The Logical Framework Approach - United Nationsunpan1.un.org/intradoc/groups/public/documents/un/unpan032814.pdf · Module 3. The Logical Framework Approach and RBME On-line Training

Module 3. The Logical Framework Approach and RBMEOn-line Training Course on Results-Based Monitoring and Evaluation for MDG Implementation Module 3. The Logical Framework Approach and RBMEOn-line Training Course on Results-Based Monitoring and Evaluation for MDG Implementation

Background, concepts, tools and practiceBackground, concepts, tools and practice

The Logical Framework Approach


What is the Logical Framework Approach What is the Logical Framework Approach (LFA)?(LFA)?

Key steps in the LFAKey steps in the LFAThe The logframelogframeThe Logic in the LFAThe Logic in the LFAStrengths and weaknesses of the LFAStrengths and weaknesses of the LFA

The link between LFA and RBMEThe link between LFA and RBME

Using the logical framework matrixUsing the logical framework matrix


It is an analytical, presentational and management tool which caIt is an analytical, presentational and management tool which can n help planners and managers to:help planners and managers to:

Analyze the existing situation during project preparation;Analyze the existing situation during project preparation;Establish a logical hierarchy of means by which objectives will Establish a logical hierarchy of means by which objectives will be be reached;reached;Identify some of the potential risks;Identify some of the potential risks;Establish how outputs and outcomes might best be monitored and Establish how outputs and outcomes might best be monitored and evaluated; andevaluated; andPresent a summary of the project in a standard format.Present a summary of the project in a standard format.

It is an instrument for logical analysis and structured thinkingIt is an instrument for logical analysis and structured thinking in in project planning.project planning.


It is a framework, a battery of questions which, if they are useIt is a framework, a battery of questions which, if they are used in a d in a uniform way, provide a structure for the dialogue between differuniform way, provide a structure for the dialogue between different ent stakeholders in a project.stakeholders in a project.

It is a planning instrument, which encompasses the different It is a planning instrument, which encompasses the different elements in a process of change (problems, objectives, elements in a process of change (problems, objectives, stakeholders, plan for implementation.stakeholders, plan for implementation.

It is an instrument to create participation, accountability and It is an instrument to create participation, accountability and ownership.ownership.


Establish the general scope and focus of the project. Establish the general scope and focus of the project. Agree on the specific planning framework, terminology and designAgree on the specific planning framework, terminology and designprocess. process. Undertake a detailed situation analysis. Undertake a detailed situation analysis. Develop the project strategy, objectives hierarchy, implementatiDevelop the project strategy, objectives hierarchy, implementation on arrangements and resources. arrangements and resources. Identify and analyze the assumptions and risks for the chosen Identify and analyze the assumptions and risks for the chosen strategies and modify the project design if assumptions are incostrategies and modify the project design if assumptions are incorrect rrect or risks are too high. or risks are too high. Develop the monitoring and evaluation framework. Develop the monitoring and evaluation framework.


It is the product of the LFA processIt is the product of the LFA processA 4 x 4 matrix A 4 x 4 matrix

Narrative Narrative SummarySummary

Objectively Verifiable Objectively Verifiable Indicators (OVI)Indicators (OVI)

Means of Means of Verification Verification (MOV)(MOV)

Important Important AssumptionsAssumptions

GOALGOAL (Measurement of goal (Measurement of goal achievement)achievement)

(Sources of (Sources of information; information; Methods used)Methods used)

(Assumptions (Assumptions affecting Purposeaffecting Purpose--Goal linkage)Goal linkage)

PURPOSEPURPOSE (End of project status)(End of project status) (Sources of (Sources of information; information; Methods used)Methods used)

(Assumptions (Assumptions affecting Outputaffecting Output--Purpose linkage)Purpose linkage)

OUTPUTSOUTPUTS (Magnitude of outputs; Planned (Magnitude of outputs; Planned completion date)completion date)


(Assumptions (Assumptions affecting Inputsaffecting Inputs--Outputs linkage)Outputs linkage)

ACTIVITIESACTIVITIES Inputs Inputs (Nature and level of (Nature and level of resources necessaryresources necessary’’ costcost’’Planned starting date)Planned starting date)


(Initial assumptions (Initial assumptions about the project)about the project)


Defines a hierarchy of aims, thereby developing a common Defines a hierarchy of aims, thereby developing a common understanding of understanding of programmeprogramme/project expectations;/project expectations;

Defines indicators of success and establishes criteria for monitDefines indicators of success and establishes criteria for monitoring oring and evaluation;and evaluation;

Defines critical assumptions on which the Defines critical assumptions on which the programmeprogramme is based; andis based; and

Identifies the means of verifying Identifies the means of verifying programmeprogramme accomplishments.accomplishments.


The hierarchy of aims is shown in this diagram, The hierarchy of aims is shown in this diagram, with the goal to be achieved referring to the with the goal to be achieved referring to the condition of wellcondition of well--being of the target group: being of the target group: individuals, families, or communities.individuals, families, or communities.

The purpose is determined by asking the question The purpose is determined by asking the question ““how will this goal be achieved?how will this goal be achieved?””

The outputs are the deliverables through which the The outputs are the deliverables through which the purpose will be achieved.purpose will be achieved.

Activities are the main elements of component Activities are the main elements of component projects which produce the outputs.projects which produce the outputs.Activities

Outputs

Purpose

Goal


Inputs

Activities

Outputs

Purpose

Goal

Under full control of project management

Beyond control of project management


Otherwise labeled the Development Objective, this refers to the Otherwise labeled the Development Objective, this refers to the higher level objective that the project is expected to contributhigher level objective that the project is expected to contribute toe to

Wide in breadth and scope so that its achievement is expected toWide in breadth and scope so that its achievement is expected to be be done by more than one done by more than one programmeprogramme or projector project


Otherwise labeled the Immediate ObjectiveOtherwise labeled the Immediate Objective

The result that is achieved as a consequence of the project The result that is achieved as a consequence of the project delivering the planned outputsdelivering the planned outputs

May be expressed as a May be expressed as a ‘‘change in behaviorchange in behavior’’ of a group or institution, of a group or institution, with the project outputs causing or facilitating that changewith the project outputs causing or facilitating that change


The tangible results or deliverables that the project managementThe tangible results or deliverables that the project managementteam should be able to guarantee deliveringteam should be able to guarantee delivering

Specifies the group or institution that will benefit from the ouSpecifies the group or institution that will benefit from the outputstputs

Indicates timetableIndicates timetable


Specific activities needed to produce the outputsSpecific activities needed to produce the outputs

Time frames may be specifiedTime frames may be specified

As many sets of activities will have to be identified as there aAs many sets of activities will have to be identified as there are re outputs.outputs.

Activities will have corresponding inputs, which are the resourcActivities will have corresponding inputs, which are the resources es that the project or that the project or programmeprogramme utilizes so the outputs will be utilizes so the outputs will be produced. produced.


Unlike the vertical logic, does not completely show causal Unlike the vertical logic, does not completely show causal relationshiprelationship

A row in the matrix presents (from left to right)A row in the matrix presents (from left to right)The result or objectiveThe result or objectiveHow the achievement will be measured or verifiedHow the achievement will be measured or verifiedFrom where and how this information will be obtainedFrom where and how this information will be obtainedThe external factors that could prevent the project from The external factors that could prevent the project from achieving the next level objective.achieving the next level objective.


Quantitative, qualitative and timeQuantitative, qualitative and time--bound measures that provide bound measures that provide evidence of the extent to which the aims have been met at the foevidence of the extent to which the aims have been met at the four ur levels of the hierarchylevels of the hierarchy

May be direct or indirectMay be direct or indirect

Help refine and clarify aimsHelp refine and clarify aims

Indicate how to recognize success at each levelIndicate how to recognize success at each level

Facilitate monitoring and give the signal to take remedial actioFacilitate monitoring and give the signal to take remedial actions if ns if neededneeded

Facilitate end of Facilitate end of programmeprogramme evaluation evaluation


Must be valid, reliable, precise, costMust be valid, reliable, precise, cost--effective and stated effective and stated independently between levelsindependently between levels

Should provide a clear statement of how the project target groupShould provide a clear statement of how the project target group will will benefit from the realization of outputs.benefit from the realization of outputs.

Should be specific in terms of Should be specific in terms of Quality Quality –– what?what?Quantity Quantity –– how much?how much?Time Time –– when? how long?when? how long?Target Group Target Group –– who?who?Place Place –– where? where?


Measure what is important to the projectMeasure what is important to the project

Measure changes that are caused by the project (be attributable Measure changes that are caused by the project (be attributable to to the project)the project)

Be costBe cost--effective in the collection and analysis of dataeffective in the collection and analysis of data

Be independent and not inherent to the projectBe independent and not inherent to the project

Be verifiable to reach agreement.Be verifiable to reach agreement.


The specific sources from which the status of each of the indicaThe specific sources from which the status of each of the indicators tors can be ascertainedcan be ascertained

The precise method by which the verification is done or the The precise method by which the verification is done or the measurement conductedmeasurement conducted


Are external factorsAre external factors——preconditions or important events, conditions preconditions or important events, conditions or decisions outside the control of the project management whicor decisions outside the control of the project management whichh……

Must prevail on the goalMust prevail on the goalAre necessary for the achievement of its purposeAre necessary for the achievement of its purposeAre necessary for the production of outputsAre necessary for the production of outputsAre necessary for the start of the project.Are necessary for the start of the project.

The achievement of aims depends on whether the assumption holds The achievement of aims depends on whether the assumption holds true and the risks do not materialize.true and the risks do not materialize.


The following table may be used as a guide in assessing externalThe following table may be used as a guide in assessing externalfactors. You may improve on this and develop your own.factors. You may improve on this and develop your own.

QuestionQuestion AnsweAnswerr ActionAction

Is the external factor Is the external factor important?important?

YesYes

NoNo

Include in Include in logframelogframe

Do not include in Do not include in logframelogframe

Will this factor be realized Will this factor be realized as a result of another as a result of another activity outside the project activity outside the project being developed?being developed?

Almost Almost certainlycertainly

LikelyLikely

Do not include in Do not include in logframelogframe

Include in Include in logframelogframe as assumptionas assumption

If the external factor is If the external factor is unlikelyunlikely to be realized by to be realized by another activity, is it another activity, is it possible to design the possible to design the current project so that it current project so that it can influence the external can influence the external factor?factor?

YesYes

NoNo

Redesign the project so the factor Redesign the project so the factor becomes an acceptable assumption becomes an acceptable assumption (add/revise objectives, activities, etc.) (add/revise objectives, activities, etc.)

The assumption is a killer assumption The assumption is a killer assumption and the project is not feasible.and the project is not feasible.


If these Activities are If these Activities are implemented and the implemented and the Assumptions hold, then these Assumptions hold, then these Outputs will be delivered.Outputs will be delivered.

If these outputs are delivered, If these outputs are delivered, and these Assumptions hold, and these Assumptions hold, then this Purpose will be then this Purpose will be achieved.achieved.

If this Purpose is achieved, and If this Purpose is achieved, and these Assumptions hold, then these Assumptions hold, then this Goal will be achieved.this Goal will be achieved.Activities

Outputs

Purpose

Goal

then

then

then

if

if

if

Assumptions

Assumptions

Assumptions

Assumptions

Hierarchy of hypotheses


Start by identifying the Start by identifying the results you would like results you would like to achieve: to achieve:

The impact in or The impact in or goal for a particular goal for a particular development development situationsituationThe lower level The lower level results you need to results you need to achieve in order to achieve in order to cause that impactcause that impactThe activities and The activities and resources that are resources that are required.required.

2. Clarify each level of the results hierarchy by thinking upwards:

What specific problem will this address (problem statement)?What external factors need to be considered at each level of objectives to ensure successful implementation?

Adapted from Pradhan, The Logical Framework Approach.


Level of detail Level of detail –– should be enough to guide project implementationshould be enough to guide project implementation

Matrix structure Matrix structure –– 4x4, and is therefore limiting, especially for large 4x4, and is therefore limiting, especially for large projects; different matrices can be prepared for each purposeprojects; different matrices can be prepared for each purpose

Process or productProcess or product--driven driven –– the trend towards processthe trend towards process--driven driven interventions is increasing, with capacity development recognizeinterventions is increasing, with capacity development recognized as d as needed for people and institutions to guide their own developmenneeded for people and institutions to guide their own development t processprocess


The sideways logic The sideways logic –– it is important to remember that outputs from it is important to remember that outputs from one part of the project will often be necessary inputs or conditone part of the project will often be necessary inputs or conditions ions for another partfor another part

Where to locate outputs and activities Where to locate outputs and activities –– place under a specific output place under a specific output all activities necessary to achieve it, or split up an activity all activities necessary to achieve it, or split up an activity and be and be more specific if it relates to several outputsmore specific if it relates to several outputs

Performance questions and target indicators Performance questions and target indicators –– both may be found in both may be found in the second column; performance questions are important at the the second column; performance questions are important at the purpose and goal level where quantitative indicators may be diffpurpose and goal level where quantitative indicators may be difficulticult


7. Aggregation of outputs – achieved by a project at the purpose level; purpose-level indicators may therefore be a compilation of the separate indicators for each output (aggregate indicators may not be possible)

8. Indicative targets – indicative outputs, activities and indicators may be written in the first draft of the matrix; project design is acontinuing process

9. Monitoring mechanisms – may be the same for different purposes and outputs, e.g., survey


10. Assumptions and risks –should also be about the internal logic of the project strategy, in addition to external conditions; project design may be adjusted to lower risks

11. Gender and other equity differences – such cross-cutting issues may have to be addressed in both project design and M&E; where they are critical, it may be desirable to have cross-cutting objectives and indicators


A tool for planning a logical set of interventions;A tool for planning a logical set of interventions;

A tool for appraising a A tool for appraising a programmeprogramme document;document;

A concise summary of the A concise summary of the programmeprogramme;;

A tool for monitoring progress made with regard to delivery of A tool for monitoring progress made with regard to delivery of outputs and activities; andoutputs and activities; and

A tool for evaluating impact of A tool for evaluating impact of programmeprogramme outputs, or progress in outputs, or progress in achieving purpose and goal.achieving purpose and goal.

A tool for participation, ownership, and accountability.A tool for participation, ownership, and accountability.


During initial stages can be used to test project ideas and concDuring initial stages can be used to test project ideas and concepts epts for relevance and usefulness. for relevance and usefulness.

Designing Designing logframeslogframes help to make comprehensive plans that are help to make comprehensive plans that are feasible within acceptable levels of risks. feasible within acceptable levels of risks.

LogframesLogframes can form the basis of can form the basis of ‘‘contractscontracts’’ with explicit statements with explicit statements of what will be delivered. of what will be delivered.

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

The The logframelogframe provides indicators against which the project progress provides indicators against which the project progress and achievements can be assessed. and achievements can be assessed.


There may be a tendency to focus too much on problems rather There may be a tendency to focus too much on problems rather than on opportunities and vision. than on opportunities and vision.

The The logframelogframe may be used too rigidly, leading people into a may be used too rigidly, leading people into a ‘‘blueprintblueprint’’ approach to project design.approach to project design.

Limited attention to problems of uncertainty is provided, where Limited attention to problems of uncertainty is provided, where a a learning or adaptive approach to project design and management ilearning or adaptive approach to project design and management is s required.required.

There may be a tendency for poorlyThere may be a tendency for poorly--thoughtthought--through sets of through sets of activities and objectives to be entered into a matrix, giving thactivities and objectives to be entered into a matrix, giving the e appearance of a logical framework when in fact the key elements appearance of a logical framework when in fact the key elements of of the analytical process have been skipped. the analytical process have been skipped.

Documents

The Logical Framework Approach - United Nationsunpan1.un.org/intradoc/groups/public/documents/un/unpan032814.pdf · Module 3. The Logical Framework Approach and RBME On-line Training