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Results-Based Management:

Logical Framework Approach

UNITED NATIONS STATISTICAL INSTITUTE FOR ASIA & THE PACIFIC

(SIAP)CHIBA, JAPAN

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

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

implementing, monitoring, and evaluating projects/ implementing, monitoring, and evaluating projects/

programmes. programmes.

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

Features of LFAFeatures of LFA : :

• stakeholder involvementstakeholder involvement

• needs-based approachneeds-based approach

• logical intervention approachlogical intervention approach

• framework for assessing relevance, framework for assessing relevance, feasibility and sustainabilityfeasibility and sustainability

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The Logical Framework The Logical Framework

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

• results-oriented – not activity driven

• logically sets objectives and their causal relationships

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

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

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Main steps:Main steps:

• Stakeholder AnalysisStakeholder Analysis

• SWOT AnalysisSWOT Analysis

• Problem Tree AnalysisProblem Tree Analysis

• Objective Tree AnalysisObjective Tree Analysis

• Logical Framework MatrixLogical Framework Matrix

• Monitoring and evaluationMonitoring and evaluation

LFA Key FeaturesLFA Key Features

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

Stakeholder AnalysisStakeholder Analysis

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Purpose:Purpose: To identify: To identify:

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

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

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

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

Stakeholder AnalysisStakeholder Analysis

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SWOT Analysis (i)SWOT Analysis (i)

Purpose:Purpose:• To assess the performance and capacity of To assess the performance and capacity of

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

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

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

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

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

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

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

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

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Purpose:Purpose:

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

Output:Output:

problem tree with cause and effectsproblem tree with cause and effects

Problem Tree AnalysisProblem Tree Analysis

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Steps in Undertaking Steps in Undertaking Problem Tree Problem Tree

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

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

3.3. Develop the problem tree:Develop the problem tree:

a)a) Select a focal problem from the list and relate Select a focal problem from the list and relate other problems to the focal problem.other problems to the focal problem.

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

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

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Problem Tree

CAUSE

EFFECT

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

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

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

• Top of the tree is the end that is desiredTop 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.

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Objectives Tree Objectives Tree

Ends

Means

*

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

objective treeobjective tree

PROBLEM TREEPROBLEM TREE OBJECTIVE TREEOBJECTIVE TREE • Focal problem Focal problem Project Project

PurposePurpose

• EffectsEffects OverallOverall Objectives Objectives

• CausesCauses ResultsResults

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

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

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

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

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

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

2. EFFECTIVENESS: the lower level objectives of the 2. EFFECTIVENESS: the lower level objectives of the strategy will contribute to achievement of thestrategy will contribute to achievement of the project purposeproject 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 policies4. CONSISTENT with development policies

5. SUSTAINABILITY of the project5. SUSTAINABILITY of the project

6. ASSUMPTIONS and RISKS6. ASSUMPTIONS and RISKS

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The Logframe MatrixThe Logframe Matrix

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

matrix.matrix.

• The Logical Framework Matrix is used to The Logical Framework Matrix is used to

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

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

logical way. logical way.

• The basic Logframe matrix contains 16 cells The basic Logframe matrix contains 16 cells

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

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

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The Logical Framework Matrix

Objectives & activities

Purpose/ (Outcome)

Goal (Impact)

Outputs

ActivitiesMeans

IndicatorsMeans of

verificationAssumptions

What needs to be fulfilled

before activities can

start

Pre-conditions

Cost

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

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

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

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

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

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

• If an assumption is unlikely to occur: If an assumption is unlikely to occur: Killer assumption – abandon projectKiller assumption – abandon project

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

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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.

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The logical frameworkThe logical framework

Outcome

Impact

Outputs

Activities

Assumptions

Assumptions

Assumptions

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

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

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

– QuantityQuantity– QualityQuality– TimeTime

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Indicators (ii)Indicators (ii)

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Means of VerificationMeans of Verification

• Tools or means to obtain the information required by the indicators• Include:

– project documents– field verification– ad-hoc studies

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Results Chain & Logical Framework Matrix

RBM

Result

Result

Result

Goal/Impact

Result

Purpose/Outcome

Output

Activities

LFA

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Monitoring and Monitoring and EvaluationEvaluation

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

transparencytransparency• Provides information for effective Provides information for effective

managementmanagement• Helps determine what works well and Helps determine what works well and

what requires improvementwhat requires improvement• Builds knowledge Builds knowledge

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Purpose of Monitoring Purpose of Monitoring and Evaluationand 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 implementationProject implementation– Project progressProject progress– Project impact and effectsProject impact and effects– Project environmentProject environment

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Monitoring (i) Monitoring (i)

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

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

planplan• Takes place at project levelTakes place at project level• Is the responsibility of the project Is the responsibility of the project

managementmanagement• Is based on the indicators defined in the Is based on the indicators defined in the

logical frameworklogical framework

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Monitoring Monitoring ResponsibilityResponsibility

• Project ManagementProject Management– ActivitiesActivities– Output indicatorsOutput indicators– Early outcome indicatorsEarly outcome indicators

• Project Target GroupProject Target Group– Outcome indicatorsOutcome indicators– Impact indicatorsImpact indicators

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EvaluationEvaluation• 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 projectsgoing or completed projects

• Questions the validity of existing planningQuestions the validity of existing planning• Is related to the impact of a projectIs related to the impact of a project• Opens the mind for strategic adjustmentsOpens the mind for strategic adjustments

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Evaluation Quality Evaluation Quality CriteriaCriteria

• 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)