Logical Framework Handbook - World Bank

7/30/2019 Logical Framework Handbook - World Bank

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The LogFrame HandbookA Logical Framework Approach to Project Cycle Management

The World Bank1818 H Street, NW

Washington DC, 20433USA


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Table of Contents ..............................................................................................................................................3

The Logical Framework.....................................................................................................................................5

Foreword ............................................................................................................................................................1

Organization of the Handbook ..........................................................................................................................3

The CAS, CDF & the Portfolio ..........................................................................................................................7

Primacy of Point-of-View...................................................................................................................................9

Logical Framework ..........................................................................................................................................13

CAS Goal .........................................................................................................................................................19

Development Objective ...................................................................................................................................21

Outputs.............................................................................................................................................................25

Component Activities.......................................................................................................................................33

Performance Indicators ...................................................................................................................................37

Monitoring & Evaluation ..................................................................................................................................49

Assumptions and Risks...................................................................................................................................53

Manageable Interest........................................................................................................................................63

Adaptable Lending: APL & LIL........................................................................................................................67

Design Quali ty Review ....................................................................................................................................75

The Structural Adjustment Loan .....................................................................................................................79

Logframe Tips..................................................................................................................................................81

Sample Logframes...........................................................................................................................................85


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6 DesignDesign

ImplementationMonitoring

ImplementationMonitoringEvaluationEvaluation

Cause& EffectPerformance

IndicatorsLearning System Assumptions

Goal

Purpose

Outputs

Activities


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Convergent Model Divergent Model


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Goodgovernance /anti-corruption/ securitymechanisms

Goodgovernance /anti-corruption/ securitymechanisms

Stableeconomicfoundationestablished(PEAP 1)

Stableeconomicfoundationestablished(PEAP 1)

Financialsectorregulated andstabilized

Financialsectorregulated andstabilized

Agriculturalgrowthmechanismsimplemented

Agriculturalgrowthmechanismsimplemented

Accessiblequality healthservicesdelivered

Accessiblequality healthservicesdelivered

Accessiblequalityeducationdelivered

Accessiblequalityeducationdelivered

Rapid growthratesmaintained

Rapid growthratesmaintained

Povertyreduction

Povertyreduction

Exportgrowthmechanismsimplemented

Exportgrowthmechanismsimplemented

Privateinvestmentstimulated

Privateinvestmentstimulated

Governmentdecentral.policyimplemented

Governmentdecentral.policyimplemented

External debtburdenstabilized




Gender-basedaffirmativeactionstrategiesimplemented

Gender-basedaffirmativeactionstrategiesimplemented

Environmentalmanagementimproved

Environmentalmanagementimproved


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Improved employment andincome status of rural and urban

population

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Ratepayers use reliableenvironmentally benign power

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Install new equipment, designnew systems

Goal

D.O.

Outputs

Component

Activities

Power SectorMinister

Goal

D.O.

Outputs

ComponentActivities

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Use the Logframe collaboratively to:

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Cause & EffectPerformance

IndicatorsMonitoring &Evaluation Assumptions

D.O. to Goal

Output to Purpose

Activity to Output

D.O.

Outputs

Component Activities

4 8 12 16

3 7 11 15

2 6 10 14

Goal to Super GoalCAS Goal

1 5 9 13

Inputs


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NarrativeSummary

PerformanceIndicators

M&E /Supervision

ImportantAssumptions

CAS Goal: (Goal to Super Goal)

Higher objective to which

this project, along with

others, will contribute.

Indicators (increasingly

standardized) to measure

program performance.

The program evaluation

system.

Risk regarding strategic

impact.

D.O. Impact (D.O. to CAS Goal)

The impact of this project.The change in beneficiary

behavior, systems or

institutional performance

because of the combined

output and key

assumptions.

Measures that describe theaccomplishment of the

PDO The value, benefit

and return on investment.

People, events, processes,sources of data for

organizing the project

evaluation system.

Risk regarding programlevel impact.

Outputs (Output to D.O.)

The project intervention.

vWhat the project can be

held accountable for

producing.

Indicators that measure the

value added of

implementation of the

components.

People, events, processes,

sources of data

supervision and monitoring

system for project

implementation.

Risk regarding design

effectiveness.

Components Input / Resources (Component to Output)

The main component

clusters that must be

undertaken in order to

accomplish the Outputs.

Budget by component.

Monetary, physical, &

human resources required

to produce the Outputs.

People, events, processes,

sources of data and

monitoring system for

project design.

Risk regarding

implementation and

efficiency.


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Advantages and Limitations of Using the Logical Framework

Advantages Limitations

It helps you ask the right questions.

It guides systematic and logical analysis of the

key interrelated elements that constitute a

well-designed project.

It defines linkages between the project and

external factors.

It facilitates common understanding and better

communication among decision-makers

managers and other parties involved in the

project.

It prepares us for replication of successful

results.

It ensures continuity of approach when the

original project staff is replaced.

It provides a shared methodology &

terminology among governments, donor

agencies, contractors and clients.

Widespread use of the Logical Framework

format makes it easier to undertake both

sector studies and comparative studies in

general.

Organizations may promote a blueprint, rigid

or inflexible approach, making the Logframe a

straitjacket to creativity and innovation.

The strong focus on results can miss the

opportunity to define and improve processes.

The Logframe is only one of several tools to

be used during project preparation,

implementation and evaluation, and it does not

replace targetgroup analysis, time planning,

impact analysis etc.

The Logframe is a general analytic tool. It is

policy neutral on questions of income

distribution, employment opportunities, access

to resources, local participation cost and

feasibility of strategies and technology, or

effects on the environment.


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Summary of how the Logframe treats the critical project issues

Strategic rationale.CAS Goal to whichproject impact

Why we are doingProject. The realof the

What we hopeaccomplish.Value added.

How we will

TheRelationshi

The criticaland


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#Narrativ

SummaryPerformance

IndicatorsMonitoring &Evaluation

Assumptions,Risks

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Secondary school graduates increased

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Change in behavior

Agricultural production increased

Increased use of health services

Student enrollment & retention rates

increased

Change in System Performance

Increased use of renewable energy

Sustainable yield timber production

Change in Institutional Performance

More & better trained graduates produced

Increased business starts

Export volume increased

Single Development Objective:

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Development Objective

1. A managed system of protected,

productive and sustainable used

natural resources.

Performance Indicators

1.1 Forest resource indicators

1.2 Wetland indicators

1.3 Soil salinity indicators1.4 Marine indicators

1.5 Coastal area indicators

1.6 Bio-diversity indicators

1.7 Grazing indicators

1.8 Regulatory systems operation

indicators

Before

Development Objective

1. Forest resources preserved

2. Coastal areas preserved

3. Soil salinity decreased

4. Wetland area protected

5. Forest biodiversity stabilized

6. et al

Performance Indicators1.1 Forest resource indicators

2.1 Coastal areas protection indicators

3.1 Soil salinity indicators

4.1 Wetland area protection indicators

5.1 Bio-diversity indicators


28/112

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1. Efficient, low emission technology installed and operational

2. Strategic planning, forecasting and power sales systems installed and operational

3. Human Resources Development Program implemented

4. Policy framework improved and regulated

5. Power distribution systems decentralized through local retailers

6. Power management systems upgraded and operational

Transmission systems upgraded and expanded to other systems

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The sub-systems include Example

Shared Vision & Values, (the organization culture).

You may need an Output to redefine the overall vision and direction of

the organization.

Public Nation-wide Health Sector Vision development &

commitment process established

Organizational Strategy, (the mix of products and services, customer

expectations).

The strengthening or installation of an annual strategic planning

system may require an Output to describe how the management

system can be strengthened.

Annual collaborative Review, Strategic Planning and

Program development cycle established and operational.

Structures, (hierarchical, team-based, centralized, cross-functional, et

al). When centralizing or decentralizing organizational structures, use

an Output to define what the end result of the reorganization effort will

be.

Decentralized school management system implemented &

operational to District level.

Systems, procedures & key processes (e.g. the MIS, Personnel,

Planning, Financial, et al).

Most projects strengthen the capacity of key organizational systems to

improve performance for the customer. Use an Output to describe the

system improvement, systems integration, or systems strengthening

necessary.

Bio-diversity MIS system upgraded, integrated and

operational nation-wide.

Leadership style, (autocratic/collaborative leadership, decision

making, problem solving).

This Output defines how management decisions are made. Is the

current process inclusive, collaborative or autocratic? Describe how it

should be changed to improve performance.

Community-based social fund prioritization and decision

making process established in 85 participating communities.

Resources (staff skills & expertise; equipment; intellectual property in

technologies, methods, knowledge, et al). You may require an Outputto identify a specific method, approach, technique, process or

technology; orthe of infrastructure required to achieve impact. The

Output could be an existing technology or method, or describe the

R&D effort to generate it during the project.

Coral Reef community-based management approach

identified, validated and implemented in 4 provinces. Or,Accessible, technological responsive and gender appropriate

school facilities constructed and operational.

Staff, (the kind of people hired or required). You may also need an

Output that describes the staff you have and how you are going to

develop their skills to achieve and sustain the new performance.

Staff development program in new curriculum, pedagogical

methods and training technology implemented in the northern

districts.

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CAS GoalGraduates productivelyemployed.

Outputs

1.1 Curriculum improved

1.2 Policy & proceduresimplemented

1.3 Staff developmentprogram implemented

1.4 Schoolroom capacityincreased

More productive privatesector.

Development ObjectiveMore & better trainedstudents graduated fromsecondary schools.

Cause

Effect

Cause

Effect

Cause

Effect

Cause

Effect

Supplier

Customer

Supplier

Customer

Supplier

Customer

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Customer

Put a Face on Development

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BEFORE AFTER

Narrative Summary Narrative Summary

CAS Goal

1. Facilitation of corporate financial & operational

restructuring:

Strengthen legislation for effective

enterprise restructuring

Remove obstacles, develop incentives to

speed financial restructuring

Provide advice on the enabling environment

2. Improve the legal framework

CAS Goal

Increased economic growth (GDP) & development

(employment, income, et al)

D.O.

1. Strengthened policy and incentive framework

for restructuring

2. Facilitate workouts and reorganizations of

financially distressed companies3. Improve capital structure; positive change in

operating cash flow

4. Strengthened management capacity

D.O.

1. Restructured enterprises improved

performance as evidenced by increased

sales, increased production, etc. (leading

indicator as improvements in cash flow)

Outputs

1. Strengthen the institutional capacity

2. Upgraded legislation and revenue department

regulations

3. Increased number of restructuring agreements

4. Improved positive cash flows

5. Improved management capacity

Outputs

1. Sufficient incentive and regulatory structure

conducive to enterprise performance is in

place.

2. The ability of management to efficiently run

the enterprises is improved

3. Transition / restructuring strategies forenterprises are efficiently implemented.

4. Legal and regulatory framework for revenue

department upgraded.

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1 PGM established and PMSinstalled and operational.

Outputs

1.1Multi-level team establishedand PMG implementationsystem designed andoperational.

1.2Conflict Resolution and RiskMitigation processestablished.

1.3Ongoing performanceImprovement PlanningSystem operational.

Output Indicators

The New PMG Structure

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Output:

1. Agricultural Ministries strengthened.

Component Activities:

1.1 Institutional assessment

1.2 Reorganization

1.3 Training

1.4 Equipment

Why Only Five to Ten Components for Each Output?

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NarrativeSummary



Assumptions,Risks

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39/112

Link to Implementation Planning Tools6

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ProjectDescription


LearningSystem

Assumptions

COSOP Goal

ProjectObjective

Outputs

Activities

6 p v v v r h r u r h v t

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Performance of the industrial sector improved

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manufacturing value added or

manufacturing output growth orcapacity utilization in the industrial sector and/or

export volume

How Much Success?

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43/112

How Many Indicators?

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National headcount index

Public expenditure on health, education, et al

Access to safe water

Infant mortality rates

Weight for Height ratio

Immunization rates

Life expectancy at birth

Net primary school enrollment rates

Sustainable yields

Productivity per hectare

Export growth rates

Ratio private/total investment

Ratio private investment/GDP

Rural service penetration rates

Average transport costs

Ratio tonnage produce transported/time

Air quality index

et al

Constructing & Targeting Indicators

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Practical Indicators

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Basic IndicatorMore and better trained students graduate.

Add Quantity (how much)The number of graduates increased from 5,000 to14,000.

Add Quality (what kind of change)The number of graduates passing standard exams(40% female / 60% male) from lower income familiesin northwest districts increased from 5,000 to 14,000.

Add Time (by when)The number of graduates (40% female / 60% male)from lower income families in northwest districtsincreased from 5,000 to 14,000 per annum startingin year three of project.

Basic IndicatorRice yields of small farmers increased.

Add Quantity (how much)Rice yields of small farmers increased by xbushels (or from x to y).

Add Quality (what kind of change)Rice yields (of same quality as 199x harvest) ofsmall farmers (owning 3 hectares or less)increased by x bushels (or from x to y).

Add Time (by when)Rice yields (of same quality as 199x harvest) of

small farmers (owning 3 hectares or less)increased by x bushels (or from x to y) perannum starting in 199x harvest.


45/112

Leading and Process Indicators

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Proxy Indicators

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Case I: Sustainable timber productionmay not materialize for 25 years after the

start of the project. We might be able to

accept the height and survival rate of

seedlings at interim stages as a leading

indicator of long term impact.

\HDUVProject ImpactSustainabletimber production

Case II: Increased production of the

secondary school graduates will take

several years. Some promising process

or leading indicators might include:

increased female enrollment rates,

improved retention rates, increased

transition rates, reduced drop-out rates.0%

20%

40%

60%80%

100%

%

2000 2001 2002 2003

Year

Student Population Composition

Males

Females


46/112



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all citizens

all females

pregnant women

children under 5

Eastern Province small scale farmers etc.


47/112

Development Objective Level Indicators

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Small farmer agricultural

production increased from x to

y per annum

Private sector competitiveness

improved with x% increased

investment, y export sales, z

new business starts, et al, by x

date

Performance of the legal system improved with # increased cases of alternative dispute

resolution, reduction of case processing time from x to y, # cases processed per mth Environmentally friendly power system in operation in terms of Kw power provided to #

rate powers with lower emissions levels

Telecommunications sector reformed and liberalized with issuance of # additional

operators licenses, regulatory framework established

Transportation services improved with % reduction in delays of departures, % on time

arrivals, % reduction in passenger complaints


48/112



Add Leading Indicators to EOPI:

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Development Objective EOPI Performance Indicator

More, better trained, equitable mix of

students graduated from secondary school.

1.1 X# students (40% female / 60% male) from rural

communities graduate from secondary schools

in the northwest region per/annum with test

scores of a minimum of x%, by end of project.

Leading Indicators:

1.2 Female enrollment rates in year one

1.3 Decline in dropout rate in year two

1.4 Transition rates increased in year two

1.5 Improved test scores using new curriculum by

end year three.

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Outputs Performance Indicator

1. Fruit, vegetable and provision halls

constructed and operational.

1.1 A combined trading area of 12,700 square meters

connected to the public utilities infrastructure and

operational by 199x.1.2 Market has equivalent to 20 tons per square meter of

trading floor area.

2. Demand driven marketing and

infrastructure services developed and

provided.

2.1 Client driven marketing support* (see description) provided

by on-site consulting team of x# trained* (see description)

professionals responding to y level demand per week from

z date.

2.2 Infrastructure technical support services* (see description)

team established, operational and responding to demand

for x type services at y capacity levels from 200x.

3. Farmers association program designed

and implemented.

1.1 A pilot association scheme, designed, operational,

validated and plans developed, meeting x criteria,

operational by 199x and prepared to be multiplied by 199x.

1.2 Establishment of 20 community-based farmer associationsengaged in grading, packaging, and other market value

added related services by 199x.


50/112



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Lack of Independence

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Development Objective Performance Indicators

Improved performance of theForest Department

1. Improved work planning systems installed andoperational

2. Staff development program implemented

3. Forest management policy framework improved

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Increased # of bio-diverse hectares demarcated, protected with sustainable

cooperative forest management programs by end of 200x.

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Indicator?

Extension services improved.

Goals, DOs & Outputs

Agriculture productivityincreased.

Roads & bridges rehabilitated.Transport services improved.

Improved access to healthservices.

Health status improved.

Institutional capacity built.School system improved.

% of unemployed trained.Unemployment reduced.

Vehicle maintenance costsreduced.

Road network upgraded,improved.

Infrastructure improved.Village funds established.

Farmers productivityincreased.

Credit program implemented.

Better Indicator

# tons; quality of sorghumproduction.X days of on-time bus service

Infant mortality rates reducedfrom x to y

# and quality of female graduatesfrom secondary school.

Unemployment rate reducedfrom x to y.

# village funds meetingcriteria established andsubmitting proposals

# small farmer loans at x$volume processed.

# kilometers of class A roadsconstructed and maintained.


51/112

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Performance IndicatorsNarrative Summary

Components:

1. Conduct start-up activities

2. Conduct school mappingexercise

3. Carry out construction

5. Carry out expansion

Inputs:

TA $ 230,000

Personnel 430,000

Equipment 535,000

Training 205,000

PIU 413,000


52/112



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Evaluation as a Monitoring Function

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PROGRAM level impact::

is the portfolio working?

Is the strategy effective?

PROJECT level impact:

is the project working?

is the benefit worth it?

is it sustainable?

MANAGEMENT level:

producing results? can it be improved?

is there a better way?

OPERATIONAL level:

Gantt Chart on schedule?

Disbursement on schedule?

Changing assumptions?


56/112

0RQLWRULQJ(YDOXDWLRQ


Performance Monitoring Plan

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Setting Triggers

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Example: Coral Reef Economic Development

Narrative Summary Performance Indicators

GoalCoral reef system in productive useon a sustainable basis.

1. Coral Reef Mortality Index (CMI) (rehabilitation indicator)2. Butterfly fish counts for existing species (bio-diversity indicator)3. Average income per capita of target groups in coastalcommunities (welfare indicator)4. Average productivity of target species such as groupers (catchper unit of effort) (sustainable use indicator)

D.O.Communities comply with nationaland regional environmentalregulations for preservation ofnational coral reef system.

1. 60% of community members in pilot areas are satisfied withthe regulations

2. Compliance rates in pilot sites are > than 10% of the baselinefigure

3. 10% decrease in the number of infringements ( reported)

Outputs:The consistent and effectiveenforcement of national and regionallevel regulations is improved

1. 90% of infringements lead to proper enforcement by nationaland regional authorities.

2. Viable framework for a national coral reef system adoptedwithin 8 months of development3. Community-based management pilots evaluated as workablemodels.

Example: Education Project

Narrative Summary Performance Indicators Baseline Phase II triggers

D.O.

Performance of the

Education System

improved

1. Completion rates

2. Repetition rates

3. Dropout rates

4. Illiteracy rates

55%

4%

4.5%

24%

63%

3%

3.5%

22%


58/112

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An Annual Learning System Calendar

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#Summary



Assumptions,Risks

AND

THEN

IF

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61/112

Assumptions Step #1: Identify Key, Important Assumptions

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Levels of Assumptions

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Project DescriptionNarrative Summary Assumptions, RisksAssumptions, Risks

Project Objective

Increased rice production.

D.O.

Increased rice production.

Outputs

1. High-yield varietiesintroduced.

2. Fertilizer introduced.

3. Extension programdelivered.

4. Small farmer credit programimplemented.

Outputs

1. High-yield varietiesintroduced.

2. Fertilizer introduced.3. Extension program

delivered.

4. Small farmer credit programimplemented.

24 inches of rain by June 30.24 inches of rain by June 30.

ANDIF

THEN


62/112

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Assumptions Step #2: Refine General Statements

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"administrative capacity"

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"Administrative capacity building initiatives for the rural banking system are

implemented successfully and institutional performance is improved."

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"Rural banks can adequately assess the soundness of potential borrowers and the

viability of proposed investments by June 200X, the time the credit Output is

operational."

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Local/national market condition/prices might read the area irrigated is not adversely

affected by distortions in energy pricing

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i r h q u r v h i v y v s r q v r r i E r ! Y

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No drought should be improved to read "10 inches of rainfall between May and

October."

"Adequate funding" should be improved to read "3 million dollars counterpart funding

supplied by May 1994."

"Food supplies available" should be improved to read "Agencies maintain 6 tons per

month rice supply to Site 2

Assumptions Step #3: Analyze their Importance and Probability Rate the Risk

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Assumption Matrix

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Sample Rating Scale

High (76%-100%)

Substantial (51%-75%)

Moderate (26%-50%)

Low (0%-25%)

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Assumptions Step #4: Develop/Implement Mitigation Strategy

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A v p h y q r s v p v r q p r q i # i r q s w r p r h !

S h v t )

8 v v p h y v i h v h y $ & $

Q i h i v y v i h v h y $ & $

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h r h v

There are six management alternatives to Killer Assumptions and high risk

situations:

1. Change design: add outputs or Components.

2. Add a new project.

3. Abandon project (Killer Assumptions).

4. Monitor & use influence.

5. Take out insurance (performance bond, etc.)

6. Do nothing: risk/benefit from continuing.

Decide how to proceed and/or deflect (e.g. contract out) risk.


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Risk Analysis Work Table

Assumptions PerformanceIndicators

Criticality

(1-4)

Probability

(1-4)

PossibleKiller (Y/N)

Mitigation Strategy

Indicator 1 for A124 rainfall by June30 per annum.

#4/High #4/High Y

S*V*P

Indicator 2 for A1

Assumption 1

(A1) Adequate

rainfall.

Indicator 3 for A1

Be prepared to

switch to drought

resistant varieties if

trend in rainfall

drops below 99

levels.

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Assumptions &Risk

Narrative Summary

D.O.:Maize productionincreased.

Outputs:

1. Extension services improved /delivered.

2. Credit program implemented.

3. Farm inputs provided.

4. High yield varietyseeds planted.

1 Adequate Rainfall

2. Administrative capacity


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Assumptions & Risk Step #5: Manage Assumptions during Implementation

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Assumption Performance Analysis Work Table

Assumptions

%Completed

to Date PlannedPerformance

Gap

Driving/RestrainingForces +/

Impact(1-5)

Possibilityof Solution

(1-5) Total Actions Required

DO to Goal1

2

(see forcefield model) Seeimpactscalebelow

Seeinfluencescale below

Output to DO

1

2

Components toOutputs

1

2

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Logical Framework Handbook - World Bank

Documents

Transcript of Logical Framework Handbook - World Bank