The Logical Framework as an Implementation and Monitoring Tool RBEC Environment & Energy Practice Workshop Almaty, Kazakhstan. 6-9 October 2004 John Hough, UNDP GEF BD PTA

Reminder: The LogFrame is an Approach not a Matrix Methodology -including a set of tools- to structure and facilitate: Methodology -including a set of tools- to structure and facilitate: èproject planning èproject design èproject management èproject performance assessment

Benefits LFA contributes to: èstructured project design process- logical sequence ètransparency- clear objectives, side effects èparticipation- ownership, sustainability èconsistent project strategy èassessment of performance- indicators (ex-post & during implementation)

Basic Steps and Elements  Problem Analysis  Stakeholder Analysis  Objectives Analysis  Analysis of Alternatives  Project Planning  Project Planning Matrix (PPM) (the “logframe”)

Problem Analysis Establishing “cause and effect” relationships – a “problem tree” Establishing “cause and effect” relationships – a “problem tree” “lack of the solution is not the root cause of the problem”! “lack of the solution is not the root cause of the problem”! Identifying “lack of knowledge” as the problem means that the solution is already pre-determined: ie. “provide knowledge” Identifying “lack of knowledge” as the problem means that the solution is already pre-determined: ie. “provide knowledge” Getting people to focus on what they need to do vs. what they want to do is often the biggest challenge in project development Getting people to focus on what they need to do vs. what they want to do is often the biggest challenge in project development Solution Driven Analysis often leads to solving the wrong problem Solution Driven Analysis often leads to solving the wrong problem

Lessons learned 1. Doing “good work” or “achieving impact”? “achieving impact”? 2. “Seeing the wood for the trees”

è Problem Analysis è Stakeholder Analysis

Stakeholder Analysis Problem Analysis cannot be done without Stakeholder Consultation. Problem Analysis cannot be done without Stakeholder Consultation. Every stakeholder views the problem from a different angle. Every stakeholder views the problem from a different angle. Problem analysis and stakeholder identification and analysis are iterative processes, progress in one almost always means returning to the other. Problem analysis and stakeholder identification and analysis are iterative processes, progress in one almost always means returning to the other.

è Problem Analysis è Stakeholder Analysis è Objectives Analysis

Objectives Analysis What is the project “going after”? What is the project “going after”? What are the indicators? What are the indicators?

è Problem Analysis è Stakeholder Analysis è Objectives Analysis è Alternative Analysis

Alternative Analysis Systematic search for the best project approach. Systematic search for the best project approach.  What outcomes are required to reach the objective?  How best to reach each outcome?  What outputs are required to reach each outcome?  What activities are required to achieve each output?  Set up criteria for assessment of alternatives, such as: Ü resources available Ü political feasibility Ü social impact

Writing the Objective TreeObjective Outcome 1 Outcome 2 Outcome 3

Fundamental Project Design Outcome 1 + Outcome 2 + Outcome 3 = Objective

Lesson Learned there should be no spare outcomes there should be no spare outcomes nor should there be any outcomes that are not essential for the achievement of the objective nor should there be any outcomes that are not essential for the achievement of the objective

In the logical logframe matrix we simply list the outcomes vertically Objective = Outcome 1 + Outcome 2 + Outcome 3

Assumptions  Conditions that are necessary for the success of the project, but which are not under the direct influence of the project.  Assess conditions according to importance and probability  Need to be monitored / risks L Pay attention to “killer assumptions” (= need to re-design project)

Assumptions vs. Risks Assumptions tend to be positive Assumptions tend to be positive eg. “a supportive piece of legislation is passed” Risks tend to negative Risks tend to negative eg. “increased pressure on a protected area as a consequence of a resettlement programme” Assumptions can be formulated negatively as risks, and vice versa – risks as assumptions Assumptions can be formulated negatively as risks, and vice versa – risks as assumptions Assumptions are generally identified during project design Assumptions are generally identified during project design Risks often appear during project implementation Risks often appear during project implementation

Converting Assumptions to Outcomes through Cofinancing If a condition required through an assumption can be brought under the influence of the project, then it becomes a project outcome. If a condition required through an assumption can be brought under the influence of the project, then it becomes a project outcome. The costs of achieving that outcome would count as co-financing The costs of achieving that outcome would count as co-financing

Project Objective Outcome 1 Outcome 2 (Cofinanced) Assumption Combining Outcomes and Assumptions leads to the Objective

Listing these vertically in a logical logframe matrix we get: Objective Objective = Outcome 1 = Outcome 1 + Outcome 2 + Outcome 2 + Outcome 3 + Outcome 3 + Assumption 1 + Assumption 1 + Assumption 2 + Assumption 2

Project Objective Outcome 1 OutputOutput Outcome 2 OutputOutput Outcome 3 OutputOutput From Objectives to Outcomes to Outputs

Similarly these are written vertically: Outcome 1 Outcome 1 = Output 1 = Output 1 + Output 2 + Output 2 + Output 3 + Output 3 + there may be assumptions at this level too! + there may be assumptions at this level too!

ProjectObjective Outcome 1 (GEF Financed) Output Activity Activity Activity Output Activity Activity Outcome 2 (Cofinanced) Output Activity Activity Output Activity Input Assumption From Objectives to Outcomes to Outputs to Activities

3. B asic Steps and Elements Planning Phase Project Planning Matrix (PPM )

ie. the logframe matrix combines the vertical and horizontal logic Objective Objective = Outcomes Assumptions = Outcomes Assumptions = Outputs Assumptions = Outputs Assumptions = Activities Assumptions = Activities Assumptions

3. B asic Steps and Elements Planning Phase Project Planning Matrix (PPM )

Project Planning Matrix (PPM ) Reading /Interpreting the PPM

Project Planning or “LogFrame” Matrix is a “Summary” of the Project èWHY the project is carried out (development objective, immediate objectives) èWHAT the project is supposed to produce (outputs) èHOW the project is going to achieve the outputs (activities) èHOW the success of the project can be measured (indicators) èWHERE the data can be found (means of verification) èWHICH external factors influence the project (assumptions) èWHICH inputs are required for the project (inputs/budget)

In a logframe we are not very interested in activities Activities are the means to an end Activities are the means to an end We are interested in “ends” or “impacts” We are interested in “ends” or “impacts” Summarize the activities in the logframe Summarize the activities in the logframe Overloading the logframe with activities is confusing, and also a waste of effort since they are likely to change in the light of project circumstances Overloading the logframe with activities is confusing, and also a waste of effort since they are likely to change in the light of project circumstances Activities are detailed in a project management annual activity workplan Activities are detailed in a project management annual activity workplan

Lesson learned GEF Projects tend to be “overdesigned” - They place far too much emphasis on “activities” - There is too much emphasis on measuring or counting outputs and activities

GEF Strategic Business Plan Directions and Targets (GEF/C.21/ Inf.11) The SP’s are what we are “going after” GEF Strategic Priority / Target GEF Strategic Priority / Target Project Objective / Target Project Objective / Target Project Outcomes / sub-Targets Project Outcomes / sub-Targets Review the impact indicators associated with these Review the impact indicators associated with these

A word on terminology Development Goal = what the project contributes to, but does not on its own achieve Project Objective = what the project is accountable for delivering Project Outcomes = the constituent elements of a project. The sum of the project outcomes = the project objective

Project targets are rolled up to achieve the SP targets SP1.Target 2: x (y%) countries show improvements in management effectiveness (policy, legislation, capacity, budgets) = Improvements in country 1 + Improvements in country 2 + etc etc

Putting it all together MDG 7 GEF Achievements Convention Goals UNDAF Outcomes GEF 3 Outcomes SRF/MYFF Outcomes Strategic Priority Targets = (Development Goal) = SRF/MYFF Outputs CP / CPAP Outputs Project Objective Project Outcomes Project Outputs Project Activities

Traditional Logframe Table Goals/Objectives/OutcomesKey Performance Indicator Verification Means/Data Collection Strategy Assumptions or Risks Increase protected areas of biodiversity in target region from X% in Year 1 to Y% by Year 2 % of target region protected Reduce CO2 emissions from X in Year 1 to Y by Year 2 Reduction in CO2 emissions

Results Measurement Framework Goals/Objectives/ Outcomes Key Performance Indicator Baseline (Year 1) Target (Year 2) Target (Year 3) Target (end of project) Verification Means/Data Collection Strategy Assumptions or Risks

ie. the Traditional Logframe Matrix and the Results Measurement Framework are easily combined Goals/Objectives/Outc omes Key Performance Indicator Baseline (Year 1) Target (Year 2) Target (Year 3) Verification Means/Data Collection Strategy Assumptions or Risks Increase protected areas of biodiversity in target region from X% in Year 1 to Y% by Year 2 % of target region protected X%Y% Reduce CO2 emissions from X in Year 1 to Y by Year 2 Reduction in CO2 emissions XY

A more objective PIR / APR? Goals/ Objectives/ Outcomes/ Assumptions & Risks Key Performance Indicator Baseline (Year 1) Target (Year 2) Actual Level Achieved (Year 2) Target (Year x) Actual Level Achieved (Year x) Rating (HS, S, PS, U) Excuses offered Increase protected areas of biodiversity in target region from X% in Year 1 to Y% by Year 2 % of target region protected X%Y%Z%? Reduce CO2 emissions from X in Year 1 to Y by Year 2 Reduction in CO2 emissions XYZ?

Using the logframe as an implementation and monitoring tool “Seeing the forest for the trees” Focuses on targets and impacts, not activities or outputs Focuses on targets and impacts, not activities or outputs Enables us to revisit the “alternatives” and adjust the activities or outputs on a regular basis Enables us to revisit the “alternatives” and adjust the activities or outputs on a regular basis Adaptive management Adaptive management

Putting it all together MDG 7 GEF Achievements Convention Outcomes UNDAF Outcomes GEF 3 Outcomes CP/SRF/MYFF Outcomes Strategic Priority Targets = (Development Goal) = CP/SRF/MYFF Outputs Project Objective Project Outcomes Project Outputs Project Activities Project Inputs

Indicators of What? Level of Objective What it is ExamplesIndicators Objective Changes / Impacts Biodiversity conserved Impact Outcomes Attitudes changed Institutions changed Outputs Products / Processes Capacitated people Products / Process Activities Workshops held People trained Inputs $ spent Dollars spent Eguipment supplied Delivery

Convergence: outcomes and indicators StatePressureResponseOutputActivities Development Goal Marine Biodiversity in Chile Fish Populations Fishing Intensity Area of MUMPA’s Regulations Demarcation Staffing Decision Making Financial Tools WorkshopsTraining Disburseme nt Rates Project Objective Increased Fish Populations Project Outcomes Reduced Fishing Intensity OutputsMUMPA’s ActivitiesRegulationsDemarcationStaffing Decision Making Financial Tools

Scaling Objectives Chile Marine Biodiversity Development Goal MUMPA’s Project Objective Development Goal Legal Gazettement of MUMPA’s Outcome Project Objective Development Goal LegislationOutputOutcome Project Objective Development Goal Legal Drafting ActivityOutputOutcome Project Objective Train lawyers InputActivityOutputOutcome

Objectives of Alternative Projects: Reduced Fishing Intensity Reduced Fishing Intensity Increased Fish Populations Increased Fish Populations MUMPA’s MUMPA’s Regulations Regulations Demarcation Demarcation Staffing Staffing Decision Making Decision Making Financial Tools Financial Tools

Indicators of What? Level of Objective What it is ExamplesIndicators Objective Changes / Impacts Biodiversity conserved Impact Outcomes Attitudes changed Institutions changed Outputs Products / Processes Capacitated people Products / Process Activities Workshops held People trained Inputs $ spent Dollars spent Eguipment supplied Delivery

Good Indicators Indicator is a quantitative or qualitative variable or parameter that provides a simple and reliable basis for assessing change or performance (the objective or outcome). Indicator is a quantitative or qualitative variable or parameter that provides a simple and reliable basis for assessing change or performance (the objective or outcome). Verifier. Variable or parameter that retains the essential meaning of the objective and that can be measured on the ground. Verifier. Variable or parameter that retains the essential meaning of the objective and that can be measured on the ground. Qualifier. Contribute to describe the verifier allowing to respond to: what, when, where, who Qualifier. Contribute to describe the verifier allowing to respond to: what, when, where, who Targets/ Baseline - values associated to the verifiers that define how much the objective is planned/expected to be achieved compared to the situation prior to project start. Intermediate targets (milestones) allow assessment of progress. Targets/ Baseline - values associated to the verifiers that define how much the objective is planned/expected to be achieved compared to the situation prior to project start. Intermediate targets (milestones) allow assessment of progress.

Example of a Good Indicator Objective: “Conservation of keystone species” Indicator: At the end of the fifth year (qualifier: when) At the end of the fifth year (qualifier: when) the population sizes (qualifier: what) the population sizes (qualifier: what) of species A, B and C (verifier) of species A, B and C (verifier) within the boundaries of the park (qualifier: where) within the boundaries of the park (qualifier: where) have remained constant (target) have remained constant (target) compared to X number at project-start level (baseline) compared to X number at project-start level (baseline)

Lesson Learned - Procrastination Project designers defer measuring indicators to the inception phase Project designers defer measuring indicators to the inception phase The inception phase defers measuring indicators to project implementation The inception phase defers measuring indicators to project implementation Project implementation defers measuring indicators to the mid-term evaluation Project implementation defers measuring indicators to the mid-term evaluation The mid-term evaluation defers measuring indicators to the second half of project implementation The mid-term evaluation defers measuring indicators to the second half of project implementation Project implementation defers measuring indicators to the final evaluation Project implementation defers measuring indicators to the final evaluation The final evaluators say “we cannot prove this project has achieved anything” The final evaluators say “we cannot prove this project has achieved anything”