Logical Framework Manual

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CONTENTS

1. Introduction.......................................................................................1

2. Stakeholders And Participation ....................................................13

3. Situation And Options Analysis ....................................................25

4. The Logframe Matrix And Hierarchy Of Objectives.....................32

5. Risk Analysis And Management ...................................................46

6. Performance Assessment .............................................................59

7. Work Plans, Budgets And Terms Of Reference...........................75

8. Proposals, Projects And Programmes .........................................82

Appendix A: Glossary Of Key Logframe Terms................................93

Appendix B: Examples Of Stakeholder Analyses.............................97

Appendix C: Checklists For Reviewing A Logframe ......................110

Appendix D: Examples Of Logframes .............................................113

Appendix E: Strengths And Weaknesses Of The Logframe

Approach......................................................................125

Appendix F: Key References ............................................................130

Appendix G: The Chimbe Case Study .............................................132

Appendix H: Policy Shifts In Development .....................................135

Appendix I: The Elaborated Project Concept Note........................137


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1. INTRODUCTION

The purpose and scope of these notes

These notes are about project planning within the development context. Theyfocus in particular on the logical framework approach which includes an arrayof principles and processes, tools and techniques, used in development workacross all sectors including social development.

As such the notes do NOT begin to cover all the necessary aspects ofproject management (or project cycle management, PCM, as it is often called).Effective management depends on a multitude of factors including and beyondplanning; most important are the inter-personal elements such as leadership,communication, facilitation, negotiation, motivation, coaching etc. So thisworkshop aims to improve your skills as a planner, and it may improve yourmanagement capability, but it will not be enough to make you a good manager.

What is a project?

A project can be defined as a series ofactivities aimed at bringing aboutclearly specified objectives within a defined time period and with a definedbudget1.

Another definition of a project might be a temporary organisation that isneeded to produce a unique and defined outcome or result at a prespecifiedtime using predetermined resources.2

A project should have a number of features: a finite, defined life cycle defined and measurable results a set of activities to achieve those results defined stakeholders an organisational structure with clear roles and responsibilities for

management, coordination and implementation a defined amount ofresources and

a monitoring, review and evaluation system.

Within the business context emphasis is placed on the need for a project to becreated and implemented according to a specified business case. In thedevelopment context, this may not be considered relevant. But it is. Perhapsomit the word business and the message is clear and useful; that a project

1EU (2004) Aid Delivery Methods. Volume 1 Project Cycle Management Guidelines available

at ec.europa.eu/comm/europeaid/reports/pcm_guidelines_2004_en.pdf2 This definition comes from PRINCE2 a project management method established by the UK

Office of Government Commerce (OGC) which has become a standard used extensively by theUK government but which is also widely used and recognised internationally.OGC( 2005) Managing successful projects with PRINCE2


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needs to have a specified case. It needs to be based on a clear rationale andlogic; it must be defendable at all stages when it comes under scrutiny.

By its very nature, a project is temporary, set up for a specific purpose. Whenthe expected results have been achieved, it will be disbanded. So projectsshould be distinguished from on-going organisational structures,processes and operations, with no clear life cycle. These organisationalaspects may well of course provide key support functions to projects but thoseaspects do not come with the remit of the project team. Where needed they arein effect services bought in by the project. (One can of course have anindividual with more than one role, one of which may be long-term, on-goingwithin the organisation, another temporary within a project.)

Within the development context there are many different types of project;

different in purpose, scope and scale and this can lead to confusion. Inessence a project is any planned initiative that is intended to bring aboutbeneficial change in a nation, community, institution or organisation. It hasboundaries that are determined by its objectives, resources and time span. Aproject typically is a free-standing entity relatively small in budget, short induration and delivered by its own implementation unit. Or it may be anendeavour with a multi-million dollar budget and timeframe stretching to adecade. But the same term is sometimes confusingly used also for large andcomplex initiatives embedded within still larger programmes, with rolling time-frames and involving multiple partners. The term is sometimes also used forthe development of an element of policy. These notes are project planning;

but remember essentially the same principles, processes and tools canalso be applied in programme planning.

Weaknesses of the project approach

Classical projects in the development context have come in for much, usuallyhighly justified, criticism; for example:

Outsider (usually donor) controlled priorities and systems Not aligned with national priorities Little local ownership, not responsive to real needs, weak

implementation, accountability and sustainability Not addressing holistic, cross-sectoral issues; the management

language is full of metaphors, of projects exacerbating the tendency tothink and work in boxes or silos

Fragmented and disjointed effort (sometimes in opposite directions) Perverse incentives (e.g. well-funded capacity building projects can

de-skill other key actors such as government departments) High transaction costs; excessive demands on time of national

government offices; poorly harmonised planning and reporting systems Bias in spending; tied aid.

But all these issues are not unique to projects; many can apply equally to otheraid approaches. And they have not meant that projects have disappeared. In


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non-state work, such as civil society (e.g. NGOs, charities) and the privatesector, projects remain a key aid modality. And projects remain within statework, but the nature and ownership of those projects and the fundingmechanisms behind them have changed and are continuing to change.

Aid funding approaches and instruments

The evolving aid effectiveness agenda3 is leading to fundamental changes inthe nature of projects and the ways in which they are funded. There is amultitude of ways in which overseas development assistance can be provided.Figure 1.1 illustrates three key approaches (there are many others) in publicsector development work; in each, the accountability, structures, systems andprocedures of projects are very different.

a) ProjectsWith projects, funding is earmarked to a discrete set of activities in order toachieve specific objectives. The project may be a donor project with aproject implementation unit using donor systems and procedures (lesscommon these days). Or it may be implemented through another executiveagency - a multilateral agency, an NGO or private sector organisation. Or itmay fit within a government programme specifically earmarked to aparticular project, use government systems and procedures and be reflectedin the government budget.

b) Programme AidProgramme aid is channelled directly to a partner government; it uses theirsystems and procedures but is not earmarked to specific projects. Someforms of programme aid include:

i. Budget supportFunding given to a government programme and budgetary framework.The aid may be general to the central exchequer in support of thenational development programme (often the poverty reduction plan) withno earmarking to specific expenditures. Or the aid may be sectorsupport to a particular sector but, beyond that, not earmarked to specific

projects. With general budget support, any conditionality4

will focus onpolicy measures related to overall budget priorities and systems. Withsector budget support, any conditionality will relate to the policies andsystems of the earmarked sector.

3A key document here is OECD (2005) Paris Declaration on Aid Effectiveness

www.oecd.org/dataoecd/11/41/34428351.pdf with key commitments in the five areas ofOwnership, Alignment, Harmonisation, Managing for Results, and Mutual Accountability.4

A condition is an action, circumstance or situation which is required for committed aid to bedisbursed. If the condition is not fulfilled it will generally lead to aid being interrupted orsuspended. For more on conditionality see DFID (2005) Partnerships for Poverty Reduction:

rethinking conditionalitywww.dfid.gov.uk/pubs/files/conditionality.pdf. Also DFID (2006) DraftHow To Note: Implementing DFIDs Conditionality Policy www.dfid.gov.uk/pubs/files/draft-implementing-conditionality.pdf


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Figure 1.1 Some examples of funding mechanisms in public sectordevelopment work

Funding Mechanism Description

Projects

Donors fund separate stand-alone projects probably with aProject Implementation Unit usingits own procedures and systems.

A form of sector wide approach (SWAp)A form ofSector Wide Approach(SWAp) is in place with acomprehensive forestry sectorplan and expenditure programme.Some donors are providingsector-level budget support andagreeing to use governmentsystems and procedures. Onedonor, in this example the EC, issupporting the sector plan but is

earmarking its funding to aspecific government-managedproject that is mainly usinggovernment systems andprocedures. Two donors areproviding support through stand-alone projects.

A form of general budget supportA form ofGeneral BudgetSupport is in place with somedonors providing non-earmarkedfunding to the central treasury.

The treasury is allocating funding(now untraceable as to whether itis from in-country or donorsources) to the forestry sectorplan. Other donors are providingproject support as above.

Central exchequer

AUSAID

EC GTZ

Forestry sector

expenditure

EtcMinistry of Environment

and Forestry

Stand alone projects

Sector

supportfrom some

donors

e.g.SDC

Forestry Sector ExpenditureStand alone

projects

e.g.GTZ

Forestry Sector Plan

Central exchequer

Ministry of Environment

and Forestrye.g.EC

Project

in a

SWAp

e.g.SDC

Forestry Sector ExpenditureStand alone

projects

e.g.GTZ

Forestry Sector Plan

Central exchequer

Ministry of Environment

and Forestrye.g.EC

Project

in a

SWAp

General budget

support

from somedonors


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ii. Sector Wide Approaches (SWAps)A SWAp is a form of financing that supports a single sector policy andexpenditure programme with government coordination, harmonisedpartners and partial or full use of government systems and procedures.The financing typically includes sector budget support, technicalassistance and project aid.

In terms of democratic accountability, the evolving aid approaches acknowledgethat the primary concern is not accountability by the developing country tothe donor. See Figure 1.1

Figure 1.2 Changes in Accountability5

Traditional Accountability

for Development

DevelopingCountry

Government

Citizens /Service

Consumers

Projectagency

Donoragency

DonorGovernment

/ Taxpayers

? ?

New Accountability for

Development

Developing

Country

Government

Citizens /

Service

Consumers

BS or

SWAP

Programme

or Project

External

Partners

Donor

Government

/ Taxpayers

When are projects appropriate?

Projects may remain appropriate in a range of circumstances including:6

Where projects can play a complementary role to other instrumentssuch SWAps and budget support (e.g. many SWAps include projects)

In short-term humanitarian assistance, e.g. emergency and post-crisis,where partner governments do not have the capacity to meet needs,where governments have requested project assistance or where effectivegovernment does not exist

Where the fiduciaryrisks7 (see box) are

unacceptably high Where there is no clear

national and/or sectoraldevelopment strategy

If a partner governmentdoes not need budgetsupport or sectorapproaches and asks for project support

5Schacter, M 2001. Sector Wide Approaches, Accountability and CIDA: Issues and

Recommendations Institute on Governance. www.schacterconsulting.com/publications.html6

Adapted from EU (2004) op cit7 DFID (2004) Managing Fiduciary Risk When Providing Poverty Reduction Budget Support:Briefing www.dfid.gov.uk/aboutdfid/organisation/pfma/pfma-fiduciary-briefing.pdf

What is fiduciary risk?.the risk that funds:

are not properly accounted for are not used for the intended purposes do not represent value for money.

These risks can apply to all forms of financialaid. And they can apply to all partnergovernment funds not just funds provided bydonors.


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Providing technical assistance to build capacity Work with non-public partners; with NGOs, and private sector groups Doing the risky and innovative; for lesson learning, running pilots, doing

research Projects can be important forbuilding relationships.

Results Based Management

In the last decade the international development system has agreed as neverbefore on a common set of results, the Millennium Development Goals, to whichthey are working and against which their collective performance can be judged.Much emphasis has been given in recent years (and the Paris Declaration8adds weight to this) to the need to get away from a focus on inputs and

activities, and to replace it with a focus on results through results basedmanagement systems. But what is meant by the terms resultsand results -based management?

What are results?Results as changes in a state or condition which derive from a cause-and-effectrelationship changes set in motion by a development intervention itsoutput, outcome and impact.9This interprets it as a broad generic term (asopposed, for example to the EC which restricts results to outputs, thedeliverables from the completion of a development intervention). (See theglossary in Appendix A for further definitions).

What is Results-based Management (RBM)?Results-based management is A management strategy by which anorganisation ensures that its processes, products and services contribute to theachievement of desired results (outputs, outcomes and impacts).10

RBM is not the same as performance management. RBM focuses just onresults, whereas performance management also includes measures of processand efficiency.11

Central to RBM are the notions ofcausality and attribution. Changes areusually shown in the form of a results chain orresults framework; forexample, activities to outputs to outcome to impact. Results should representattributable change resulting from a cause and effect relationship. There shouldbe a strong credible linkage between the specific outcome achieved by a project

8A key document here is OECD (2005) Paris Declaration on Aid Effectiveness

www.oecd.org/dataoecd/11/41/34428351.pdf with key commitments in the five areas ofOwnership, Alignment, Harmonisation, Managing for Results, and Mutual Accountability.9

Glossary of key terms in evaluation and results based management. OECD DAC (2002)available at www.oecd.org/dataoecd/29/21/2754804.pdf.10 OECD DAC (2002) op cit11

Flint M (2003). Easier said than done: A review of Results-Based Management in MultilateralDevelopment Institutions. Available at www.parcinfo.org/documents/Results BasedManagement/Review of RBM in Multilateral Development Institutions - 2003.doc


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or agency and the resources used, activities done and outputs delivered. If noattribution is possible, it is not a result.12

Figure 1.3 The Results Chain

13

Outcomes

Outputs

Activities

Inputs

Financial human and material resources

Impact

Actions undertaken to transform inputs into outputs

Expect to see

The end products or deliverables of the

activities; within team control

Want to see

Immediate effects on clients

Hope to see

Long-term

improvements

in society

Imple

ment

ation

Results

A number of tools orlogic models have been developed for summarisingrelevant results information related to development assistance programme orproject. The model usually takes the form of a matrix or framework, a logicalframework, or logframe. Many variants of the logframe have emerged over theyears; much of the rest of these notes is about the logical framework approach,the most widely used approach in the development field.

Key Principles of Results Based Managementa. Management for results, not by results

Managing for results looks forward, focusing on what needs to beachieved using information on progress intelligently to assess what canbe done to achieve the results. Managing by results looks backwards,rewards past performance without necessarily analysing factorsunderlying performance.

b. Keep the results reporting system as simple, cost-effective anduser-friendly as possibleSo systems need as much as possible: to be harmonised to minimisetransaction costs and facilitate comparative analysis; to rely on countrysystems supporting capacity building; to promote learning as well asaccountability.

12 Flint M op cit13

Adapted from EU (2004) op cit


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c. At all stages focus on resultsDo not focus on inputs and activities; not even on outputs except wherethey are a necessary routemap to outcomes and impact.

d. Align programming, monitoring and evaluation with agreedexpected resultsProgramming must directly support higher objectives, typically defined innational or sector development plans and/ or institutional mandates andstrategic plans.

Introducing the Project Cycle

Projects have a natural cycle of development. Figure 1.4 gives a typical projectcycle. The cycle begins with identification where an initial focus of a project isdecided that includes geographical location, technical focus (eg. forestry; healthcare; education; environment; social development; infrastructure), and intendedbeneficiaries. Identification is of course not happening in a vacuum; it is takingplace within a policy environment set by government, by partner organisationsand your own organisations overall objectives, usually with clear alignment withnational plans and priorities often in the form of a national sustainabledevelopment plan or poverty reduction strategy paper. Many processes willhave happened prior to identification and the products of those processes willinclude key secondary data that inform this stage.

Figure 1.5 Data and processes available to inform project identification

and planning

Looking back - data at hand?Participatory

PovertyAssessment

PublicExpenditure

Review

CommonCountry

Assessment

ComprehensiveDevelopmentFramework

UN

DevelopmentAssistanceFramework

Other donorscountry plans

Medium TermExpenditureFramework

Joint SectorReviews andAppraisals

Lessons frompreviousinitiatives

ProjectConcept

Note

Relatedpapers

Environmentalscreening

Donor CountryAssistancePlan

PovertyReduction

Strategy Plan

ScopingMissions

ChangeForecast

Force fieldanalysis

At this stage a limited amount of resources are devoted to the preparation of aprojectconcept note, which is usually a document of about 2-4 pages that

outlines the purpose of the project, the beneficiaries, the likely costs and someconsideration of the risks.


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Figure 1.4 A typical Project Cycle with associated tools / actions

IDENTIFICATION

Internal macro issues

Strategic Objectives Policy and Resources

Obligations

Requests

CLEARANCE

DESIGN

APPROVAL

COMPLETION

POST COMPLETION

EVALUATION

Evaluation Studies

Pre-Appraisal Pro ect Conce t Notes

Participatory Management

Monitoring Purpose Reviews

CompletionReports

The logicalframeworkapproach

Stakeholder Analysis

Problem Analysis

Risk Analysis

Lo ical Framework

Work Plans/ Budgets Terms of Reference

Project SubmissionFormat

INCEPTION

External macro issues

National Development Plan/ Poverty ReductionStrategy

Millennium Dev Goals

Commitments

Partnerships

IMPLEMENTATION Reporting

The concept note is used to secure permission to spend more significantresources to work up a detailed project proposal. This agreement is indicated bythe term clearance (though different organisations may use different terms). Ateam is identified (usually multidisciplinary) who are to undertake a thoroughanalysis and preparation of a project memorandum, proposal or submissiondocument.

This team will undertake a variety ofappraisals as appropriate to the context,for example Institutional Analysis, Economic and Financial Analysis, Social andStakeholder Analyses, Problem Analysis, Risk Analysis and EnvironmentalAnalysis.


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The results of the analyses will inform the next phase in the project cycle, whichis termed design. During this phase a project document is prepared basedupon the earlier analyses, which is often summarised in some form ofdesignand monitoring framework, a logical framework orlogframe. The teamshould show an openness of mind that allows the focus of the project to changefrom that outlined in the concept note, where the situational analysis indicatesthat this is necessary.

Figure 1.6 Further data and processes needed to inform planning

And now?

What data and processes are

needed now to analyse thesituation?

ProjectSubmission

Stakeholderanalysis

Economicappraisal

Poverty SocialImpact analysis

Genderappraisal

Institutionalappraisal

Environmentalappraisal

Technicalappraisal

Strengths,weaknesses,

opportunities,threats

Participatorylearning andaction field

work

Stakeholderworkshops& meetings

Livelihoodsanalysis

Force fieldanalysis

Problemanalysis

Fiduciary RiskAssessment

Objectivesanalysis

Alternativesanalysis

ProjectConcept

Note

Risk

analysis

Logframeanalysis

This project document is then subject to approval by the relevant fundingagency or internal officer with delegated authority, which is its agreement toresource the project. This is followed by the identification of the agency that willmanage and conduct the work (often through a process of open tender), whichleads to implementation. This is usually based upon work plans, detailedbudgets and terms of reference for those involved, worked up as part of the bidand often refined during an inception phase. The process of implementation ismanaged by frequent monitoring of progress against indicators, and periodic

reviews. Regular reports are produced to communicate progress tostakeholders and these usually use a format that is linked back to the logicalframework.

Completion represents the end of activities to promote the project objectivesand is marked by a report that comments on the achievement of the purpose ofthe project, and its impact. It also signals the onset of terminal evaluation ofboth the achievements and the process. An outcome of these last two phasesmay be the modification of the policy and programme environment that will inturn lead to the identification of new initiatives.

Throughout the entire cycle a process of reflection is encouraged to ensurethat lesson learning is at the heart of the process, enabling adjustment to


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activities, indicators of success, appreciation of risks and the focus ofachievements and feeding into future policy, strategy and project identification.

The Logical Framework Approach (LFA)

We have seen that there is a vital need to get away from a focus on inputsand activities, and to replace it with a focus on results. Results-basedmanagement systems have been developed over the last few decades toaddress this need; and within the development field, the logical framework(logframe) approach (LFA) has become a key element in this.

The LFA has become very widely employed and highly influential especially, butnot exclusively, in international development work. Many developmentagencies, including national governments, multilateral and bilateral partners,and non-government organisations, use the logframe approach in one of itsvariants. In many agencies and for a variety of reasons, it has becomemandatory practice.

The LFA is a process and tool (more accurately a basket of tools) for usethroughout the project and programme cycle14 to help strengthen analysis anddesign during formulation, implementation, evaluation and audit. It involvesidentifying strategic elements (activities, outputs, outcome and impact) and theircausal relationships, indicators and evidence to measure performance and theassumptions and risks that may influence success and failure.

The logframe approach includes a set of interlocking concepts to guide andstructure an iterative process of analysis, design and management. Distinctionneeds to made between that process and the documented product of thatprocess, the logical framework matrix. A quality process is vital if a useful andeffective product is to be generated. The approach is essentially a way ofthinking, a mentality. In some contexts the matrix product is less importantthan the process; indeed a matrix may not be needed in some contexts.

The process of developing a logframe for a project includes the developmentwith key partners of thorough and clear plans. The logical framework can help

to organise the thinking within the project and to guide the purpose, with built-inmechanisms for minimising risks and monitoring, reviewing and evaluatingprogress. Completed logical frameworks form the basis of a project plan andcan be used as a reference tool for on-going reporting.

The LFA of course has its opponents as well as proponents. A paperdiscussing the strengths and weaknesses of the approach is included inAppendix D. In the meantime, reserve judgement, work through the processand, at the same time, reflect on its effectiveness and limitations.

14The LFA can be applied at different levels with small projects, a higher-level programme orindeed a whole organisation.


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The logframe approach divides into two phases ofanalysis and design:

Figure 1.7 The Logical Framework Approach

identify who has an interestand who needs to be involved

identifysolutions

identify key problems, causesand opportunities; determine causes and effects

set aworkplan and assigning responsibility

determine humanand material inputs

define project structure, logic, risk and

performance management

identify andapply criteria to agree strategy

Stakeholder analysis

Objectives analysis

Problem analysis

Options analysis

Activity scheduling

Resourcing

Developing the logframe

Put it another way, the logical framework process helps guide the planning of ajourney from where we are now, HERE, to where we want to go, THERE. Itasks 7 core questions. These notes will take you through this process.

Figure 1.8 The Key Questions; steps in the project planning process

HERE

THERE

1 - Who are we?Who has an interest? Who should be involved?

2 - Where are we now?What are the problems? What the possibilities?

3 - Where do we want to be?What are the options? What are our objectives?

4 - How will we get there?What activities do we have to undertake?

5 - What may stop us getting there?What are the risks and how can we manage them?

What assumptions are we making?

6 - How will we know if weve got there?What are our indicators and targets?

What evidence do we need?

7 What do we need to get there?What detailed activities and resources are needed?


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2. STAKEHOLDERS AND PARTICIPATION15

Stakeholders

Stakeholders are: people affected by the impact of an activity

people who can influence the impact.

Stakeholders can be individuals, or groups, a community or an institution.

They will include: usersgroups - people who use the resources or services in an area

interest groups - people who have an interest in or opinion about orwho can affect the use of a resource or service

winners and losers

beneficiaries

intermediaries

those involved in and excluded from the decision-makingprocess.

Some Stakeholders could belong to both user groups and interest groups.

Another way of thinking about Stakeholders is to divide them into two maingroups:

primary stakeholders are generally vulnerable. They relate to theMillennium Development Goals. They are the reason why thedevelopment assistance is being planned. They are those whobenefitfrom or are adversely affected by an activity such as adevelopment initiative. This term describes people who may be whollydependent on a resource or service or area (e.g. a forest) for theirwellbeing. Usually they live in or very nearthe resources inquestion. They often have few options when faced with change sothey have difficulty adapting

secondary stakeholders include all otherpeople and institutionswith a stake or interest or intermediary role in the resources or areabeing considered. Being secondary does not mean they are notimportant; some secondaries may be vital as means to meeting theinterests of the primaries.

15Adapted from DFID (1998) Stakeholder Participation and Analysis


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Stakeholder groups share a common interest: the local governmentdepartment, the project management, the clergy, the consultancy company,the villagers the 'community'. But such groups are often highly variedcontaining many sub-groups. So grouping villagers or the community togetherin one group may be meaningless; some

people in a community may have totally different interests from others in thesame community, according to status, age, gender, wealth, ethnicity etc.Similarly the Government may include sub-groups with completely differentinterests; for example ministries of finance, water, energy, forests, agricultureand rural development may have very conflicting opinions about a developmentproposal.

Remember, it is far less important to correctly classify people than to include

them in your collective thinking.

Stakeholder participation

Participation means different things to different people in different situations.For example, someone may be said to participate by:

attending a meeting even though they do not say anything

being actively involved in building a clinic by supplying sand and theirlabour

providing information and opinions in a survey

being responsible for achieving objectives in the implementation ormanagement of a initiative

controlling the design of an initiative.

A spectrum of stakeholder participation

Participation can sometimes involve local people taking part in other peoples

initiatives; outsiders set the agenda and control the process with locals beingmanipulated. Real participation we said involves primary stakeholders playingan active role in decision making. Obtaining primary stakeholderparticipation requires conscious and informed effort when designing andimplementing a initiative; it wont work simply by wishing it. See the separatediagram of Levels of Participation.Participation is essential in development work. But in practice it is a conceptthat has been misused; much that has been called participation has in fact notactively involvedstakeholders (especially primary stakeholders) in decision-making and its consequent activities.


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Why stakeholder participation is important.

Stakeholder participation is likely to result in:

improved effectiveness. There is a greater sense ofownership andagreement of the processes to achieve an objective.Responsiveness is enhanced; effort and inputs are more likely to betargeted at perceived needs so that outputs from the initiative are usedappropriately.

improved efficiency. In other words project inputs and activities aremore likely to result in outputs on time, of good quality and withinbudget if local knowledge and skills are tapped into and mistakes areavoided.

improved sustainability and sustainable impact. More people arecommitted to carrying on the activity after outside support hasstopped. And active participation has helped develop skills andconfidence.

improved transparency and accountability if more and morestakeholders are given information and decision making power.

improved equity is likely to result if all stakeholders needs, interests

and abilities are taken into account.

So participation is likely to have many benefits. But it is not a guarantee ofsuccess. Achieving participation is not easy. There will conflicting interests thatcome to the surface; managing conflict can be difficult. Participation can betime consuming. And it can be painful if it involves a change in practice; forexample in the way institutions have always done things.

Stakeholder analysis

Stakeholder analysis is a useful tool or process for identifying stakeholdergroups and describing the nature of their stake, roles and interests. Doing astakeholder analysis helps to:

identify who we believe should be encouraged and helped toparticipate

identify winners and losers, those with rights, interests, resources,skills and abilities to take part or influence the course of a initiative

improve the initiatives sensitivity to perceived needs of those affected


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reduce or hopefully remove negative impacts on vulnerable anddisadvantaged groups

enable useful alliances which can be built upon

identify and reduce risks; for example identifying areas of possibleconflicts of interest and expectation between stakeholders so that realconflict is avoided before it happens

recognise the roles of women as well as men

stimulate participation in the development process

disaggregate groups in our thinking

Stakeholder analysis needs to be done when possible initiatives are identified.But it needs to be repeated also at later stages of the project cycle to assesswhether the original situation has changed and whether the involvement ofgroups is being adequately addressed.

It needs to be done with a variety of stakeholders to explore perceptions andverify them by cross-reference.

An example showing how to do a stakeholder analysis is given on the separatehandout (see code.).

Risks and pitfalls of Stakeholder Analysis

Stakeholder Analysis can go wrong. Just because you use this tool does notmean you are guaranteed success:

the jargon can be threatening to many

the analysis is only as good as the information collected and used;GIGO garbage in garbage out

matrices can oversimplify complex situations

judgement in placing stakeholders in a matrix or table is mainlysubjective; several opinions from different sources are needed to giveconfirmation

team working can be damaged if differences rather than commonground are over-emphasised

trying to describe winners and losers and to predict hidden conflictsand interests can alienate powerful groups.


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Figure 2.1 Levels of Participation


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Carrying out a Stakeholder Analysis

There are many, many different tools to help us to analyse stakeholders.Which ones you use depends on the questions that need to be addressed.

Here we will look at three commonly used tools which in one form or anothercan be used in every context. There are many other stakeholder analysistools; see the references in Appendix E for some suggestions.

a) The Stakeholder Table (Figures 2.2 and 2.5)

i. List all possible stakeholders, that is, all those who are affected by theproject or can influence it in any way. Avoid using words like thecommunity or the Local Authority. Be more specific, for example,Non-timber product or the Youth Service

ii. Distinguish Primary from Secondary stakeholders.

iii. Identify, as thoroughly as possible, each stakeholders interests (hiddenor open) in relation to the potential project. Note some stakeholdermay have several interests. (See Figure 2.5).

iv. Consider the potential impact of the project on the identifiedstakeholders. Will the project have a positive or negative impact onthem? (Award it + or - or +/- or ?).

Figure 2.2 Stakeholder Table

S e c o n d a r y s t a k e h o l d e r s

P r im a r y s t a k e h o ld e r s

L i ke l y

i m p a c t

In t e r e s t s a n d e x p e c t a tio n s

b) TheInfluence and Importance Matrix (Figures 2.3 and 2.6)

i. Assess the Influence and Importance of Stakeholders. Keystakeholders can influence or are important to the success of aproject.

influence is the power which stakeholders have over theproject. How much can stakeholders (whether individual, group

or organisation) persuade or coerce others into makingdecisions or doing things?


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importance is the priority given by the project to satisfying theneeds and interest of each stakeholder.

ii. Combine influence and importance on a matrix. Position stakeholders

in relative terms by using the matrix. It can help doing this a teamexercise.

Figure 2.3 Influence / Importance Matrix

High

Importance

Low

Importance

Low Influence High Influence

A B

CD

Quadrants A, B and C are the key stakeholders of the project - thosewho can significantly influence the project or are most important ifproject objectives are to be met.

Quadrant A Stakeholders of high importance to the project, but withlow influence. They require special initiatives if their interests are to beprotected.

Quadrant B Stakeholders of high importance to the project, but whoare also of high importance for its success. Project managers anddonors will need to construct good working relationships with thesestakeholders to ensure an effective coalition of support for the project.

Quadrant C Stakeholders with high influence, who can therefore affectthe project outcomes, but whose interests are not the target of theproject. These stakeholders may be a source of risk; relationships willbe important and will need careful monitoring. These stakeholders maybe able to block the project, and if this is probable, the risk mayconstitute a killer assumption, i.e. one that means it is too risky to goahead with the project at all.

Quadrant D Stakeholders in this box are of low priority but may needlimited monitoring and evaluation. They are unlikely to be the subjectof project activities and management.


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c) The Summary Participation Matrix (Figures 2.4 and 2.7)

i. Decide which stakeholder groups should participate at what level and

when during the project cycle. Remember you cannot work with allgroups all of the time. Complete participation can lead to completeinertia!

Figure 2.4 Summary Participation Matrix

Inform Consult ControlPartnership

Type of participation

Stage in project

Identification

Planning

Implementing &Monitoring

Evaluation

A note on the Participatory Forest Management (PFM) case study

Figures 2.5, 2.6 and 2.7 give an example of a Stakeholder Analysis.Throughout these notes we have used one case study to illustrate the stagesin the logframe approach. This will help you to see how the tools linktogether.

The Participatory Forest Management (PFM)case study is based on atypical project in Central Africa. We have removed some of the detail tomake it more useful as a training case study. We have therefore made thecontext fictitious; we call the country Nkonia and the province Chimbe.

The PFM project involves the Government of Nkonia working with donorsupport to develop innovative and sustainable mechanisms by whichforest resources can be managed and the livelihoods of poor forest-dependent communities sustained and improved. Collaborativeinstitutions include community based organisations, local councils and landingsite committees, sub-county and district local governments and national levelagencies.


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Figure 2.5 Example of an initial Stakeholder Table for the ParticipatoryForest Management project

StakeholdersPrimary stakeholders

Interests Impact(+,-, ?)

1 Landless farmers living insideforest reserve

Improved livelihoods through increasedaccess to forest resources and incomegenerating opportunities; arable land;cultural value of the forest

+

2 Farmers living adjacent to theforest reserve

Improved livelihoods; access toconstruction materials fuelwood; bushmeat; cultural value of the forest

+

3 Women non-timber productusers

Access to raw materials; market outletsfor mats, baskets, rope, fruit

+

4 Charcoal producers Access to raw materials; market outlets +/-

Secondary stakeholders5 Commercial tobacco farmers Water extraction rights for irrigation;

available casual labour+/-

6 Traders dealing in forestproducts

Regular supplies of forest materials;charcoal, poles, bamboo, artefacts

+

7 Commercial timber loggingcompanies

Access to commercial timber in forestreserve; weak governance

-

8 Parish DevelopmentCommittees (PDCs)

Access to budget and capacity building;support in decentralised planning

+/-

9 Assistant Forest Officers (AFOs) Long-term job prospects;

Opportunities for skills development

?

+10 District and sub-county Chief

Admin Officers (CAOs)Delivery on objectives; extra revenue,resources and support

-/?

11 District Forest Officers (DFOs) Concerns about devolved power andbudget commitments butOpportunity to address inter-districtforest management issues

?

+

12 Provincial and National WildlifeAuthority

Addressing current communitydisregard for regulationsBiodiversity conservation; revenue; newopportunities for ecotourism

?/+

+

13 Department of Forestry (withinMinistry of Natural Resourcesand Environmental Affairs)

Achievement of project objectives;better use of existing infrastructure andresources; better trained staff; control ofhabitat degradation

+

14 College of Forestry & Wildlife Improved resourcing; trainingopportunities for staff

+

15 Ministry of Local Government(MoLG)

Achievement of decentralisationobjectives

+/?

16 Technical assistance contractorto project

Capacity building; brokeringstakeholder cooperation; income

+

17 Donor Achievement of objectives;

disbursement of funds

+


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Figure 2.6 Influence / Importance Matrix for the PFM project

HIGH IMPORTANCE/LOW INFLUENCE HIGH IMPORTANCE/INFLUENCE

1

2 3

4

5

1013 11

15 168

12 17 9

6 14

7

LOW IMPORTANCE/INFLUENCE LOW IMPORTANCE/HIGH INFLUENCE

STAKEHOLDERS1. Landless farmers living inside forest

reserve2. Farmers living adjacent to the forest

reserve3. Women non-timber product users4. Charcoal producers5. Commercial tobacco farmers6. Traders dealing in forest products7. Commercial timber logging

companies8. Parish Development Committees

(PDCs)9. Assistant Forest Officers (AFOs)

10. District and sub-county Chief AdminOfficers (CAOs)

11. District Forest Officers (DFOs)12. Provincial and National Wildlife

Authority13. Department of Forestry (within

Ministry of Natural Resources andEnvironmental Affairs)

14. College of Forestry & Wildlife15. Ministry of Local Government (MoLG)16. Technical assistance contractor to

project17. Donor


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Figure 2.7 Initial Summary Participation Matrix for the PFM project

Participation level

Project Stage

Inform Consult Partnership

Identification Ministry of Local Government

District Forest Officers

National Wildlife Authority

District Chief Admin Officers

Donor

Planning Media Assistant Forest Officers

Parish Development Committees

College of Forestry and Wildlife

Traders dealing in Forest products

National & ProvincialWildlife Authority

Chief Admin Officers


Poor forefarmer re

Ministry oGovernm

Donor

Implementing andMonitoring

Donor

Media

National Wildlife Authority

Ministry of Local Government

Traders dealing in forest products

Women NTP users

Charcoal producers

Commercial tobacco farmers

District and SC ChiefAdmin Officers


Assistant ForestOfficers

Provincial WildlifeAuthority

College of Forestry andWildlife

Departmand ProjeImpleme(PIU) wit

Poor forefarmer re

Parish DCommitt

TA contr

Evaluation Donor

Media

College of Forestry and Wildlife

TA contractorOthers as necessary

Project SteeringCommittee

Chief Admin Officers


Poor forefarmer re

National Wildlife A

PIU

23


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Stakeholder Analysis for AdvocacyAs with any form of stakeholder analysis, it is a snapshot in time. Stakeholders and their interestsbe revisited. Used at the start of the process, it will help reveal gaps in knowledge. For some stak

whether they are, for example, Opponent or Ally; perhaps put them temporarily in an extra box Otcourse of action during advocacy work, you may move a stakeholder from one box to another e.g.being an Ally.ConstituentsWho is directly affected by the current injustice?

How will they take part in decision-making? What will they gain if theywin? What power or influence do they have? Do they want support inadvocacy? What are the risks for them?

AlliesWho cares enough to take part

What their motives? What power can they contribute to the effort? Hmaking? What will they gain if theHow can they best be supported

AudiencePrimary AudienceWho has the authority or power to grant you what you want?

Secondary AudienceWho has influence over the prigatekeepers?

What influences the primary and secondary audience?What influence do you or your allies have with them?How best might they be influenced?

Internal StakeholdersWho currently within your organisation or coalition could help?Who is familiar with the issue?

Who has experience of advocacy in other contexts?

What are your motives for wanting to do advocacy? Whatcompetence do you have? legitimacy, credibility, accountability,power, passion, skills and knowledge? What are the risks andbenefits involved?

Adversaries / OpponentsWho wants to stop you?Who has power to stop you?

What are their strengths and weaWhat will your victory cost them? oppose? Misinformation? Force? represent to you and your allies? reduced?


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3. SITUATION AND OPTIONS ANALYSIS

We have seen that Stakeholder Analysis is an iterative tool; one that needs regularly

to be revisited and updated. The process will help to identify who needs to beinvolved, how and when in the design phase. With the right stakeholders on board,focus now turns to analysing the situation and prioritising the way forward.

Situation and Option analysis is a process and basket of tools central to the design ofany initiative. They add to the overall mechanisms for filtering embryonic concepts,gaining a better understanding, building stakeholder ownership, and refining andultimately rejecting proposals that, for whatever reason, are inappropriate.

Figure 3.1 The Filter Process

Clearance Approval InitiativesimplementedConcepts

The filter process

Appraisal DesignSituation &

Options

An aly sis

Stakeholder

An aly sis

Risk and

Logframe

An aly sis

Situation and Option analysis help in: Gaining a better understanding of the context and underlying issues

Building stakeholder ownership and consensus

Ensuring fit with macro policies and objectives in the PRSP and CAP

Identifying and analysing the size and real causes and effects of a problem

Establishing and prioritising the options and the way forward

Helping establish an effective coalition of implementers.

The process includes a series of steps and a basket of various tools; judge for

yourself the best route to fit the context. The sequence given here may not alwaysapply; steps may overlap or be repeated iteratively.


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Step: 1 Review of previous analytical workA first stage is to review the process and output of relevant analytical work that hasalready happened. See Figure 1.5 for some examples of processes and data todraw on.

Step 2: Appraisal activitiesPrevious work is unlikely to tell the full story, or give the participation and ownershipneeded. Depending on the concept being considered, appraisal activities carried outor commissioned may include (see also Figure 1.6):

Research

PLA participatory learning and action fieldwork

Initial stakeholder meetings or workshops

Livelihoods analysis

Social and gender appraisals

Institutional appraisal

Economic and Financial appraisals

Technical appraisal

Environmental appraisal

SWOT analysis - strengths, weaknesses, opportunities and threats

At this point, a common response is a groan at the length of the list (itself by nomeans comprehensive) and the time involved; at so-called analysis paralysis.The purpose is not to know everything but optimal precision. To carry out allthese activities extensively would be time-consuming, expensive, probably pointless,possibly harmful (e.g. by raising expectations inappropriately) and unlikely to resultin collective learning by the right stakeholders.

Most initiatives, once approved, include an Inception Phase when many of theseand other planning activities can happen involving a wider spectrum of stakeholders,building capacity and ownership in the process.

At this pre-approval stage, the purpose of appraisal activities is to develop arelationship of mutual respect and agreement between key stakeholders and toreach a position of collective understanding of the underlying issues and problem sothat they can move onto the next stage.

Step 3: Problem analysisDeveloping a Problem Tree is one way of doing problem analysis. Whichever way is

chosen, some key initial questions are:


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Whose problem is it?

Who is involved in the analysis?

Whose perception of the problem is being represented?This is an exercise that usually needs to be repeated with different stakeholdergroups; often very different pictures of the situation emerge.

Figure 3.2 The Problem Tree

EFFECTS

Focal Problem

Turning the problem

into a positive

statement gives the

purpose or goal for

the intervention

Addressing the

causes of the

problem identifies

outputs and

activities

Addressing the

effects identifies

the indicators

CAUSES

Start with a blank sheet of flip chart paper, pens and 2x2 post-its (or small card andtape). Two methods:

Method 1: BrainstormingThis method can be more creative, but it is risky; you can get tangled up.

Participants brainstorm issuesaround a problem(s) as yet

unidentified. Each issue isrecorded on a separate post-it.Dont stop and think orquestion, just scatter the post-its on the flipchart. When ideasfor issue dry up and stop,

Defining a Problem

A problem is not

the absence of a

solution but.

an existing

negative state

Crops infested with

pests

No pesticides

available

Identify and agree the focalproblem. It is probably thereon the flipchart, but may needrewording. Note that a problemis not the absence of a solution,

but an existing negative state. Sort the remaining issues into causes and effects of the problem.


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Cluster the issues into smaller sub-groups of causes and effects buildingthe tree in the process. Tear up, re-word and add post-its as you go.

Finish by drawing connecting lines to show the cause and effect

relationships.

Method 2: SystematicBetter suited to the more systematic and methodical.

Participants first debate and agree the focal problem. Write this on a post-itand place it in the middle of the flipchart.

Now develop the direct causes (first level below the focal problem) by askingbut why?. Continue with 2nd, 3rd and 4th level causes, each time asking butwhy?.

Repeat for the effects above the focal problem instead asking so what?. Draw connecting lines to show the relationships.

See the top half of Figure 3.3 for a problem tree for the Participatory ForestManagement project.

Step 4: Objectives analysisReformulate the elements of the problem tree into positive desirable conditions.What was the focal problem now becomes a key objective for addressing theproblem. (In logframe terms it may be the Goal or Purpose; discussed further later).

Below what was the focal problem, are related objectives for addressing the problem.Above, if the problem is addressed one would expect to see changes in the effects,so there will be useful ideas here for potential indicators of progress. See Figure 3.3.

Some facilitators and participants prefer to skip Step 3 the Problem Tree and movedirectly on to an Objectives orVision Tree. Instead of looking back, look forward;rather than thinking in terms ofnegatives and obstacles, think ofexisting positivesand strengths. Participants imagine a desired situation in the future; (this FocalObjective is placed in the centre of the flipchart.) What is needed to achieve thatsituation? (placed below the Focal Objective). What would result from achieving thesituation? (placed above). Going directly to an Objective Tree can be particularlyuseful, for example, in a post-conflict context where participants find analysis of the

problem painful.

16

16Visioning belongs to what is sometimes called the Appreciative Enquiry (AE) approach that has its

origins in organisational development. It seeks to make change management in whatever context, anaffirming exercise exploring and creating possibilities through constructive and collaborative dialogue.It moves away from deficit language into an appreciation of what works well, taking what is as aplatform for what might be. It rejects a problem-solving approach of identifying weaknesses, whichoften fosters a culture of blame, concentrating rather on what works rather than whats wrong. TheSustainable Livelihoods approach is build on appreciative enquiry principles. It starts not with peoplesproblems but with their multifarious assets; human, social, physical, financial and natural.For more on Visioning see Chapter 4 of DFID (2002) Tools for Developmentwww.dfid.gov.uk/pubs/files/toolsfordevelopment.pdf).

Also SIDA (2006) Logical Framework Approach with an appreciative approachwww.sida.se/shared/jsp/download.jsp?f=SIDA28355en_LFA_web.pdf&a=23355


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Figure 3.3 An example of Problem and Objectives Trees for the PFMproject

CAUSES

EFFECTS

Degrading forests resources

Unregulatedhunting of

fauna

No coherentmulti-district

plan

Nationalpolicy notevidence-

based

No fora for widestakeholder

representation

Forest-dependent

communitiesfeel no

ownership

Limitedcapacity ofcommunityand local

government

Forestryand other

governmentstaff lack

competence

Lowpriority inplanning

andbudgets

Lack ofknowledgeon forest

status andresourceutilisation

Weakregulation

andenforcement

Unsustainableforest product

harvestingpractices

Little revenuefrom forestry

Decliningproductstatus

Conflictwithin forestdependent

communities

Illegalharvesting

Decliningpolitical

profile offorestry

Weakinstitutionalframework

Illegalcommercial

timberextraction

Lack ofdialoguebetweendistrictLGAs

Weakplanningand low

investment

Lostopportunitiese.g. in tourism

Little access for themarginalised to forest

resources

Fewer livelihoodoptions for poorand vulnerable

Stakeholderindifference

Low moraleamongst forestry

staff

Worseninglivelihood

indices

Decline inbiodiversity

A problemtree

PossibleINDICATORS

Effective participatory forest management

Regulated

hunting of

fauna

Coherent

multi-district

plan in place

Evidence-

based

national

policy

Fora for wide

stakeholder

representation

Forest

dependent

communities

feel

ownership

Strengthened

capacity of

community

and local

government

Competent

forestry and

other

government

staff

High

priority in

planning

and

budgets

Sound

knowledge

on forest

status and

resource

utilisation

Active

regulation

and

enforcement

Sustainable

forest product

harvestingpractices

More revenue

from forestry

Improving

forest

product

status

Conflict

resolution

within forest

dependent

communities

Legal

harvesting

Increasing

political

profile of

forestry

Effective

institutional

framework

No illegal

commercial

timber

extraction

Dialogue

between

district

LGAs

Improved

planning

and

investment

Opportunities

taken e.g. in

tourism

Access for the

marginalised to forest

resources

More livelihood

options for poor

and vulnerable

Stakeholder

involvement

Strong morale

amongst forestry

staff

Improving

livelihood

indices

Stable or

improving in

biodiversity

Possible

OBJECTIVES

An objectives

tree

Compare the problem and objectives trees to see how they relate together.


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Step 5: Options analysisThe objectives immediately below the Focal Objective of the Objective Tree ineffect summarise the Options

Figure 3.4 Options Analysis

Effective participatory forest management

Regulatedhunting of

fauna

Coherentmulti-districtplan in place

Evidence-based

nationalpolicy

Fora for wide

stakeholderrepresentation

Forestdependent

communitiesfeel

ownership

Strengthenedcapacity ofcommunityand local

government

Competentforestry and

othergovernment

staff

Highpriority inplanning

and

budgets

Soundknowledgeon forest

status andresource

utilisation

Activeregulation andenforcement

Effectiveinstitutionalframework

No illegalcommercial

timber extraction

DialoguebetweendistrictLGAs

Improvedplanning

andinvestment

Degree of fit with higher plans

What are others doing?

Experience and comparative advantage?

Costs? Who carries them?

Benefits to whom? Poverty focus?

Risks and assumptions? Who is at risk?

Use objectivecriteria to

analyse whichobjectives root

to prioritise

Feasibility?

Social criteria

Technical

Institutional

Economic & Financial

Environmental

Agree with participants the criteria for assessing the various options. Keyfactors here could include17:

Degree of fit with PRSP and CAP What other stakeholders are doing The experience and comparative advantage of your organisation,

donor and partners

What are the expected benefits? To whom? What degree of povertyfocus? What is the feasibility and probability of success? Risks and assumptions? Who is carrying the risk? Social criteria costs and benefits, gender issues, socio-cultural

constraints; who carries social costs Environmental criteria what the environmental costs and gains? Technical criteria appropriateness, use of local resources, market

factors Institutional criteria capacity, capacity building, technical assistance Economic criteria economic returns, cost effectiveness

17Based on Sartorius, R. (Social Impact) in DFID Tools for Development


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Financial criteria costs, cashflows, financial sustainability, foreignexchange needs.

It can be useful at this or an earlier later stage to repeat Steps 3 and 4. It maybe that first time the focal problem was pitched at a high, general level. Inwhich case, try doing another problem tree taking the most likely option; forIncreased demand for in farm use.

What then happens to options which you decide NOT to address? (In theexample in Figure 3.4, it has been decided, for whatever reason, not to focuson unregulated hunting of fauna and illegal commercial timber extraction.) Itmay be these options are being addressed by others in parallel with yourproject (in which case there will be need for dialogue with those invoved). Ifno one will be addressing them, and these root causes to the orginal problem

are serious, they remain risks to our planned project and will need to bemanaged. We will return to this later.

Step 6: Later - Link into the LogframeThis step is premature; the reason for showing it here is that the Option Treelinks with the first column of the logframe. More on this later. For example:

Figure 3.5 Linking with the logframe objectives

Improved livelihoods of

poor forest dependentcommunities

Effective

participatory forest

management

Effective

institutional

framework

Improved

capacities

PFM plan

in place

and

operation

Activities

Outputs1. Effective institutional

framework2. Improved capacities

3. PFM plan in place

4. Evidence based

national policies

Outcome / PurposeEffective participatory

forest management

Impact / GoalImproved livelihoods of

poor forest dependent

communities

Evidence

based

national

policies


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4. THE LOGFRAME MATRIX AND HIERARCHY OFOBJECTIVES

Origins and variants of the logframe

The logical framework was developed in the late 1960s; since then its usequickly spread in development work and in private and public organisations.Today it is used by almost all international development organisations;including multilaterals (such as the UN agencies, international financialinstitutions and European Union), bilateral donors and international andnational non-governmental organisations (NGOs). Inevitably many variantshave emerged of the tool and how it is used; there is variation within andbetween agencies in aspects such as:

terminology the format of the framework itself the degree of completeness required of a logframe at different

stages of the project cycle; concept, approval, inception whether its use is mandatory in the design and approval process

and if so:- at what commitment value level- for all or only some aid types (development? humanitarian/

emergency?)- for whom it is mandatory (for agency staff?; for outsiders

applying to grants funds? etc) how the framework is used in reporting and whether it is used in

performance scoring.

This variation has been the cause of considerable confusion and frustration;and ultimately to disharmony and aid ineffectiveness.

There has however been a significant shift in recent years towardsharmonisation of approach, format and application. Progress inharmonisation is particularly apparent since the Paris Declaration on AidEffectiveness in March 2005 as partners seek to fulfil their Paris

commitments. An example of this is the OECD/DAC MDBs Joint Venture onManaging for Development Results18. A much more harmonised approach tothe use of the logframe and to project design as a whole is emerging.

The basic structure of the logframe

The logframe is in effect a series of 16 questions asked in a logical sequence.Remember that in some contexts it may be entirely appropriate to throw awaythe matrix itself and simply use the 16 questions to facilitate a stakeholdergroup through designing a plan. Thus a plan could be developed with an

18 See OECD (2006) Emerging Good Practice in Managing for Development Results.www.mfdr.org/


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illiterate primary stakeholder group which then subsequently could becaptured in narrative and / or logframe form.

Figure 4.1 shows the essential logframe structure of 4 columns and 4 rows.Two columns, Columns 1 and 4, cover the main aspects of Project Design;the remaining two columns, Columns 2 and 3, cover Monitoring Review andEvaluation. We shall be examining each column in detail; but for now tointroduce in turn:

Figure 4.1 The structure of the logframe matrix

OUTCOME

PROJECT

DESIGN

MONITORING, REVIEW

& EVALUATION

Hierarchy of

ObjectivesIndicators/

Targets

Data

SourcesAssumptions

THE PROJECT

CONTEXT

PROJECT

IMPACT

PROJECT

DESIGN

Impact/Goal

Outcome/

Purpose

Outputs

Activities

Sequence: 1st 3rd 4th 2nd

The Columns

Column 1 is the Hierarchy of Objectives; sometimes called theNarrative Summary, or the Design Summary

Column 4 is the Assumptions the conditions needed to achieve theobjectives. Sometimes (and less logically) this is headed Risks; worseRisks and Assumptions are mixed


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Column 2 is the Indicators / Targets the measures of progress inachieving the objectives. Sometimes this column is called theObjectively Verifiable Indicators or Performance Indicators.

Column 3 is the Data Sources that specify where (usually in the formof documents), the data relating to the indicators will be found.Sometimes this is headed Means of Verification or Evidence.

The Sequence

The order above is deliberate (columns 1, 4, 2 and 3) for this is the sequencein which the logframe is drafted.

The Rows

The matrix usually includes 4 rows which relate to the various levels ofObjective:

Row 1, the Impact or Goal

Row 2, the Outcome or Purpose

Row 3, the Outputs

Row 4, the Activities.

Sometimes you sometimes see a higher row at the top for SuperGoal.

Sometimes there is a lower row at the bottom for Inputs. This is best avoided.

It over-complicates the logframe. A separate budget itemising inputs andcosts will be appended as a separate document.

Three parts to the logframe

The bottom left corner or quadrant of the logframe captures theProject itself, what the project team will be doing (the Activities), whatthose activities will deliver (the Outputs) and the measures by whichactivities and outputs will be judged (the Indicators / Targets at Activityand Output levels). This quadrant, in effect, summarises the Terms of

Reference of the Project Team and specifically the Project Manager.This quadrant represents the limits or boundaries of the Project inthe sense the Manager has power and management control overeverything inside it.

The top left quadrant summarises the benefits, the beneficial changethat the project is seeking to bring about. The immediate change is theOutcome, the wider, long-term change is the Impact.

Both the project and the benefits of the project are happening within acontext, an external environment (financial, political, institutional,natural, social, cultural etc.) which can affect success or failure. These

issues are summarised in the right half of the logframe.


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It is a key principle of the logframe that Outputs are deliverable; and Outcomeand Impact are not.

A summary of the logframe process

Figure 4.2 summarises the process of drafting a logical framework. This willbe a key document for project planning. Refer to this summary as you workthrough the various steps in drafting a logframe matrix.

Linking analysis with hypothesis in the hierarchy ofobjectives

We start with the Hierarchy of Objectives. In the previous chapter we

examined Situation Analysis, Objectives Analysis and Options Analysis.A typical sequence of tools would be to analyse a problem using a ProblemTree (see Figure 3.3); this in turn can inform the drafting of an ObjectivesTree (also Figure 3.3), presenting a series of possible solutions to address theoriginal problem.

Possible solutions then need to be interrogated or prioritised using objectivecriteria in the process called Options Analysis (see Figure 3.4). This resultsin the identification of prioritised draft objectives which need to developedfurther in design. In effect these draft objectives now inform Column 1 of thelogframe; refer to Figure 3.5. As was emphasised previously, it does notalways work as neatly as this! But the sequence of tool documents willprovide clear ideas for what now needs to go into Column 1 and at what level.

The Hierarchy of Objectives is a results-chain (see Figure 1.3) that dependson a hypothesis, a prediction about a cause and effect relationship involvinguncertainty. Thus:

IfI get up at 7am Then I will get to the 9am meeting on time

But in making this hypothesis I am making assumptions: that the bus

will be on time, that there isnt unusual traffic congestion etc.


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Figure 4.2 continued

Step 8 Define the Performance Indicators and Data Sources / EvidencComplete both columns together

ObjectivesIndicators /

Targets

Indicators are means; Targets are ends. Startby defining Indicators; only set Targets whenthere is enough baseline data and stakeholderownership. Set Indicators and Targets interms of Quality, Quantity and Time.

Evidence is usually in the form of docuoutputs from data collection. Some reliasources may already be available. Incldata collection planned and resourced project as Activities in Column 1.

Goal/Impact

Step 8a Impact indicators / targetsWhat will indicate the impact changes thatare happening / will happen to which theproject has contributed? Include changesthat will happen during the lifetime of theproject, even if only early signs.

Step 8a Impact data sWhat evidence will be used to rImpact changes? Who will colle

Purpose/Outcome

Step 8b Outcome indicators / targetsAt the end of the project, what will indicate

whether the Purpose/Outcome has beenachieved? This is the key box when theproject is evaluated on completion.

Step 8b Outcome data sWhat evidence will be used to r

Outcome changes? Who will and

Outputs Step 8c Output indicators / targetsWhat will indicate whether the Outputs havebeen delivered? What will show whethercompleted Outputs are beginning to achievethe Outcome? These indicators / targetsdefine the terms of reference for the project.

Step 8c Output data sWhat evidence will be used to rOutput delivery? Who will colle

Activities Step 8d Activity indicators / targetsWhat will indicate whether the activities havebeen successful? What milestones couldshow whether successful Activities aredelivering the Outputs? A summary of theproject inputs and budget will also beone(but not the only) entry here?

Step 8d Activity data sWhat evidence will be used to rthe completion of Activities?

collect it and when? A summaproject accounts will be one (bu

only) en

Do not include too much detail in the logframe. A detailed workplan and budget will follow as separa


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Drafting the hierarchy of objectives

Figure 4.3 The Hierarchy of ObjectivesObjectives Indicators

/ targets

Data

Sources

Assum-

ptionsImpact / Goal:The highermid-to long-term beneficialchange to which the project contributes

The Greater Why?Outcome / Purpose:The specific and immediate beneficialchange the projectwill achieve

The Why?Outputs:The deliverables of the project or theterms of reference

The What?Activities:The main activities that must beundertaken to deliver the outputs

The How?

Step 1 - Define the Impact or Goal

Greater WHY

WHY

WHAT

HOW HOW HOW HOW

Impact/Goal

HOW

Purpose/Outcome

Outputs

Activities

WHAT WHAT

Figure 4.4 Asking the right

Goal is synonymous with positive Impact; you see either term used inlogframes. The Goal is the higher orderobjective, the longer term developmentobjective orbeneficialchange that the projectwill contribute to. Useonly one Impact / Goalstatement. Someprogress towards the Goalshould be measurableduring the lifetime of theproject. The Goal definesthe overall big pictureneed or problem beingaddressed; it expressesthe justification, theGreater WHY, of what isplanned. E.g. Improved

livelihoods of forestdependent people.


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Step 2- Define the Outcome or Purpose

Purpose is more or less synonymous with Outcome except you can have apositive or negative outcome; a purpose can only be positive. The Purpose or

Outcome is the immediate change in development conditions on completion of theOutputs; typically it describes the change of behaviour resulting from the uptakeor use or implementation by others outside the project team (often thebeneficiaries) of the Outputs. The Purpose (together with its associatedindicators) describes the specific and immediate outcome of the project. ThePurpose is a justification, a WHY statement. It needs to be clearly defined so allkey stakeholders know what the project is trying to achieve during its lifetime. E.g.The integrated management of Chimbes forest resources.

Have only one succinct Outcome / Purpose. If you think you have more, thenyou may need more than one logframe; or your multiple purposes are in fact

outcome indicators of a single purpose as yet unphrased; or they are lower orderoutputs.

The Outcome or Purposeshould not be entirely deliverable, i.e. fully withinthe project managers control. If it is deliverable, then it should be an Output. ThePurpose usually expresses the uptake or implementation or application by othersof the projects Outputs; hence it cannot be fully within managerial control. Youcan take a horse to water, but you cant make it drink. The project may bedelivering the water, but it cannot control the behaviour of others outside theteam (the horse). So we aim for the Purpose to be achieved butthis cannot beguaranteed. It will depend on stakeholders actions and assumptions beyond thecontrol of the project manager. The manager can best exert influence overPurpose achievement by maximising the completeness of delivery of the Outputsand mitigating against risks to the project.

The gap between Outputs and Outcome / Purpose representsambition.How ambitious you are, depends on the context, on the feasibility of what you aretrying to do and the likelihood others outside managerial control will change theirbehaviour. Dont have the Purpose unrealistically remote from the Outputs;conversely, dont set them so close when, in reality, more could be achieved. ThePurpose / Outcome is not simply a reformulation of the Outputs.

Whoever will be approving the project proposal, should be focusing theirchallenge on, and seekingjustification for, the causal link between Outputsand Purpose.

When setting the Purpose, avoid phrases like by or through or in order toor so that. They are confusing and usually mean the Purpose includesobjectives at more than one level. This detail will more appropriately be in otherboxes of the logframe (e.g. indicators).

Step 3 - Describe the Outputs

The Outputs describe what the project will deliver in order to achieve thePurpose. They are the results that the project must deliver. They can be thoughtof as the Terms of Reference for project implementation, the deliverables in the

control of the project manager. Outputs are things, nouns and usually includeHuman Capacity, Systems, Knowledge and Information, Infrastructure, Materials,


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Awareness. E.g. a). Effective institutional framework; b). Capacities in localgovernment and communities improved; c) Integrated forest management plan inplace and operation etc. This is discussed further in Table 4.1.

Typically there are between 2 8 Outputs; any more than that and the logframewill become over-complicated.

Step 4 - Define theActivities

The Activities describe what actions will be undertaken to achieve each output.Activities are about getting things done so use strong verbs. E.g. EstablishDevelop

Step 5- Test the Logic from the bottom to the top

IMPACT/

GOAL

OUTCOME

OUTPUTS

ACTIVITIESIf

If

If

Deliver

Achieve

Contribute

Figure 4.5 Checking the IF-THENWhen the four rows of column 1have been drafted, the logic needs

to be tested.

Use the IF/THENtest to checkcause and effect. When theobjectives hierarchy is read fromthe bottom up it can be expressedin terms of: Then

Then

Then

Ifwe do these Activities,then this Output will be delivered.

Ifwe deliver these outputs,then this Outcome/Purpose will beachieved

Ifthe purpose is achievedthen this will contribute to theImpact/Goal.

The IF/THEN logic can be furthertested by applying whatssometimes called the Necessaryand Sufficient test. At each level,

ask are we doing enough orarewe doing too much for delivering,achieving or contributing to the next level objective?As you test the logic, you will be making assumptions about the causal linkages.We will be looking at this in more detail shortly.

A simple example: Building a playground swing

Figure 4.6 gives the first column for a project to build a playground swing.

The overall Goal is an Integrated community with happy kids and adults.

To contribute to this Goal the project aims to achieve Kids having fun beingbusy and safe.


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In order to achieve this the project team will take direct responsibility forBuilding the capacity within the community to manage the building andmaintenance of the swingand the building ofA safe, well-built swing.

To deliver these outputs, 2 sets of cross-referenced activities are planned.

Figure 4.6 Hierarchy of Objectives for Building a playground swing

Achieve

Contribute

Objectives

Goal/ImpactIntegrated community with happy kids and adults

Purpose/OutcomeKids have fun, are busy and safe

Outputs1. Capacity within community to manage the building and long-

term maintenance of the swing

2. A safe, well-built swing

Activities1.1 Establish community committee and undertake lobbying

required

1.2 Set budget

1.3 Raise funds

1.4 Set up systems for maintenance

2.1 Consult kids

2.2 Design it2.3 Get planning permission

2.4 Commission builder

2.5 Build it

2.6 Test it

2.7 Safety inspection on completion

2.8 Carry out user survey and participatory evaluation with the kids

Deliver

Note the language:

Outputs are delivered; the team has control and responsibility overActivities and Outputs

The Purpose / Outcome is achieved; the team does not have managerialcontrol at this level but the designers are responsible for there being astrong casual link between Output and Purpose/Outcome levels.

The project contributes to the Goal/Impact; the objective at this level maybe shared with other projects and programmes.

Note also the boundary of the project between Output and Purpose/Outcomelevels. Remember the proverb You can take a horse to water but you cant force itto drink. In logframe terms a project may providing water facilities for a horse as

an Output within project managers control. But whether or not the horse drinks is


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outside the managers control; there is the assumption that if water is provided thehorse will drink; the causal link is strong.

Likewise with the process Output (#1. The Capacity) and the product Output(#2. The Swing) are within the managers control; the children using the swing(the Purpose/Outcome) is not. The logic of the design relies on the causal linkbetween the two levels.

A second example; Participatory Forest Management in Chimbe

Study Figure 4.7 which is for the same Participatory Forest Management casestudy started in Chapter 2. Note how this interlinks with the Problem andObjective Trees (Figure 3.3) and Options Analysis (Figs 3.4 & 3.5).

Figure 4.7 Hierarchy of Objectives for Participatory Forest ManagementObjectives

Impact / Goal:The livelihoods of poor forest dependent communities sustainedand improved

Outcome / Purpose:Effective participatory management of forest resources in ChimbeProvince

Outputs:

1. Effective national and district institutional and operationalframework for PFM established.2. Capacities of communities and government improved to

participate in participatory forest planning and management.3. Provincial participatory forest management plan developed and

agreed by stakeholders at all levels and in operation.4. Evidence based national and district policies.

Activities:1.1 Collect baseline data.1.2 Awareness raising.1.3 Establish Institutional Development Working Group.

1.4 Establish partnerships with existing institutions.1.5 Review current policies.1.6 Review funding mechanisms.1.7 Identify service providers.2.1 Carry out Training Needs Assessment.2.2 Develop and implement a training programme for key

stakeholders3.1 Develop community action plans.3.2 Develop criteria for PFM support.3.3 Develop overall PFM plan.3.4 Implement following agreed plan and process4.1 Establish joint data taskforce and Strategy.4.2 Conduct baseline studies


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Contamination of ObjectivesThis is particularly a problem at Purpose / Outcome level. For example,:

Key points in drafting the objectivesKey points in drafting the objectives

Logframes often show weaknesses in the first column design. Some key points:Logframes often show weaknesses in the first column design. Some key points:

i. Start at the top, not at the bottomBegin with the big picture at Goal / Impact level, NOT at Activity level.Starting with Activities will lead to stale thinking, to business as usual,continuing what has always been done. Start with the Impact / Goal.

i. Start at the top, not at the bottomBegin with the big picture at Goal / Impact level, NOT at Activity level.Starting with Activities will lead to stale thinking, to business as usual,continuing what has always been done. Start with the Impact / Goal.

ii. Express objectives in general termsDo not at this stage make objectives SMART (Specific, Measurable,Achievable, Relevant, Time-bound). Leave the specifics to the indicators;in effect at a later stage, Column 2 will make Column 1 SMART.

ii. Express objectives in general termsDo not at this stage make objectives SMART (Specific, Measurable,Achievable, Relevant, Time-bound). Leave the specifics to the indicators;in effect at a later stage, Column 2 will make Column 1 SMART.

iii. Each objective should be at one level and one level onlyRemember to avoid phrases like: in order to; through; so that; to; byetc. As you will recognise, these contaminate your objective; in effect youare adding a supplementary objective (or indicator); you are putting 2 levelsinto one box. Dont discard your ideas, but see if there is a place for themas objectives or indicators up or down the hierarchy.

iii. Each objective should be at one level and one level onlyRemember to avoid phrases like: in order to; through; so that; to; byetc. As you will recognise, these contaminate your objective; in effect youare adding a supplementary objective (or indicator); you are putting 2 levelsinto one box. Dont discard your ideas, but see if there is a place for themas objectives or indicators up or down the hierarchy.

RR

Documents

Logical Framework Manual