Ms4 lfa

28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia

11

Results-Based Management:

Logical Framework Approach 28 – 30 September, 2005

Putrajaya, Malaysia

UNITED NATIONS STATISTICAL INSTITUTE FOR ASIA & THE PACIFIC

(SIAP)CHIBA, JAPAN


22

RBM and Logical Framework RBM and Logical Framework Approach (LFA)Approach (LFA)

The LFA is an RBM tool used for systematic planning, implementing, The LFA is an RBM tool used for systematic planning, implementing,

monitoring, and evaluating projects/ programmes.monitoring, and evaluating projects/ programmes.


33

The Logical Framework The Logical Framework Approach (i)Approach (i)

Features of LFAFeatures of LFA : : stakeholder involvementstakeholder involvement needs-based approachneeds-based approach logical intervention approachlogical intervention approach framework for assessing relevance, framework for assessing relevance,

feasibility and sustainabilityfeasibility and sustainability


44

The Logical Framework The Logical Framework

Approach (ii)Approach (ii) Features of LFAFeatures of LFA : :

results-oriented – not activity driven

logically sets objectives and their causal relationships

shows whether objectives have been achieved: Indicators (for M&E)

describes external factors that influence the project’s success: assumptions and risks


55

Main steps:Main steps:• Stakeholder AnalysisStakeholder Analysis• SWOT AnalysisSWOT Analysis• Problem Tree AnalysisProblem Tree Analysis• Objective Tree AnalysisObjective Tree Analysis• Logical Framework MatrixLogical Framework Matrix• Monitoring and evaluationMonitoring and evaluation

LFA Key FeaturesLFA Key Features


66

Stakeholder is any individuals, group Stakeholder is any individuals, group or organization, community, with an or organization, community, with an interest in the outcome of a interest in the outcome of a programme/project.programme/project.

Stakeholder AnalysisStakeholder Analysis


77

Purpose:Purpose: To identify: To identify:

The needs and interest of stakeholders The needs and interest of stakeholders

The organizations, groups that should The organizations, groups that should be encouraged to participate in be encouraged to participate in different stages of the project; different stages of the project;

Potential risks that could put at risk Potential risks that could put at risk programme;programme;

Opportunities in implementing a Opportunities in implementing a programme;programme;

Stakeholder AnalysisStakeholder Analysis


88

SWOT Analysis (i)SWOT Analysis (i)Purpose:Purpose: To assess the performance and To assess the performance and

capacity of the participating units, capacity of the participating units, divisions of organization. divisions of organization.

Each participating unit has to Each participating unit has to undertake SWOT analysis.undertake SWOT analysis.


99

SWOT Analysis (ii)SWOT Analysis (ii) SWOT analysis is a tool for SWOT analysis is a tool for

institutional appraisal and a institutional appraisal and a brainstorming exercise in which the brainstorming exercise in which the representatives of the organization representatives of the organization participate fully.participate fully.


1010

SWOT Analysis (iii)SWOT Analysis (iii)SWOT stands for: SWOT stands for: StrengthsStrengths - the positive internal - the positive internal

attributes of the organisationattributes of the organisation WeaknessesWeaknesses - the negative internal - the negative internal

attributes of the organisationattributes of the organisation OpportunitiesOpportunities - external factors which - external factors which

could improve the organisation’s could improve the organisation’s prospectsprospects

ThreatsThreats - external factors which could - external factors which could undermine the organisation’s prospectsundermine the organisation’s prospects


1111

Purpose:Purpose: - to identify major problems and - to identify major problems and their main their main causalcausal relationships. relationships.

Output:Output: problem tree with cause and effectsproblem tree with cause and effects

Problem Tree AnalysisProblem Tree Analysis


1212

Steps in Undertaking Problem Steps in Undertaking Problem Tree Tree

1.1. Identify the major problems that the Identify the major problems that the project will address. State problems in project will address. State problems in negative manner.negative manner.

2.2. Group problems by similarity of concerns.Group problems by similarity of concerns.

3.3. Develop the problem tree:Develop the problem tree:a)a) Select a focal problem from the list and relate Select a focal problem from the list and relate

other problems to the focal problem.other problems to the focal problem.

b)b) If the problem is a cause of the focal problem If the problem is a cause of the focal problem it is placed below the focal problemit is placed below the focal problem

c)c) If the problem is an effect of the focal If the problem is an effect of the focal problem is goes above problem is goes above


1313

Problem Tree

CAUSE

EFFECT


1414

Analysis of ObjectivesAnalysis of Objectives Transforming the problem tree into an Transforming the problem tree into an

objectives tree by restating the objectives tree by restating the problems as objectives.problems as objectives.

Problem statement converted in to Problem statement converted in to positive statementspositive statements

Top of the tree is the end that is Top of the tree is the end that is desireddesired

Lower levels are the means to Lower levels are the means to achieving the end.achieving the end.


1515

Objectives Tree Objectives Tree

Ends

Means* Project Cycle Management Guide, 2004

*


1616

The relationship between the The relationship between the problems tree and the objective problems tree and the objective

treetree

PROBLEM TREEPROBLEM TREE OBJECTIVE TREEOBJECTIVE TREE Focal problem Focal problem Project PurposeProject Purpose

EffectsEffects OverallOverall Objectives Objectives

CausesCauses ResultsResults


1717

Strategy Analysis (i)Strategy Analysis (i) The aim of strategy analysis is division of The aim of strategy analysis is division of

the objectives tree into more consistent the objectives tree into more consistent smaller sub-units that may, compose the smaller sub-units that may, compose the core for a project.core for a project.

Each of the sub-units of the objective tree Each of the sub-units of the objective tree can represent an alternative strategy for can represent an alternative strategy for the future project. the future project.

The project objectives set the framework The project objectives set the framework for the strategy of the project. for the strategy of the project.


1818

Strategy Analysis (ii)Strategy Analysis (ii) Criteria for selection of the project strategy: Criteria for selection of the project strategy:

1. RELEVANCE: the strategy corresponds to the 1. RELEVANCE: the strategy corresponds to the needs of the stakeholders.needs of the stakeholders.

2. EFFECTIVENESS: the lower level objectives of 2. EFFECTIVENESS: the lower level objectives of the strategy will contribute to achievement of thethe strategy will contribute to achievement of the project purposeproject purpose

3. EFFICIENCY: cost-effectiveness of the strategy 3. EFFICIENCY: cost-effectiveness of the strategy in transforming the means into results.in transforming the means into results.

4. CONSISTENT with development policies4. CONSISTENT with development policies 5. SUSTAINABILITY of the project5. SUSTAINABILITY of the project 6. ASSUMPTIONS and RISKS6. ASSUMPTIONS and RISKS


1919

The Logframe MatrixThe Logframe Matrix

The main output of the LFA is the logframe The main output of the LFA is the logframe

matrix.matrix. The Logical Framework Matrix is used to The Logical Framework Matrix is used to

present information about project objectives, present information about project objectives,

outputs and activities in a systematic and outputs and activities in a systematic and

logical way. logical way. The basic Logframe matrix contains 16 cells The basic Logframe matrix contains 16 cells

organized into 4 columns and 4 rows, as organized into 4 columns and 4 rows, as

indicated in the next slide:indicated in the next slide:


2020

The Logical Framework Matrix

Objectives & activities

Purpose/ (Outcome)

Goal (Impact)

Outputs

ActivitiesMeans

IndicatorsMeans of

verificationAssumptions

What needs to be fulfilled

before activities can

start

Pre-conditions

Cost


2121

Assumptions (i)Assumptions (i) Describe necessary internal and external Describe necessary internal and external

conditions in order to ensure that the conditions in order to ensure that the activities will produce resultsactivities will produce results

Assumptions are risks, which can Assumptions are risks, which can jeopardize the success of the projectjeopardize the success of the project

Are worded positively, i.e. they describe Are worded positively, i.e. they describe circumstances required to achieve certain circumstances required to achieve certain objectivesobjectives


2222

Assumptions (ii)Assumptions (ii) Should be relevant and probableShould be relevant and probable

If an assumption is not important or If an assumption is not important or almost certain: Do not includealmost certain: Do not include

If an assumption is unlikely to If an assumption is unlikely to occur: Killer assumption – abandon occur: Killer assumption – abandon projectproject


2323

Assumptions (iii)Assumptions (iii)

Example of Assumptions for the Example of Assumptions for the Goal and Purpose: Goal and Purpose: Political – stability of NSO and Political – stability of NSO and

government staffgovernment staff Economic – sustainable economy Economic – sustainable economy Etc.Etc.


2424

Assumptions (iv)Assumptions (iv)

Example of Assumptions:Example of Assumptions: Adequate funds materials.Adequate funds materials. Skilled people – training needs.Skilled people – training needs. Approvals & contracts – legal, Approvals & contracts – legal,

administrative.administrative. Participation of stakeholders.Participation of stakeholders.


2525

The logical frameworkThe logical framework

Outcome

Impact

Outputs

Activities

Assumptions

Assumptions

Assumptions


2626

Indicators (i)Indicators (i) Indicators measure to verify to what extant the Indicators measure to verify to what extant the

results are achieved.results are achieved. Specify how the achievement of an objective can Specify how the achievement of an objective can

be verified or demonstratedbe verified or demonstrated Provide a basis for Monitoring and EvaluationProvide a basis for Monitoring and Evaluation 3 Dimensions of Indicators3 Dimensions of Indicators

QuantityQuantity QualityQuality TimeTime


2727

Indicators (ii)Indicators (ii)


2828

Means of VerificationMeans of Verification Tools or means to obtain the

information required by the indicators Include:

project documents field verification ad-hoc studies


2929

Results Chain & Logical Framework Matrix

RBM

Result

Result

Result

Goal/Impact

Result

Purpose/Outcome

Output

Activities

LFA


3030

Monitoring and EvaluationMonitoring and Evaluation

Based on the logical frameworkBased on the logical framework Strengthens accountability and Strengthens accountability and

transparencytransparency Provides information for effective Provides information for effective

managementmanagement Helps determine what works well Helps determine what works well

and what requires improvementand what requires improvement Builds knowledge Builds knowledge


3131

Purpose of Monitoring and Purpose of Monitoring and EvaluationEvaluation

It is the continuous process of It is the continuous process of collecting, processing and collecting, processing and assessing information about the:assessing information about the: Project implementationProject implementation Project progressProject progress Project impact and effectsProject impact and effects Project environmentProject environment


3232

Monitoring (i) Monitoring (i)

Continuous function that aims to Continuous function that aims to provide early indications of provide early indications of progress or lack thereof in the progress or lack thereof in the achievement of resultsachievement of results


3333

Monitoring (ii)Monitoring (ii) Assumes the validity of the Assumes the validity of the

existing planexisting plan Takes place at project levelTakes place at project level Is the responsibility of the project Is the responsibility of the project

managementmanagement Is based on the indicators defined Is based on the indicators defined

in the logical frameworkin the logical framework


3434

Monitoring ResponsibilityMonitoring Responsibility Project ManagementProject Management

ActivitiesActivities Output indicatorsOutput indicators Early outcome indicatorsEarly outcome indicators

Project Target GroupProject Target Group Outcome indicatorsOutcome indicators Impact indicatorsImpact indicators


3535

EvaluationEvaluation Time-bound exercise to assess the Time-bound exercise to assess the

relevance, performance and success of relevance, performance and success of on-going or completed projectson-going or completed projects

Questions the validity of existing Questions the validity of existing planningplanning

Is related to the impact of a projectIs related to the impact of a project Opens the mind for strategic Opens the mind for strategic

adjustmentsadjustments


3636

Evaluation Quality CriteriaEvaluation Quality Criteria Relevance (overall)Relevance (overall) Efficiency (activities, outputs)Efficiency (activities, outputs) Effectiveness (outputs, outcome)Effectiveness (outputs, outcome) Impact (outcome, impact)Impact (outcome, impact) Sustainability (outcome, impact)Sustainability (outcome, impact)

Ms4 lfa

Business

logical framework approach

logical framework matrix

logical framework

logframe matrix

external factors

swot analysis

focal problem

problem tree