the logical framework as an implementation and monitoring tool rbec environment & energy...

The Logical Framework as an Implementation and Monitoring Tool

RBEC Environment & Energy Practice WorkshopRBEC Environment & Energy Practice Workshop

Almaty, Kazakhstan. 6-9 October 2004Almaty, Kazakhstan. 6-9 October 2004

John Hough, UNDP GEF BD PTAJohn Hough, UNDP GEF BD PTA

Reminder: The LogFrame is an Approach not a Matrix

• Methodology -including a set of tools- Methodology -including a set of tools- to to structurestructure and and facilitatefacilitate::

project project planningplanning

project project designdesign

project project managementmanagement

projectproject performance assessment performance assessment

Benefits

LFA contributes to:LFA contributes to:

structured project designstructured project design process- logical process- logical sequencesequence

transparencytransparency- clear objectives, side effects- clear objectives, side effects

participationparticipation- ownership, sustainability- ownership, sustainability

consistent project strategyconsistent project strategy

assessment of performanceassessment of performance- indicators (ex-post & - indicators (ex-post & during implementation)during implementation)

Basic Steps and Elements

Problem Problem AnalysisAnalysis

StakeholderStakeholder Analysis Analysis

ObjectiveObjectives Analysiss Analysis

Analysis of Analysis of AlternativesAlternatives

Project Planning Project Planning

Project Planning Matrix (PPM) (the “logframe”)Project Planning Matrix (PPM) (the “logframe”)

Problem Analysis

• Establishing “cause and effect” relationships – a Establishing “cause and effect” relationships – a “problem tree”“problem tree”

• ““lack of the solution is not the root cause of the lack of the solution is not the root cause of the problem”! problem”!

• Identifying “lack of knowledge” as the problem Identifying “lack of knowledge” as the problem means that the solution is already pre-determined: means that the solution is already pre-determined: ie. “provide knowledge”ie. “provide knowledge”

• Getting people to focus on what they Getting people to focus on what they needneed to do to do vs. what they vs. what they wantwant to do is often the biggest to do is often the biggest challenge in project developmentchallenge in project development

• Solution Driven Analysis often leads to solving Solution Driven Analysis often leads to solving the wrong problemthe wrong problem

Lessons learned

1. Doing “good work” or1. Doing “good work” or

“ “achieving impact”?achieving impact”?

2. “Seeing the wood for the trees”2. “Seeing the wood for the trees”

Stakeholder Analysis

• Problem Analysis cannot be done without Problem Analysis cannot be done without Stakeholder Consultation.Stakeholder Consultation.

• Every stakeholder views the problem from Every stakeholder views the problem from a different angle.a different angle.

• Problem analysis and stakeholder Problem analysis and stakeholder identification and analysis are iterative identification and analysis are iterative processes, progress in one almost always processes, progress in one almost always means returning to the other.means returning to the other.



Objectives Objectives AnalysisAnalysis

Objectives Analysis

• What is the project “going after”?What is the project “going after”?

• What are the indicators?What are the indicators?

Problem Problem Analysis Analysis


Objectives Objectives AnalysisAnalysis

AlternativeAlternative Analysis Analysis

Alternative Analysis

Systematic search for the best project approach.Systematic search for the best project approach.

What outcomes are required to reach the objective?What outcomes are required to reach the objective?

How best to reach each outcome?How best to reach each outcome?

What outputs are required to reach each outcome?What outputs are required to reach each outcome?

What activities are required to achieve each output?What activities are required to achieve each output?

Set up criteria for assessment of alternatives, such as:Set up criteria for assessment of alternatives, such as: resources availableresources available

political feasibilitypolitical feasibility

social impactsocial impact

Writing the Objective Tree

ObjectiveObjective

Outcome 1Outcome 1 Outcome 2Outcome 2 Outcome 3Outcome 3

Fundamental Project Design

Outcome 1 + Outcome 2 + Outcome 3 = ObjectiveOutcome 1 + Outcome 2 + Outcome 3 = Objective

Lesson Learned

• there should be no spare outcomesthere should be no spare outcomes

• nor should there be any outcomes that are nor should there be any outcomes that are not essential for the achievement of the not essential for the achievement of the objectiveobjective

In the logical logframe matrix we simply list the outcomes vertically

ObjectiveObjective

= Outcome 1= Outcome 1

+ Outcome 2+ Outcome 2

+ Outcome 3+ Outcome 3

Assumptions

Conditions that are necessary for the success of the Conditions that are necessary for the success of the project, but which are not under the direct influence project, but which are not under the direct influence of the project. of the project.

Assess conditions according to importance and Assess conditions according to importance and probabilityprobability

Need to be monitored / risksNeed to be monitored / risks

Pay attention to “killer assumptions” (= need to re-design Pay attention to “killer assumptions” (= need to re-design project)project)

Assumptions vs. Risks

• Assumptions tend to be positiveAssumptions tend to be positive

eg. “a supportive piece of legislation is passed”eg. “a supportive piece of legislation is passed”

• Risks tend to negativeRisks tend to negative

eg. “increased pressure on a protected area as a eg. “increased pressure on a protected area as a consequence of a resettlement programme”consequence of a resettlement programme”

• Assumptions can be formulated negatively as Assumptions can be formulated negatively as risks, and vice versa – risks as assumptionsrisks, and vice versa – risks as assumptions

• Assumptions are generally identified during Assumptions are generally identified during project designproject design

• Risks often appear during project implementation Risks often appear during project implementation

Converting Assumptions to Outcomes through Cofinancing

• If a condition required through an If a condition required through an assumption can be brought under the assumption can be brought under the influence of the project, then it becomes a influence of the project, then it becomes a project outcome.project outcome.

• The costs of achieving that outcome would The costs of achieving that outcome would count as co-financingcount as co-financing

Project ObjectiveProject Objective

Outcome 1Outcome 1 Outcome 2 (Cofinanced)Outcome 2 (Cofinanced) AssumptionAssumption

Combining Outcomes and Assumptions Combining Outcomes and Assumptions leads to the Objectiveleads to the Objective

Listing these vertically in a logical logframe matrix we get:

• ObjectiveObjective

• = Outcome 1= Outcome 1

• + Outcome 2+ Outcome 2

• + Outcome 3+ Outcome 3

• + Assumption 1+ Assumption 1

• + Assumption 2+ Assumption 2


Outcome 1Outcome 1 Outcome 2Outcome 2 Outcome 3Outcome 3

OutputOutput OutputOutput OutputOutput OutputOutput OutputOutputOutputOutput

From Objectives to Outcomes to OutputsFrom Objectives to Outcomes to Outputs

Similarly these are written vertically:

• Outcome 1Outcome 1

• = Output 1= Output 1

• + Output 2+ Output 2

• + Output 3+ Output 3

• + there may be assumptions at this level + there may be assumptions at this level too!too!

ProjectProjectObjectiveObjective

Outcome 1Outcome 1(GEF Financed)(GEF Financed)

Outcome 2Outcome 2(Cofinanced)(Cofinanced)

AssumptionAssumption

OutputOutput OutputOutput OutputOutputOutputOutput

ActivityActivity

ActivityActivity

ActivityActivity

ActivityActivity ActivityActivity ActivityActivity

ActivityActivity ActivityActivity InputInput

From Objectives to Outcomes to Outputs From Objectives to Outcomes to Outputs to Activitiesto Activities

3. Basic Steps and Elements

Planning Phase Project Planning Matrix (PPM)

ie. the logframe matrix combines the vertical and horizontal logic

• ObjectiveObjective

• = Outcomes 1+2+3 + Assumptions= Outcomes 1+2+3 + Assumptions

• = Outputs 1+ 2+ 3+4 + Assumptions= Outputs 1+ 2+ 3+4 + Assumptions

• = Activities 1+2+3+4 + Assumptions= Activities 1+2+3+4 + Assumptions

3. Basic Steps and Elements

Planning Phase

Project Planning Matrix (PPM)

Project Planning Matrix (PPM)Reading /Interpreting the PPM

Project Planning or “LogFrame” Matrixis a “Summary” of the Project

WHYWHY the project is carried out (development objective, the project is carried out (development objective, immediate objectives)immediate objectives)

WHATWHAT the project is supposed to produce (outputs)the project is supposed to produce (outputs)

HOWHOW the project is going to achieve the outputs (activities)the project is going to achieve the outputs (activities)

HOWHOW the success of the project can be measured (indicators)the success of the project can be measured (indicators)

WHEREWHERE the data can be found (means of verification) the data can be found (means of verification)

WHICHWHICH external factors influence the project (assumptions) external factors influence the project (assumptions)

WHICHWHICH inputs are required for the project (inputs/budget) inputs are required for the project (inputs/budget)

In a logframe we are not very interested in activities

• Activities are the means to an endActivities are the means to an end

• We are interested in “ends” or “impacts”We are interested in “ends” or “impacts”

• Summarize the activities in the logframeSummarize the activities in the logframe

• Overloading the logframe with activities is Overloading the logframe with activities is confusing, and also a waste of effort since they are confusing, and also a waste of effort since they are likely to change in the light of project likely to change in the light of project circumstancescircumstances

• Activities are detailed in a project management Activities are detailed in a project management annual activity workplanannual activity workplan

Lesson learned

GEF Projects tend to be GEF Projects tend to be “overdesigned”“overdesigned”

- They place far too much emphasis on They place far too much emphasis on “activities”“activities”

- There is too much emphasis on measuring There is too much emphasis on measuring or counting outputs and activitiesor counting outputs and activities

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

The SP’s are what we are “going after”The SP’s are what we are “going after”

• GEF Strategic Priority / TargetGEF Strategic Priority / Target

• Project Objective / TargetProject Objective / Target

• Project Outcomes / sub-TargetsProject Outcomes / sub-Targets

• Review the impact indicators associated with theseReview the impact indicators associated with these

A word on terminology

Development Goal = what the project contributes to, Development Goal = what the project contributes to, but does not on its own achievebut does not on its own achieve

Project Objective = what the project is accountable for Project Objective = what the project is accountable for deliveringdelivering

Project Outcomes = the constituent elements of a Project Outcomes = the constituent elements of a project.project.

The sum of the project outcomes = the project objectiveThe sum of the project outcomes = the project objective

Project targets are rolled up to achieve the SP targets

SP1.Target 2:SP1.Target 2:

x (y%) countries show improvements in management x (y%) countries show improvements in management effectiveness (policy, legislation, capacity, budgets)effectiveness (policy, legislation, capacity, budgets)

==

Improvements in country 1Improvements in country 1

+ +

Improvements in country 2Improvements in country 2

++

etcetc

Putting it all together

MDG 7MDG 7

GEF AchievementsGEF Achievements Convention GoalsConvention Goals UNDAF OutcomesUNDAF Outcomes

GEF 3 OutcomesGEF 3 Outcomes SRF/MYFF OutcomesSRF/MYFF Outcomes

Strategic Priority TargetsStrategic Priority Targets = (Development Goal) == (Development Goal) = SRF/MYFF OutputsSRF/MYFF Outputs

CP / CPAP OutputsCP / CPAP Outputs


Project OutcomesProject Outcomes

Project OutputsProject Outputs

Project ActivitiesProject Activities

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

Results Measurement Framework

Goals/Objectives/Outcomes

Key Performanc

eIndicator

Baseline (Year

1)

Target (Year

2)

Target (Year

3)

Target (end of project

)

Verification

Means/Data

Collection Strategy


ie. the Traditional Logframe Matrix and the Results Measurement Framework are

easily combined

Goals/Objectives/Outcomes

Key Performanc

eIndicator

Baseline (Year 1)

Target (Year

2)

Target (Year 3)

Verification

Means/Data

Collection Strategy




X% Y%



X Y

A more objective PIR / APR?

Goals/Objectives

/Outcomes/Assumptions & Risks

Key Performan

ceIndicator

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



X% Y% Z%??



X Y Z??

Using the logframe as an implementation and monitoring

tool

““Seeing the forest for the trees”Seeing the forest for the trees”

• Focuses on targets and impacts, not activities or Focuses on targets and impacts, not activities or outputsoutputs

• Enables us to revisit the “alternatives” and adjust Enables us to revisit the “alternatives” and adjust the activities or outputs on a regular basisthe activities or outputs on a regular basis

• Adaptive managementAdaptive management

Putting it all togetherMDG 7MDG 7

GEF AchievementsGEF Achievements Convention OutcomesConvention Outcomes UNDAF OutcomesUNDAF Outcomes

GEF 3 OutcomesGEF 3 Outcomes CP/SRF/MYFF OutcomesCP/SRF/MYFF Outcomes

Strategic Priority TargetsStrategic Priority Targets = (Development Goal) == (Development Goal) = CP/SRF/MYFF OutputsCP/SRF/MYFF Outputs


Project OutcomesProject Outcomes

Project OutputsProject Outputs

Project ActivitiesProject Activities

Project InputsProject Inputs

Indicators of What?

Level of Level of ObjectiveObjective

What it isWhat it is ExamplesExamples IndicatorsIndicators

ObjectiveObjective

Changes / Changes / ImpactsImpacts

Biodiversity conservedBiodiversity conserved

ImpactImpactOutcomesOutcomes Attitudes changedAttitudes changed

Institutions changedInstitutions changed

OutputsOutputs

Products / Products / ProcessesProcesses

Capacitated peopleCapacitated people

Products / ProcessProducts / ProcessActivitiesActivities Workshops heldWorkshops held

People trainedPeople trained

InputsInputs $ spent$ spent Dollars spentDollars spent

Eguipment suppliedEguipment supplied

DeliveryDelivery

Convergence: outcomes and indicatorsStateState PressurePressure ResponseResponse OutputOutput ActivitiesActivities

Development Development GoalGoal

Marine Marine Biodiversity in Biodiversity in ChileChile

Fish Fish PopulationsPopulations

Fishing Fishing IntensityIntensity

Area of Area of MUMPA’sMUMPA’s

RegulationsRegulationsDemarcationDemarcationStaffingStaffing

Decision Decision MakingMaking

Financial Financial ToolsTools

WorkshopsWorkshops

TrainingTraining

DisbursemeDisbursement Ratesnt Rates

Project Project ObjectiveObjective

Increased Fish Increased Fish PopulationsPopulations

Project Project OutcomesOutcomes

Reduced Reduced Fishing Fishing IntensityIntensity

OutputsOutputs MUMPA’sMUMPA’s

Activities Activities RegulationsRegulations

DemarcationDemarcation

StaffingStaffing

Decision Decision MakingMaking

Financial ToolsFinancial Tools

Scaling Objectives

Chile Marine Chile Marine BiodiversityBiodiversity


MUMPA’sMUMPA’s Project Project ObjectiveObjective


Legal Legal Gazettement of Gazettement of

MUMPA’sMUMPA’s

OutcomeOutcome Project Project ObjectiveObjective


LegislationLegislation OutputOutput OutcomeOutcome Project Project ObjectiveObjective


Legal DraftingLegal Drafting ActivityActivity OutputOutput OutcomeOutcome Project Project ObjectiveObjective

Train lawyersTrain lawyers InputInput ActivityActivity OutputOutput OutcomeOutcome

Objectives of Alternative Projects:

• Reduced Fishing IntensityReduced Fishing Intensity

• Increased Fish PopulationsIncreased Fish Populations

• MUMPA’sMUMPA’s

• RegulationsRegulations

• DemarcationDemarcation

• StaffingStaffing

• Decision MakingDecision Making

• Financial ToolsFinancial Tools

Indicators of What?

Level of Level of ObjectiveObjective

What it isWhat it is ExamplesExamples IndicatorsIndicators

ObjectiveObjective

Changes / Changes / ImpactsImpacts

Biodiversity conservedBiodiversity conserved

ImpactImpactOutcomesOutcomes Attitudes changedAttitudes changed

Institutions changedInstitutions changed

OutputsOutputs

Products / Products / ProcessesProcesses

Capacitated peopleCapacitated people

Products / ProcessProducts / ProcessActivitiesActivities Workshops heldWorkshops held

People trainedPeople trained

InputsInputs $ spent$ spent Dollars spentDollars spent

Eguipment suppliedEguipment supplied

DeliveryDelivery

Good Indicators

• IndicatorIndicator is a quantitative or qualitative variable or is a quantitative or qualitative variable or parameter that provides a parameter that provides a simplesimple and and reliablereliable basis for basis for assessing change or performance (the objective or outcome).assessing change or performance (the objective or outcome).

• VerifierVerifier. . Variable or parameterVariable or parameter that retains the essential that retains the essential meaning of the objective and that meaning of the objective and that can be measured on the can be measured on the groundground..

• QualifierQualifier. . Contribute to describe the verifier allowing to Contribute to describe the verifier allowing to respond to: respond to: what, when, where, whowhat, when, where, who

• Targets/ BaselineTargets/ Baseline - values associated to the verifiers that - values associated to the verifiers that define define how muchhow much the objective is planned/expected to be the objective is planned/expected to be achieved compared to the situation prior to project start. achieved compared to the situation prior to project start. Intermediate targets (milestones) allow assessment of Intermediate targets (milestones) allow assessment of progress. progress.

Example of a Good Indicator

ObjectiveObjective::

““Conservation of keystone species”Conservation of keystone species”

IndicatorIndicator::

• At the end of the fifth year At the end of the fifth year (qualifier: when)(qualifier: when)

• the population sizes (the population sizes (qualifier: whatqualifier: what) )

• of species A, B and of species A, B and C C (verifier(verifier))

• within the boundaries of the park within the boundaries of the park ((qualifier: wherequalifier: where))

• have remained constant have remained constant (target)(target)

• compared to X number at project-start level compared to X number at project-start level (baseline)(baseline)

Lesson Learned - Procrastination

• Project designers defer measuring indicators to the Project designers defer measuring indicators to the inception phaseinception phase

• The inception phase defers measuring indicators to project The inception phase defers measuring indicators to project implementationimplementation

• Project implementation defers measuring indicators to the Project implementation defers measuring indicators to the mid-term evaluationmid-term evaluation

• The mid-term evaluation defers measuring indicators to The mid-term evaluation defers measuring indicators to the second half of project implementationthe second half of project implementation

• Project implementation defers measuring indicators to the Project implementation defers measuring indicators to the final evaluationfinal evaluation

• The final evaluators say “we cannot prove this project has The final evaluators say “we cannot prove this project has achieved anything” achieved anything”

the logical framework as an implementation and monitoring tool rbec environment & energy...

Documents

wrong problem slide

problem tree lack

implementation slide

logframe slide

best project approach

stakeholder identification

stakeholder consultation

lack of knowledge