology -including a set of tools- to
  structure and facilitate
• project planning
• project design
• project management
• project performance assessment

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Benefits

• LFA contributes to
• structured project design process- logical
  sequence
• transparency- clear objectives, side effects
• participation- ownership, sustainability
• consistent project strategy
• assessment of performance- indicators (ex-post
  during implementation)

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Basic Steps and Elements

• Problem Analysis
• Stakeholder Analysis
• Objectives Analysis
• Analysis of Alternatives
• Project Planning
• Project Planning Matrix (PPM) (the logframe)

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Problem Analysis

• Establishing cause and effect relationships a
  problem tree
• lack of the solution is not the root cause of
  the problem!
• Identifying lack of knowledge as the problem
  means that the solution is already
  pre-determined ie. provide knowledge
• Getting people to focus on what they need to do
  vs. what they want to do is often the biggest
  challenge in project development
• Solution Driven Analysis often leads to solving
  the wrong problem

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Lessons learned

• 1. Doing good work or
• achieving impact?
• 2. Seeing the wood for the trees

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• Problem Analysis
• Stakeholder Analysis

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Stakeholder Analysis

• Problem Analysis cannot be done without
  Stakeholder Consultation.
• Every stakeholder views the problem from a
  different angle.
• Problem analysis and stakeholder identification
  and analysis are iterative processes, progress in
  one almost always means returning to the other.

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• Problem Analysis
• Stakeholder Analysis
• Objectives Analysis

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Objectives Analysis

• What is the project going after?
• What are the indicators?

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• Problem Analysis
• Stakeholder Analysis
• Objectives Analysis
• Alternative Analysis

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Alternative Analysis

• Systematic search for the best project
  approach.
• What outcomes are required to reach the
  objective?
• How best to reach each outcome?
• What outputs are required to reach each outcome?
• What activities are required to achieve each
  output?
• Set up criteria for assessment of alternatives,
  such as
• resources available
• political feasibility
• social impact

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Writing the Objective Tree
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Fundamental Project Design

• Outcome 1 Outcome 2 Outcome 3 Objective

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Lesson Learned

• there should be no spare outcomes
• nor should there be any outcomes that are not
  essential for the achievement of the objective

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In the logical logframe matrix we simply list the
outcomes vertically
Objective
Outcome 1
Outcome 2
Outcome 3
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Assumptions

• Conditions that are necessary for the success of
  the project, but which are not under the direct
  influence of the project.
• Assess conditions according to importance and
  probability
• Need to be monitored / risks
• Pay attention to killer assumptions ( need to
  re-design project)

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Assumptions vs. Risks

• Assumptions tend to be positive
• eg. a supportive piece of legislation is
  passed
• Risks tend to negative
• eg. increased pressure on a protected area as
  a consequence of a resettlement programme
• Assumptions can be formulated negatively as
  risks, and vice versa risks as assumptions
• Assumptions are generally identified during
  project design
• Risks often appear during project implementation

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Converting Assumptions to Outcomes through
Cofinancing

• If a condition required through an assumption can
  be brought under the influence of the project,
  then it becomes a project outcome.
• The costs of achieving that outcome would count
  as co-financing

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Combining Outcomes and Assumptions leads to the
Objective
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Listing these vertically in a logical logframe
matrix we get

• Objective
• Outcome 1
• Outcome 2
• Outcome 3
• Assumption 1
• Assumption 2

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From Objectives to Outcomes to Outputs
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Similarly these are written vertically

• Outcome 1
• Output 1
• Output 2
• Output 3
• there may be assumptions at this level too!

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From Objectives to Outcomes to Outputs to
Activities
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3. Basic Steps and ElementsPlanning Phase
Project Planning Matrix (PPM)
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ie. the logframe matrix combines the vertical and
horizontal logic

• Objective
• Outcomes 123 Assumptions
• Outputs 1 2 34 Assumptions
• Activities 1234 Assumptions

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3. Basic Steps and ElementsPlanning Phase
Project Planning Matrix (PPM)
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Project Planning Matrix (PPM)Reading
/Interpreting the PPM
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Project Planning or LogFrame Matrixis a
Summary of the Project

• WHY the project is carried out (development
  objective, immediate objectives)
• WHAT the project is supposed to produce (outputs)
• HOW the project is going to achieve the outputs
  (activities)
• HOW the success of the project can be measured
  (indicators)
• WHERE the data can be found (means of
  verification)
• WHICH external factors influence the project
  (assumptions)
• WHICH inputs are required for the project
  (inputs/budget)

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In a logframe we are not very interested in
activities

• Activities are the means to an end
• We are interested in ends or impacts
• Summarize the activities in the logframe
• Overloading the logframe with activities is
  confusing, and also a waste of effort since they
  are likely to change in the light of project
  circumstances
• Activities are detailed in a project management
  annual activity workplan

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Lesson learned

• GEF Projects tend to be overdesigned
• They place far too much emphasis on activities
• There is too much emphasis on measuring or
  counting outputs and activities

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GEF Strategic Business PlanDirections and
Targets (GEF/C.21/ Inf.11)

• The SPs are what we are going after
• GEF Strategic Priority / Target
• Project Objective / Target
• Project Outcomes / sub-Targets
• Review the impact indicators associated with these

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A word on terminology

• Development Goal what the project contributes
  to, but does not on its own achieve
• Project Objective what the project is
  accountable for delivering
• Project Outcomes the constituent elements of a
  project.
• The sum of the project outcomes the project
  objective

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Project targets are rolled up to achieve the SP
targets

• SP1.Target 2
• x (y) countries show improvements in management
  effectiveness (policy, legislation, capacity,
  budgets)
• Improvements in country 1
• Improvements in country 2
• etc

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Putting it all together
MDG 7
GEF Achievements Convention Goals UNDAF Outcomes
GEF 3 Outcomes SRF/MYFF Outcomes
Strategic Priority Targets (Development Goal) SRF/MYFF Outputs CP / CPAP Outputs
Project Objective
Project Outcomes
Project Outputs
Project Activities
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Traditional Logframe Table
Goals/Objectives/Outcomes Key Performance Indicator Verification Means/Data Collection Strategy Assumptions or Risks
Increase protected areas of biodiversity in target region from X in Year 1 to Y by Year 2 of target region protected
Reduce CO2 emissions from X in Year 1 to Y by Year 2 Reduction in CO2 emissions
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Results Measurement Framework
Goals/Objectives/Outcomes Key Performance Indicator Baseline (Year 1) Target (Year 2) Target (Year 3) Target (end of project) Verification Means/Data Collection Strategy Assumptions or Risks


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ie. the Traditional Logframe Matrix and the
Results Measurement Framework are easily combined
Goals/Objectives/Outcomes Key Performance Indicator Baseline (Year 1) Target (Year 2) Target (Year 3) Verification Means/Data Collection Strategy Assumptions or Risks
Increase protected areas of biodiversity in target region from X in Year 1 to Y by Year 2 of target region protected X Y
Reduce CO2 emissions from X in Year 1 to Y by Year 2 Reduction in CO2 emissions X Y
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A more objective PIR / APR?
Goals/ Objectives/ Outcomes/ Assumptions Risks Key Performance Indicator Baseline (Year 1) Target (Year 2) Actual Level Achieved (Year 2) Target (Year x) Actual Level Achieved (Year x) Rating (HS, S, PS, U) Excuses offered
Increase protected areas of biodiversity in target region from X in Year 1 to Y by Year 2 of target region protected X Y Z ?
Reduce CO2 emissions from X in Year 1 to Y by Year 2 Reduction in CO2 emissions X Y Z ?
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Using the logframe as an implementation and
monitoring tool

• Seeing the forest for the trees
• Focuses on targets and impacts, not activities or
  outputs
• Enables us to revisit the alternatives and
  adjust the activities or outputs on a regular
  basis
• Adaptive management

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Putting it all together
MDG 7
GEF Achievements Convention Outcomes UNDAF Outcomes
GEF 3 Outcomes CP/SRF/MYFF Outcomes
Strategic Priority Targets (Development Goal) CP/SRF/MYFF Outputs
Project Objective
Project Outcomes
Project Outputs
Project Activities
Project Inputs
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Indicators of What?
Level of Objective What it is Examples Indicators
Objective Changes / Impacts Biodiversity conserved Impact
Outcomes Changes / Impacts Attitudes changed Institutions changed Impact
Outputs Products / Processes Capacitated people Products / Process
Activities Products / Processes Workshops held People trained Products / Process
Inputs spent Dollars spent Eguipment supplied Delivery
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Convergence outcomes and indicators
State Pressure Response Output Activities
Development Goal Marine Biodiversity in Chile Fish Populations Fishing Intensity Area of MUMPAs RegulationsDemarcationStaffing Decision Making Financial Tools Workshops Training Disbursement Rates
Project Objective Increased Fish Populations
Project Outcomes Reduced Fishing Intensity
Outputs MUMPAs
Activities Regulations Demarcation Staffing Decision Making Financial Tools
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Scaling Objectives
Chile Marine Biodiversity Development Goal
MUMPAs Project Objective Development Goal
Legal Gazettement of MUMPAs Outcome Project Objective Development Goal
Legislation Output Outcome Project Objective Development Goal
Legal Drafting Activity Output Outcome Project Objective
Train lawyers Input Activity Output Outcome
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Objectives of Alternative Projects

• Reduced Fishing Intensity
• Increased Fish Populations
• MUMPAs
• Regulations
• Demarcation
• Staffing
• Decision Making
• Financial Tools

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Indicators of What?
Level of Objective What it is Examples Indicators
Objective Changes / Impacts Biodiversity conserved Impact
Outcomes Changes / Impacts Attitudes changed Institutions changed Impact
Outputs Products / Processes Capacitated people Products / Process
Activities Products / Processes Workshops held People trained Products / Process
Inputs spent Dollars spent Eguipment supplied Delivery
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Good Indicators

• Indicator is a quantitative or qualitative
  variable or parameter that provides a simple and
  reliable basis for assessing change or
  performance (the objective or outcome).
• Verifier. Variable or parameter that retains the
  essential meaning of the objective and that can
  be measured on the ground.
• Qualifier. Contribute to describe the verifier
  allowing to respond to what, when, where, who
• Targets/ Baseline - values associated to the
  verifiers that define how much the objective is
  planned/expected to be achieved compared to the
  situation prior to project start. Intermediate
  targets (milestones) allow assessment of
  progress.

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Example of a Good Indicator

• Objective
• Conservation of keystone species
• Indicator
• At the end of the fifth year (qualifier when)
• the population sizes (qualifier what)
• of species A, B and C (verifier)
• within the boundaries of the park (qualifier
  where)
• have remained constant (target)
• compared to X number at project-start level
  (baseline)

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Lesson Learned - Procrastination

• Project designers defer measuring indicators to
  the inception phase
• The inception phase defers measuring indicators
  to project implementation
• Project implementation defers measuring
  indicators to the mid-term evaluation
• The mid-term evaluation defers measuring
  indicators to the second half of project
  implementation
• Project implementation defers measuring
  indicators to the final evaluation
• The final evaluators say we cannot prove this
  project has achieved anything