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- 1. 1 1 Results-Based Management: Logical Framework Approach 28 – 30 September, 2005 Putrajaya, Malaysia UNITED NATIONS STATISTICAL INSTITUTE FOR ASIA & THE PACIFIC (SIAP) CHIBA, JAPAN
- 2. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 2 2 RBM and Logical Framework Approach RBM and Logical Framework Approach (LFA) (LFA) The LFA is an RBM tool used for systematic planning, implementing, The LFA is an RBM tool used for systematic planning, implementing, monitoring, and evaluating projects/ programmes. monitoring, and evaluating projects/ programmes.
- 3. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 3 3 The Logical Framework Approach The Logical Framework Approach (i) (i) Features of LFA Features of LFA : : stakeholder involvement stakeholder involvement needs-based approach needs-based approach logical intervention approach logical intervention approach framework for assessing relevance, framework for assessing relevance, feasibility and sustainability feasibility and sustainability
- 4. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 4 4 The Logical Framework Approach The Logical Framework Approach (ii) (ii) Features of LFA Features of LFA : : results-oriented – not activity driven logically sets objectives and their causal relationships shows whether objectives have been achieved: Indicators (for M&E) describes external factors that influence the project’s success: assumptions and risks
- 5. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 5 5 Main steps: Main steps: • Stakeholder Analysis Stakeholder Analysis • SWOT Analysis SWOT Analysis • Problem Tree Analysis Problem Tree Analysis • Objective Tree Analysis Objective Tree Analysis • Logical Framework Matrix Logical Framework Matrix • Monitoring and evaluation Monitoring and evaluation LFA Key Features LFA Key Features
- 6. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 6 6 Stakeholder is any individuals, group or Stakeholder is any individuals, group or organization, community, with an organization, community, with an interest in the outcome of a interest in the outcome of a programme/project. programme/project. Stakeholder Analysis Stakeholder Analysis
- 7. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 7 7 Purpose: Purpose: To identify: To identify: The needs and interest of stakeholders The needs and interest of stakeholders The organizations, groups that should be The organizations, groups that should be encouraged to participate in different encouraged to participate in different stages of the project; stages of the project; Potential risks that could put at risk Potential risks that could put at risk programme; programme; Opportunities in implementing a Opportunities in implementing a programme; programme; Stakeholder Analysis Stakeholder Analysis
- 8. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 8 8 SWOT Analysis (i) SWOT Analysis (i) Purpose: Purpose: To assess the performance and capacity To assess the performance and capacity of the participating units, divisions of of the participating units, divisions of organization. organization. Each participating unit has to undertake Each participating unit has to undertake SWOT analysis. SWOT analysis.
- 9. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 9 9 SWOT Analysis (ii) SWOT Analysis (ii) SWOT analysis is a tool for institutional SWOT analysis is a tool for institutional appraisal and a brainstorming exercise appraisal and a brainstorming exercise in which the representatives of the in which the representatives of the organization participate fully. organization participate fully.
- 10. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 10 10 SWOT Analysis (iii) SWOT Analysis (iii) SWOT stands for: SWOT stands for: Strengths Strengths - the positive internal attributes - the positive internal attributes of the organisation of the organisation Weaknesses Weaknesses - the negative internal - the negative internal attributes of the organisation attributes of the organisation Opportunities Opportunities - external factors which - external factors which could improve the organisation’s prospects could improve the organisation’s prospects Threats Threats - external factors which could - external factors which could undermine the organisation’s prospects undermine the organisation’s prospects
- 11. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 11 11 Purpose: Purpose: - to identify major problems and their - to identify major problems and their main main causal causal relationships. relationships. Output: Output: problem tree with cause and effects problem tree with cause and effects Problem Tree Analysis Problem Tree Analysis
- 12. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 12 12 Steps in Undertaking Problem Steps in Undertaking Problem Tree Tree 1. 1. Identify the major problems that the project Identify the major problems that the project will address. State problems in negative will address. State problems in negative manner. manner. 2. 2. Group problems by similarity of concerns. Group problems by similarity of concerns. 3. 3. Develop the problem tree: Develop the problem tree: a) a) Select a focal problem from the list and relate Select a focal problem from the list and relate other problems to the focal problem. other problems to the focal problem. b) b) If the problem is a cause of the focal problem it If the problem is a cause of the focal problem it is placed below the focal problem is placed below the focal problem c) c) If the problem is an effect of the focal problem is If the problem is an effect of the focal problem is goes above goes above
- 13. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 13 13 Problem Tree CAUSE EFFECT
- 14. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 14 14 Analysis of Objectives Analysis of Objectives Transforming the problem tree into an Transforming the problem tree into an objectives tree by restating the objectives tree by restating the problems as objectives. problems as objectives. Problem statement converted in to Problem statement converted in to positive statements positive statements Top of the tree is the end that is desired Top of the tree is the end that is desired Lower levels are the means to achieving Lower levels are the means to achieving the end. the end.
- 15. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 15 15 Objectives Tree Objectives Tree Ends Means * Project Cycle Management Guide, 2004 *
- 16. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 16 16 The relationship between the The relationship between the problems tree and the objective tree problems tree and the objective tree PROBLEM TREE PROBLEM TREE OBJECTIVE TREE OBJECTIVE TREE Focal problem Focal problem Project Purpose Project Purpose Effects Effects Overall Overall Objectives Objectives Causes Causes Results Results
- 17. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 17 17 Strategy Analysis (i) Strategy Analysis (i) The aim of strategy analysis is division of the The aim of strategy analysis is division of the objectives tree into more consistent smaller objectives tree into more consistent smaller sub-units that may, compose the core for a sub-units that may, compose the core for a project. project. Each of the sub-units of the objective tree can Each of the sub-units of the objective tree can represent an alternative strategy for the future represent an alternative strategy for the future project. project. The project objectives set the framework for The project objectives set the framework for the strategy of the project. the strategy of the project.
- 18. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 18 18 Strategy Analysis (ii) Strategy Analysis (ii) Criteria for selection of the project strategy: Criteria for selection of the project strategy: 1. RELEVANCE: the strategy corresponds to the needs 1. RELEVANCE: the strategy corresponds to the needs of the stakeholders. of the stakeholders. 2. EFFECTIVENESS: the lower level objectives of the 2. EFFECTIVENESS: the lower level objectives of the strategy will contribute to achievement of the strategy will contribute to achievement of the project project purpose purpose 3. EFFICIENCY: cost-effectiveness of the strategy in 3. EFFICIENCY: cost-effectiveness of the strategy in transforming the means into results. transforming the means into results. 4. CONSISTENT with development policies 4. CONSISTENT with development policies 5. SUSTAINABILITY of the project 5. SUSTAINABILITY of the project 6. ASSUMPTIONS and RISKS 6. ASSUMPTIONS and RISKS
- 19. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 19 19 The Logframe Matrix The Logframe Matrix The main output of the LFA is the logframe The main output of the LFA is the logframe matrix. matrix. The Logical Framework Matrix is used to present The Logical Framework Matrix is used to present information about project objectives, outputs information about project objectives, outputs and activities in a systematic and logical way. and activities in a systematic and logical way. The basic Logframe matrix contains 16 cells The basic Logframe matrix contains 16 cells organized into 4 columns and 4 rows, as organized into 4 columns and 4 rows, as indicated in the next slide: indicated in the next slide:
- 20. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 20 20 The Logical Framework Matrix Objectives & activities Purpose/ (Outcome) Goal (Impact) Outputs Activities Means Indicators Means of verification Assumptions What needs to be fulfilled before activities can start Pre-conditions Cost
- 21. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 21 21 Assumptions (i) Assumptions (i) Describe necessary internal and external Describe necessary internal and external conditions in order to ensure that the conditions in order to ensure that the activities will produce results activities will produce results Assumptions are risks, which can jeopardize Assumptions are risks, which can jeopardize the success of the project the success of the project Are worded positively, i.e. they describe Are worded positively, i.e. they describe circumstances required to achieve certain circumstances required to achieve certain objectives objectives
- 22. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 22 22 Assumptions (ii) Assumptions (ii) Should be relevant and probable Should be relevant and probable If an assumption is not important or If an assumption is not important or almost certain: Do not include almost certain: Do not include If an assumption is unlikely to occur: If an assumption is unlikely to occur: Killer assumption – abandon project Killer assumption – abandon project
- 23. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 23 23 Assumptions (iii) Assumptions (iii) Example of Assumptions for the Goal Example of Assumptions for the Goal and Purpose: and Purpose: Political – stability of NSO and Political – stability of NSO and government staff government staff Economic – sustainable economy Economic – sustainable economy Etc. Etc.
- 24. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 24 24 Assumptions (iv) Assumptions (iv) Example of Assumptions: Example of Assumptions: Adequate funds materials. Adequate funds materials. Skilled people – training needs. Skilled people – training needs. Approvals & contracts – legal, Approvals & contracts – legal, administrative. administrative. Participation of stakeholders. Participation of stakeholders.
- 25. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 25 25 The logical framework The logical framework Outcome Impact Outputs Activities Assumptions Assumptions Assumptions
- 26. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 26 26 Indicators (i) Indicators (i) Indicators measure to verify to what extant the results Indicators measure to verify to what extant the results are achieved. are achieved. Specify how the achievement of an objective can be Specify how the achievement of an objective can be verified or demonstrated verified or demonstrated Provide a basis for Monitoring and Evaluation Provide a basis for Monitoring and Evaluation 3 Dimensions of Indicators 3 Dimensions of Indicators Quantity Quantity Quality Quality Time Time
- 27. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 27 27 Indicators (ii) Indicators (ii)
- 28. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 28 28 Means of Verification Means of Verification Tools or means to obtain the information required by the indicators Include: project documents field verification ad-hoc studies
- 29. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 29 29 Results Chain & Logical Framework Matrix RBM Result Result Result Goal/Impact Result Purpose/ Outcome Output Activities LFA
- 30. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 30 30 Monitoring and Evaluation Monitoring and Evaluation Based on the logical framework Based on the logical framework Strengthens accountability and Strengthens accountability and transparency transparency Provides information for effective Provides information for effective management management Helps determine what works well and Helps determine what works well and what requires improvement what requires improvement Builds knowledge Builds knowledge
- 31. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 31 31 Purpose of Monitoring and Purpose of Monitoring and Evaluation Evaluation It is the continuous process of It is the continuous process of collecting, processing and assessing collecting, processing and assessing information about the: information about the: Project implementation Project implementation Project progress Project progress Project impact and effects Project impact and effects Project environment Project environment
- 32. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 32 32 Monitoring (i) Monitoring (i) Continuous function that aims to Continuous function that aims to provide early indications of progress provide early indications of progress or lack thereof in the achievement of or lack thereof in the achievement of results results
- 33. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 33 33 Monitoring (ii) Monitoring (ii) Assumes the validity of the existing Assumes the validity of the existing plan plan Takes place at project level Takes place at project level Is the responsibility of the project Is the responsibility of the project management management Is based on the indicators defined in Is based on the indicators defined in the logical framework the logical framework
- 34. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 34 34 Monitoring Responsibility Monitoring Responsibility Project Management Project Management Activities Activities Output indicators Output indicators Early outcome indicators Early outcome indicators Project Target Group Project Target Group Outcome indicators Outcome indicators Impact indicators Impact indicators
- 35. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 35 35 Evaluation Evaluation Time-bound exercise to assess the Time-bound exercise to assess the relevance, performance and success of on- relevance, performance and success of on- going or completed projects going or completed projects Questions the validity of existing planning Questions the validity of existing planning Is related to the impact of a project Is related to the impact of a project Opens the mind for strategic adjustments Opens the mind for strategic adjustments
- 36. 28 - 30 September, 2005 28 - 30 September, 2005 Putrajaya, Malaysia Putrajaya, Malaysia 36 36 Evaluation Quality Criteria Evaluation Quality Criteria Relevance (overall) Relevance (overall) Efficiency (activities, outputs) Efficiency (activities, outputs) Effectiveness (outputs, outcome) Effectiveness (outputs, outcome) Impact (outcome, impact) Impact (outcome, impact) Sustainability (outcome, impact) Sustainability (outcome, impact)