Capacity Building

in Project Identification,
Formulation and Design

Version: February 2011

© EIF 2011
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This training resource was developed for the Enhanced Integrated Framework by the Centre 
for International Development and Training (CIDT) at the University of Wolverhampton, UK.  
The methodology presented in this document was piloted by the EIF Executive Secretariat, in 
collaboration with the Standards and Trade Development Facility (STDF), in selected Least 
Developed Countries in 2011.     
 
The interpretations and conclusions in this document are entirely those of the authors.  They 
do not necessarily represent the view of the Enhanced Integrated Framework, or any of its 
partner agencies or donors.  
 
This document may be used and reproduced for non‐commercial purposes.  Commercial 
uses are prohibited.  The use of this document for training purposes is encouraged, and the 
EIF Secretariat would be grateful to received feedback on where and how this training 
resource is applied.  For further information, contact the EIF Executive Secretariat by email 
([email protected]). 

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CONTENTS
INTRODUCTION ........................................................................................................ 3
1. STAKEHOLDER ANALYSIS; WHO ARE WE? .................................................. 6
1.1 Why do we involve others? .......................................................................... 6
1.2 Who do we need to involve? ........................................................................ 7
1.3 Undertaking a Stakeholder Analysis............................................................. 8
1.4 Where to get more information on stakeholder analysis:- ............................ 9
1.5 A note on the Organic and Fairtrade Dried Fruit (OFDF) project case study 9
2. PROBLEM ANALYSYS; WHERE ARE WE NOW? ..........................................12
2.1 Identifying Problems and Possibilities (the current situation) ......................12
2.2 Developing a Problem Tree .........................................................................12
3. OBJECTIVES AND OPTIONS ANALYSIS; WHERE DO WE WANT TO BE? .15
3.1 Looking forward ...........................................................................................15
3.2 Developing an Objectives/Vision Tree.........................................................15
3.3 Choosing between options ..........................................................................17
3.4 Linking with the logframe .............................................................................18
4. OBJECTIVES DESIGN; HOW WILL WE GET THERE? ...................................19
4.1 Identifying our objectives .............................................................................19
4.2 The Objectives Column in the Logical Framework ......................................21
4.3 Checklist - Objectives ..................................................................................23
5. RISK MANAGEMENT; WHAT MAY STOP US GETTING THERE? .................24
5.1 Managing Risk ............................................................................................24
5.2 The Key Questions ......................................................................................25
5.3 Undertaking a Risk Analysis ........................................................................25
5.4 The Assumptions Column in the Logframe .................................................28
5.5 Checklist – Risks and Assumptions.............................................................31
6. HOW WILL WE KNOW IF WE’VE GOT THERE? .............................................32
6.1 Laying the foundations for Monitoring, Review and Evaluation (M,R&E) ....32
6.2 Terms and principles ...................................................................................32
6.3 The process in brief .....................................................................................34
6.4 Constructing indicators and targets .............................................................35
6.5 Types of Indicators ......................................................................................36
6.6 Identifying the Data Sources, the evidence .................................................38
6.7 Checklist – Indicators and Data Sources.....................................................40
7. RESOURCE PLANNING; WHAT DO WE NEED TO GET THERE? .................45
7.1 Preparing a Project Work Plan ....................................................................45
7.2 Preparing a Project Budget .........................................................................45
8. CONCLUSIONS .................................................................................................48
8.1 Checking the Logical Framework ................................................................48
8.2 Using the Logical Framework ......................................................................50
8.3 Nesting the Framework ...............................................................................50
8.4 Useful References .......................................................................................50

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APPENDIX A: GLOSSARY .....................................................................................51

APPENDIX B: PROJECT MANAGEMENT..............................................................54
APPENDIX C: SUMMARY OF THE LOGICAL FRAMEWORK ..............................58
APPENDIX D: STRENGTHS AND WEAKNESSES OF THE LOGFRAME ............60
APPENDIX E: CATEGORIES OF OUTPUTS ..........................................................65
APPENDIX F: ASSESSING PROJECT PERFORMANCE ......................................66
APPENDIX G: PORTFOLIOS OF LOGFRAMES ....................................................73
APPENDIX H: NESTING OF LOGICAL FRAMEWORKS .......................................74
APPENDIX I: THE LOGFRAME AS A COMMUNICATION TOOL ..........................76
APPENDIX J: REPORTING USING THE LOGFRAME; AN EXAMPLE .................77
APPENDIX K: AN EXAMPLE OF A SIMPLE LOGFRAME .....................................81
APPENDIX J: EXAMPLES OF LOGFRAMES.........................................................82

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INTRODUCTION
Project and Programme management and planning can be difficult at the best of
times. When the project or programme is one that involves a whole range of partners
and agencies, it can be made even more so.1 The “Programme and Project Thinking
Tools” introduced in this handbook have evolved over several decades to support
teams undergoing “project” work.

The term ‘project’ can be confusing. In essence a project is set of activities aimed at
achieving clearly specified objectives within a defined time period and with a defined
budget. The “Project Thinking Tools” can be applied at different levels of planning
and decision-making. Essentially they can be used, with a relatively small project, a
higher-level programme or indeed a whole organisation. In this handbook, the term
‘project’ is intended to include these higher levels.

The process of developing the key “thinking tool” - a logical framework (logframe) -
for a project includes the development with key partners of thorough and clear plans2.
The logical framework can help to organise the thinking within the project and to
guide the purpose, with built-in mechanisms for minimising risks and monitoring,
reviewing and evaluating progress. Completed logical frameworks form the basis of
a project plan and can be used as a reference tool for on-going reporting.

The thinking tool approach is divided into two phases of analysis and design.

The Project “Thinking Tool Approach”

Stakeholder analysis – identify who has an interest

and who needs to be involved

Problem analysis – identify key problems, causes

and opportunities; determine causes and effects

Objectives analysis – identify

solutions

Options analysis – identify and

apply criteria to agree strategy

Developing the logframe –

define project structure, logic, risk and
performance management

Activity scheduling – set a

workplan and assigning responsibility

Resourcing – determine human

and material inputs

1
For more background on projects and project management, see Appendix B
2
For more information on the strengths and weaknesses of the logframe approach, see Appendix D

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Put it another way, the “Project Thinking Tool” process helps guide the planning of a
journey from where we are now, HERE, to where we want to go, THERE. It works
through 7 core questions. This guidebook devotes a chapter to each question.

HERE 1 - Who are ‘we’?

Who has an interest? Who should be involved?

2 - Where are we now?

What are the problems? What are the possibilities?

3 - Where do we want to be?

What are the options? What are our objectives?

4 - How will we get there?

What activities do we have to undertake?

5 - What may stop us getting there?

What are the risks and how can we manage them?
What assumptions are we making?

6 - How will we know if we’ve got there?

What are our indicators and targets?
What evidence do we need?

7 – What do we need to get there?

What detailed activities and resources are needed?

THERE

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Figure 1: The Programme or Project Cycle

Strategic Objectives
Vision/ Mission
Plans

Early Review
Project Idea Concept Note
Evaluation - Strategic fit
• Internal - Profile
“Project Thinking
• External - Funding
Tools”: - Team
• Stakeholder Analysis - Timing
Evaluation • Problem Analysis
• Risk Analysis
• Logical Framework
• Communication
Project Completion
Report (PCR) Approval to
Design
Lesson Learning
Monitoring
Project Approval
• Project Information
Project Supervision Approval • Profile
Report to • Activities
6 monthly reports • Time and Work Plans
Implement • Finance and Budgets

The Programme or Project Cycle

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1. STAKEHOLDER ANALYSIS; WHO ARE WE?

1.1 Why do we involve others?

Involving key partners in the early stages of project planning helps ensure
commitment and ownership. This can help minimise tensions later on and has the
added benefit that it pools knowledge and experience; helping to ensure the plan is
as robust as possible. In a multi-agency project this early involvement is vital.
Effective engagement is likely to result in:
 Improved effectiveness of your project. There is likely to be a greater sense of
ownership and agreement of the processes to achieve an objective.
Responsiveness is enhanced; effort and inputs are more likely to be targeted at
perceived needs so that outputs from the project are used appropriately.
 Improved efficiency. In other words project inputs and activities are more likely to
result in outputs on time, of good quality and within budget if local knowledge and
skills are tapped into and mistakes are avoided.
 Improved sustainability and sustainable impact. More people are committed to
carrying on the activity after outside support has stopped. And active participation
has helped develop skills and confidence and maintain infrastructure for the long
term.
 Improved transparency and accountability if more and more stakeholders are
given information and decision making power.
 Improved equity is likely to result if all stakeholders’ needs, interests and abilities
are taken into account.

W h a t th e e x p e r ts W h a t th e g o v e r n m e n t
p ro p o s e d d e p a r tm e n t s p e c ifie d

T h e d e s ig n a fte r re v ie w b y T h e fin a l c o m p r o m is e
a n a d v is o ry c o m m itte e d e s ig n a g re e d

T h e s y s te m a c tu a lly in s ta lle d W h a t th e p e o p le r e a lly w a n te d !

Participation can have some simple but very important benefits!3

3
The original of this cartoon was published about 30 years ago. We have been unable to trace the cartoonist but
we would very much like to acknowledge them.

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Participation is likely to have many benefits. But it is not a guarantee of success.

Achieving participation is not easy. There will be conflicting interests that come to the
surface; managing conflict is likely to be an essential skill.
Participation can be time consuming. And it can be painful if it involves a change in
practice; for example in the way institutions have ‘always done things’.
Working out who needs to be involved and what their input/interest is likely to be
needs to be done as early as possible, but should also be repeated in the later stages
of the project to assess whether the original situation has changed and whether the
involvement of groups is being adequately addressed.

1.2 Who do we need to involve?

Analysing the stakeholders who need to be involved is one of the most crucial
elements of any multi-agency project planning. Stakeholder analysis is a useful tool or
process for identifying stakeholder groups and describing the nature of their stake,
roles and interests.
Doing a stakeholder analysis can help us to:
 identify who we believe should be encouraged and helped to participate
 identify winners and losers, those with rights, interests, resources, skills and
abilities to take part or influence the course of a project
 improve the project sensitivity to perceived needs of those affected
 reduce or hopefully remove negative impacts on vulnerable and
disadvantaged groups
 enable useful alliances which can be built upon
 identify and reduce risks; for example identifying areas of possible conflicts
of interest and expectation between stakeholders so that real conflict is
avoided before it happens
 disaggregate groups with divergent interests.

Stakeholder analysis needs to be done with a variety of stakeholders to explore and

verify perceptions by cross-reference.
Some potential groups you may want to consider are:
 Users groups - people who use the resources or services in an area
 Interest groups - people who have an interest in or opinion about or who can
affect the use of a resource or service
 Winners and losers
 Beneficiaries
 Intermediaries
 Those involved in and excluded from the decision-making process.

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Another useful way of thinking about stakeholders is to divide them into:

 Primary stakeholders. (Often the WHY or target population of a project.)
They are generally the vulnerable. They are the reason why the project is
being planned. They are those who benefit from or are adversely affected by the
project. They may be highly dependent on a resource or service or area (e.g. a
neighbourhood, a health clinic) for their well-being. Usually they live in or very near
the area in question. They often have few options when faced with change.
 Secondary stakeholders. (Often the HOW of reaching the Primary
Stakeholders. These include all other people and institutions with a stake or
interest or intermediary role in the resources or area being considered. Being
secondary does not mean they are not important; some secondaries may be vital
as means to meeting the interests of the primaries.
It may be helpful to identify Key Stakeholders; primary and secondary stakeholders
who need to play an important active part in the project for it to achieve its objectives.
These are the agents of change. Some key stakeholders are ‘gatekeepers’ who, like
it or not, it is necessary to involve; otherwise they may have the power to block the
project.
NOTE: Other meanings of the terms Primary and Secondary are used in some
organisations. For example, Primary may refer to those directly affected,
Secondary to those indirectly affected. This interpretation has generally been
replaced by that above in order to emphasise a poverty and MDG-focus.

1.3 Undertaking a Stakeholder Analysis

There are many different tools to help us to think about our stakeholders. Which ones
are used depends upon the questions that need to be addressed. This example is
one way (but not the only way) of doing a stakeholder analysis.

There are several steps:

1. List all possible stakeholders, that is, all those who are affected by the project
or can influence it in any way. Avoid using words like ‘the community’ or ‘the
Local Authority’. Be more specific, for example, ‘12 to 14 year olds’ or the
‘Youth Service’
2. Identify, as thoroughly as possible, each stakeholder’s interests (hidden or
open) in relation to the potential project. Note some stakeholder may have
several interests. (See Figure 1a).
3. Consider the potential impact of the project on the identified stakeholders. Will
the project have a positive or negative impact on them? (Award it + or - or +/-
or ?).
4. Decide which stakeholder groups should participate at what level and when
during the project cycle (see Figure 1b). Remember you cannot work with all
groups all of the time. Complete participation can lead to complete inertia!

There are many other ways of doing a stakeholder analysis and many other factors
that could be considered.

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1.4 Where to get more information on stakeholder analysis:-

 http://www1.worldbank.org/publicsector/anticorrupt/PoliticalEconomy/PREMNo
te95.pdf - excellent World Bank paper on stakeholder analysis in reform
processes
 http://www1.worldbank.org/publicsector/politicaleconomy/November3Seminar/
Stakehlder%20Readings/SAGuidelines.pdf - interesting guidelines for doing
SA (over-complex and quantitative?)
 http://www.stsc.hill.af.mil/crosstalk/2000/12/smith.html - a good journal article
 http://www.dfid.gov.uk/pubs/files/toolsfordevelopment.pdf - DFID (2002) Tools
for Development.
 http://http-server.carleton.ca/~jchevali/Frontengl.html - eccentric Canadian
website
 http://www.phrplus.org/Pubs/hts3.pdf - stakeholder analysis in health reform
 http://www.policy-powertools.org/index.html - tools for SA in natural resource
management

1.5 A note on the Organic and Fairtrade Dried Fruit (OFDF) project case
study

The next 2 pages give an example of a Stakeholder Analysis.

Throughout this Handbook we have used one case study to illustrate the stages in
the “Project Thinking Tool” approach. This will help you to see how the “thinking
tools” link together.
The Organic and Fairtrade Dried Fruit (OFDF) project case study is based on a
real project in Central Asia. We have removed some of the detail to make it more
useful as a training case study. We have therefore made the context fictitious; we
call the country Misral.
The Organic and Fairtrade Dried Fruit project involved the Government of Misral
and the donors involved working together to support small-scale growers of dried
fruits to access niche markets in Europe and the Far East.

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Figure 1a The Organic and Fairtrade Dried Fruit (OFDF) project case study:
Example of an initial Stakeholder Analysis

Stakeholders Interests Impact

Primary stakeholders (+,-, ?)
1 Small-scale growers (less Improved livelihoods through increased income +
than 1ha; usually tenants, generating opportunities
often sharecroppers) Access to premium markets through cooperation +
Safe alternative to narcotics production ?/+
2 Children employed in Limited employment that does not hinder school +
production and processing education
3 Women employed in Improved income opportunities; safe, working +
production and processing conditions; fair, direct pay not to husbands
4 Large-scale growers (more More production; added value; higher prices; more +
than 1ha, landowners; often reliable income
employers) Gains that outweigh production, environmental and ?
employment restrictions
Safe alternative to narcotics production ?/+
5 Producer groups / Access to premium markets; economy of scale; +
cooperatives joint OF accreditation; voice
Secondary stakeholders
6 Ministry of Agriculture, Long-term job prospects; opportunities for skills +
Livestock and Food (MALF) development
district level field staff Safety and security ?/-
7 Provincial MALF Chiefs Access to budget and capacity building; support in +
decentralised planning; political capital
8 MALF at national level Delivery on national and local objectives; extra +/?
resource and support to Administration
9 OFDF Implementing Income through project management; success in +
Partner delivery of results; future work prospects; capacity
building opportunities for staff
Security and safety of staff -/?
10 OFDF Project staff Long-term job prospects; opportunities for skills +
development
Safety and security ?
11 Misral Dried Fruit Traders Access to high value niche markets +
Association Consistent and reliable supply
12 Central Asian Traders (of Access to high value niche markets +
dried fruit & nut products) Consistent and reliable supply
13 Drug cartels and narcotics Loss of supply and control -
traders
14 Dried fruit importers Consistent and reliable supply; lower on-costs due +
(Europe and Far East) to volume of supply and small number of
dependable trading partners
13 IFOAM (International Achievement of objectives; reputation ?/+
Federation of Organic +
Agricultural Movements)
14 FLO (Fairtrade Labelling Achievement of objectives; reputation +
Organisation)
15 FAO Food and Agriculture Achievement of objectives +/?
Organisation
17 Donors Achievement of WB Country Plan objectives +

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Figure 1b The Organic and Fairtrade Dried Fruit (OFDF) project: Example of an initial Summary Participation Matrix
Action Inform Consult Partnership Manage/Control
Project Stage
Identification FAO Donors Ministry of Agriculture,
Livestock and Food (MALF)
Misral Dried Fruit Traders Association
Planning Small scale growers DONOR Misral Dried Fruit MALF
Traders Association
Children Producer Groups
Central Asian Traders
Women Provincial MALF
Chiefs Dried Fruit Importers
Large scale growers
FAO Fairtrade Labelling
Organisation (FLO)

Implementing and Donors MALF Implementing Partner Project staff Project Steering Committee
Monitoring
FAO Small scale growers Producer Groups
International Federation of Organic Children Misral Dried Fruit
Agriculture Movements (IFOAM) Traders Association
Women
Central Asian Traders
Large scale growers
Fairtrade Labelling
Provincial MALF
Organisation (FLO)
Chiefs
Evaluation FAO Implementing Partner Producer Groups Provincial MALF External Evaluators
Chiefs
Project staff Small scale growers
MALF
Central Asian Traders Children
Project Steering
IFOAM Women
Committee
FLO Large scale growers
Misral Dried Fruit
Donors Traders Association

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2. PROBLEM ANALYSYS; WHERE ARE WE NOW?

2.1 Identifying Problems and Possibilities (the current situation)
The first step has helped us to identify who needs to be involved, how and when in
the initial design phase. With the right stakeholders on board, focus now turns to
analysing the situation and prioritising the way forward, through situation and option
analysis to help us to understand the current circumstances and develop possible
choices for the future.

The purpose of these activities is to develop a relationship of mutual respect and

agreement between key stakeholders and to reach a position of collective
understanding of the underlying issues and problem so that they can move onto the
next stage.

There is no single right way to do this and there are a number of options for working
through the process – you should judge for yourself the best route to fit the context.
This stage will include analysis of previous studies, research or evaluation material –
perhaps documents that have lead you to this stage or documents from other
organisations. There may also be notes from earlier meetings that may inform the
process. The exercise usually needs to be repeated with different stakeholder
groups, often very different pictures of the situation emerge.

2.2 Developing a Problem Tree

Developing a problem tree is one way of doing problem analysis. Essentially this
involves mapping the focal problem against its causes and effects.
Figure 2a The Problem Tree

Addressing the
effects identifies
the indicators
EFFECTS
Turning the problem
into a positive
Focal Problem statement gives the
purpose or goal for
the intervention
Addressing the
causes of the
problem identifies
outputs and
CAUSES activities

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Depending on the group or the situation there are two methods for developing a
problem tree…

Start with a blank sheet of flip chart paper, pens and 2” x 2” post-its (or small card
and tape).

Method 1: “Brainstorming”
This method can be more creative, but it is risky; you can get tangled up.
 Participants “brainstorm" issues around a problem(s) as yet unidentified.
Each issue is recorded on a separate post-it. Don’t stop and think or question,
just scatter the post-its on the flipchart. When ideas for issues dry up and
stop,
 Identify and agree the focal problem. It is probably there on the flipchart, but
may need rewording. Note that a problem is not the absence of a solution, but
an existing negative state.
 Sort the remaining issues into causes and effects of the problem.
 Cluster the issues into smaller sub-groups of causes and effects building
the tree in the process. Tear up, re-word and add post-its as you go.
 Finish by drawing connecting lines to show the cause and effect
relationships.

Method 2: Systematic
Better suited to the more systematic and methodical.
 Participants first debate and agree the focal problem. Write this on a post-it
and place it in the middle of the flipchart.
 Now develop the direct causes (first level below the focal problem) by asking
‘but why?’. Continue with 2nd, 3rd and 4th level causes, each time asking ‘but
why?’.
 Repeat for the effects above the focal problem instead asking ‘so what?’.
 Draw connecting lines to show the cause – effect relationships.

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Figure 2b The Organic and Fairtrade Dried Fruit (OFDF) project case study: Example of a Problem Tree

Persistent social Fuelling of past and

A problem
Disparity in income
and opportunity in ills and negative current tensions and
relation to gender, cultural norms conflict

tree
disability,
Exit from, and no Entry into Disillusionment with
vulnerable
new investment in, narcotics efforts towards good
perennial crops production governance
Low incomes of
small farmers and
their households Over- Failure to achieve
competitive national objectives
Low prices and saturated attitudes and
local markets approaches
Lost Lost
opportunities at opportunities to
household level Oversupply of dried products from national economy
perennial crops

EFFECTS
Farmer groups unable to export dried products

CAUSES
Erratic Weak linkages Lack of Poor planning Limited Weak
productivity among and information on at local and capacity of infrastructure;
and between technologies, national levels producers ICT and roads
production producers & markets and and traders
traders quality standards
Planning No systematic, Past and
absent or appropriate current low
Little
Incentives Weak Competitive fragmented training investment
compre-
poor for production attitudes hensive
History of central Low priority Incentives not
long-term and post- prevail in market
control and in state favourable to
planning and harvest spite of research
discouragement of planning and private sector
investment research extensive
by farmers markets entrepreneurship budgets investment

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3. OBJECTIVES AND OPTIONS ANALYSIS; WHERE DO

WE WANT TO BE?
3.1 Looking forward

Having defined the problem that we are trying to tackle we now need to develop
this into objectives that we can work towards.
Some facilitators and participants prefer to skip Step 2 the Problem Tree and
move directly on to an Objectives or Vision Tree. Instead of looking back, looking
forward; rather than thinking in terms of negatives, participants imagine a desired
situation in the future; (this Focal Objective is placed in the centre of the flipchart.)
What is needed to achieve that situation? (placed below the Focal Objective).
What would result from achieving the situation? (placed above).
Going directly to an Objective Tree can be particularly useful in a post-conflict
context where participants find analysis of the problem painful.

3.2 Developing an Objectives/Vision Tree

This can be done by reformulating the elements of our problem tree into positive
desirable conditions. Essentially the focal problem is “turned over” to become the
key objective for addressing the problem. In logical framework terms it may be the
Impact/Goal or Purpose; discussed in more detail later. (So in our example, the
problem of ‘Farmer groups unable to export dried products’ could become an
objective of ‘Farmer groups exporting dried products to organic and fairtrade
markets’). Below the focal problem, you can continue this “reversing” for each of
the causes listed to create further objectives.
Above, if the problem is addressed one would expect to see changes in the
effects, so there will be useful ideas here for potential indicators of progress and
identification of the benefits to be achieved.

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Figure 3a The Organic and Fairtrade Dried Fruit (OFDF) project case study:
An Objectives Tree derived from a Problem Tree

Persistent social Fuelling of past and

A problem
Disparity in income
and opportunity in ills and negative current tensions and
relation to gender, cultural norms conflict

tree
disability,
Exit from, and no Entry into Disillusionment with
vulnerable
new investment in, narcotics efforts towards good
perennial crops production governance
Low incomes of
small farmers and
their households Over- Failure to achieve
competitive national objectives
Low prices and saturated attitudes and
local markets
Lost approaches Lost
opportunities at opportunities to
household level Oversupply of dried products from national economy
perennial crops

EFFECTS
Farmer groups unable to export dried products

CAUSES
Erratic Weak linkages Lack of Poor planning Limited Weak
productivity among and information on at local and capacity of infrastructure;
and between technologies, national levels producers ICT and roads
production producers & markets and and traders
traders quality standards
Planning No systematic, Past and
absent or appropriate current low
Little
Incentives Weak Competitive fragmented training investment
compre-
poor for production attitudes hensive
History of central Low priority Incentives not
long-term and post- prevail in market
control and in state favourable to
planning and harvest spite of research
discouragement of planning and private sector
investment research extensive
entrepreneurship budgets investment
by farmers markets

Persistent social ills Reduction in

An Objectives
More parity in
income and and negative cultural tension and
opportunity in norms addressed conflict

tree
relation to gender,
Increased new Decrease in More support for
disability, vulnerable
investment in narcotics efforts towards good
perennial crops production governance
Higher incomes of
small farmers and
Willingness to Better achievement of
their households
use more national objectives
Improved prices collaborative
Opportunities approaches Opportunities Possible
taken at taken at national
INDICATORS
household level Better supply of dried products economy level
from perennial crops

Farmer groups exporting dried products to organic and fairtrade markets

Regular and Effective Evidence Coherent plan Strengthened Improved

improved linkages among available on in place at capacity of infrastructure; Possible
productivity and between technologies, local and producers ICT and roads OBJECTIVES
and producers & markets and national levels and traders
production traders quality standards
Systematic, More
Coherent investment
Compre- planning appropriate
Better Improved Better balance hensive training
incentives production of market
Environment more Higher priority Incentives
for long-term and post- competition research
conducive to in state favourable to
planning and harvest with
entrepreneurship planning and private sector
investment research collaboration
budgets investment
by farmers

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3.3 Choosing between options

This has now given us a number of options for our objectives and the group needs
to decide which ones to focus on (Options Analysis). You should agree the
criteria for assessing the various options. Key factors here could include:
 Degree of fit with macro objectives (The bigger picture)
 What other stakeholders are doing?
 The experience and comparative advantage of your organisation and
partners
 What are the expected benefits? To whom?
 What is the feasibility and probability of success?
 Risks and assumptions? Who is carrying the risk?
 Financial criteria – costs, cashflows, financial sustainability?
 Social criteria – costs and benefits, gender issues, socio-cultural
constraints; who carries social costs?
 Environmental criteria – what are the environmental costs and gains?
 Technical criteria – appropriateness, use of local resources, market factors?
 Institutional criteria – capacity, capacity building, technical assistance?
 Economic criteria – economic returns, cost effectiveness?
When the criteria have been set a decision as to which option to take can follow.
Figure 3b The OFDF project case study: Options Analysis

Options analysis
•Degree of fit with higher plans •Feasibility?
Use objective •What are others doing? •Social criteria
criteria to •Experience and comparative advantage? •Technical
analyse which
•Costs? Who carries them? •Institutional
objectives ‘root’
•Benefits to whom? Poverty focus? •Economic & Financial
to prioritise
•Risks and assumptions? Who is at risk? •Environmental

Farmer groups exporting dried products to organic and fairtrade markets

Regular and Effective Evidence Strong plans in Strengthened Improved

improved linkages among available on place at local capacity of infrastructure;
productivity and between technologies, and national producers ICT and roads
and producers & markets and levels and traders
production traders quality standards
Systematic, More
Coherent investment
Compre- planning appropriate
Better Improved Better balance hensive training
incentives production of market
Environment more Higher priority Incentives
for long-term and post- competition research
conducive to in state favourable to
planning and harvest with
entrepreneurship planning and private sector
investment research collaboration
by farmers budgets investment

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What then happens to options which you decide NOT to address? (In the example
in Figure 3b, it has been decided, for whatever reason, not to focus on regular and
improved productivity and production and improved infrastructure.) It may be
these options are being addressed by others in parallel with your project (in which
case there will be need for dialogue with those invoved). If no one will be
addressing them, and these root causes to the orginal problem are serious, they
remain risks to our planned project and will need to be managed. We will return
to this later.

3.4 Linking with the logframe

Sometimes it is possible to link the chosen options from the objectives tree into the
first ‘objectives’ column of the logframe as shown in Figure 3c.
It does not always work as neatly as in the example! It depends on the complexity
of the orginal problem, and on the time spent on and the level and detail of the
problem analysis. Sometimes the original core problem translates into the
Purpose (as here), sometimes into the Impact/Goal. The point is, your problem
and objectives trees are important as source documents for ideas. There are
no hard and fast rules. In the example, a major effect of the original problem low
income for small farmers and their households has been used as the basis for the
Goal, giving the project a social and poverty focus.
Figure 3c The OFDF case study: Linking with the logframe objectives

Linking with the logframe objectives

Increased income of

Impact / Goal
small farmers and their
families
Increased income of small farmers and
their families

Outcome / Purpose
Farmer groups exporting dried
Farmer groups exporting dried products to organic and fairtrade
products to organic and markets
fairtrade markets
Outputs
1. Effective linkages in place
Effective Evidence A coherent Strengthened 2. Market–oriented evidence available
linkages available on plan in place capacity of
among and technologies, at local and producers 3. A coherent plan developed at local
between markets and national and traders and national levels
producers & quality levels 4. Strengthened capacity of producers
traders standards
and traders

Activities

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4. OBJECTIVES DESIGN; HOW WILL WE GET THERE?

4.1 Identifying our objectives

We have defined our problem and begun to consider our objectives. Remember
the Problem Tree and Objectives Tree are important reference documents at this
stage. Work through a simple step-by-step approach.

Step 1 - Define the Impact or Goal

The Impact or Goal is the higher order objective, the longer term positive
change that the project will contribute to. Use only one Impact statement.
Some progress towards the Impact should be measurable during the
lifetime of the project. The Impact defines the overall “big picture” need or
problem being addressed; it expresses the justification, the ‘Greater WHY’,
of what is planned. E.g. Increased income of small farmers and their
families.

Step 2 - Define the Purpose or Outcome

The Purpose (together with its associated indicators) describes the short
and medium-term positive effects of the project. The Purpose is also a
justification, a WHY statement. It needs to be clearly defined so all key
stakeholders know what the project is trying to achieve during its lifetime.
E.g. Farmer groups and exporters are competent partners for international
trade and are exporting dried fruit products to organic and fairtrade markets.
Have only one Purpose. If you think you have more, then you may need
more than one logframe; or your multiple Purposes are in fact Purpose
indicators of a single Purpose as yet unphrased; or they are lower order
outputs.
The Purpose should not be entirely deliverable, i.e. fully within the
project manager’s control. If it is deliverable, then it should be an Output.
The Purpose usually expresses the uptake or implementation or application
by others of the project’s Outputs; hence it cannot be fully within managerial
control. ‘You can take a horse to water, but you can’t make it drink’. The
project may be ‘delivering’ the water, but it cannot control the behaviour of
others outside the team (the horse). So we aim for the Purpose to be
achieved but this cannot be guaranteed. It will depend on stakeholders’
actions and assumptions beyond the control of the project manager. The
manager can best exert influence over Purpose achievement by maximising
the completeness of delivery of the Outputs and mitigating against risks to
the project.
The ‘gap’ between Outputs and Purpose represents ambition. How
ambitious you are, depends on the context, on the feasibility of what you
are trying to do and the likelihood others outside managerial control will
change their behaviour. Don’t have the Purpose unrealistically remote from
the Outputs; conversely, don’t set them so close when, in reality, more
could be achieved. The Pupose is not simply a reformulation of the
Outputs.

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Whoever will be approving the project proposal, should be focusing their

challenge on, and seeking justification for, the causal link between
Outputs and Purpose.
When setting the Purpose, avoid phrases like ‘by’ or ‘through’ or ‘in
order to’ or ‘so that’. They are confusing and usually mean the Pupose
includes objectives at more than one level. This detail will more
appropriately be in other boxes of the logframe (e.g. indicators).

Step 3 - Describe the Outputs

The Outputs describe what the project will deliver in order to achieve the
Purpose. They are the results that the project must deliver. They can be
thought of as the Terms of Reference or Components for project
implementation, the deliverables in the control of the project manager.
Outputs are things, nouns and usually include Human Capacity, Systems,
Knowledge and Information, Infrastructure, Materials, Awareness. E.g. a)
Effective linkages; b) Market-oriented evidence; c) A coherent plan etc. For
more details see Appendix E.
Typically there are between 2 – 8 Outputs; any more than that and the
logframe will become over-complicated.

Step 4 - Define the Activities

The Activities describe what actions will be undertaken to achieve each
output. Activities are about getting things done so use strong verbs. E.g.
Establish… Develop…

Step 5 - Test the Logic from the bottom to the top

When the four rows of column 1 have been drafted, the logic needs to be
tested.
Use the IF/THEN test to check cause and effect. When the objectives
hierarchy is read from the bottom up it can be expressed in terms of:
If we do these activities, then this output will be delivered.
If we deliver these outputs, then this Purpose will be achieved
If the Purpose is achieved then this will contribute to the Goal.
The IF/THEN logic can be further tested by applying the Necessary and
Sufficient test. At each level, ask are we doing enough or are we doing
too much for delivering, achieving or contributing to the next level
objective?
As you test the logic, you will be making assumptions about the causal
linkages. We will be looking at this in more detail shortly.

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4.2 The Objectives Column in the Logical Framework

We put the objectives into the first column of the logical framework – the objectives
column:
Figure 4a The Objectives Column
Column 2 Column 3
Column 1 Column 4
Indicators / Data
Objectives Assumptions
targets sources
Goal:

The higher order long-term

development objective to
which the project contributes
The Greater Why?

Purpose:

The specific and immediate

beneficial changes achieved
by the project
The Why?

Outputs:

The deliverables of the project

or the terms of reference
The What?

Activities:
The main activities that must be
undertaken to deliver the
outputs
The How?

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Figure 4b The OFDF case study: Column 1 - The Hierarchy of Objectives

Column 1 Column 2
Column 3 Column 4
Objectives Indicators /
Data sources Assumptions
targets

Goal:

Increased income of small farmers and their families.

Purpose:
Farmer groups and exporters are competent partners for
international trade and are exporting dried fruit products
to organic and fairtrade markets.

Outputs:

1. Effective institutional linkages and networks in place.

2. Market-oriented evidence available on which to base
strategy and on-going planning.
3. A coherent plan developed, agreed by stakeholders at
all levels and in operation for small farmers to engage
in international organic and fairtrade markets.
4. Capacities of producers and others in the market
chain strengthened.

Activities:

1.1 Awareness raising.

1.2 Establish partnerships with existing institutions.
1.3 Review current networking.
1.4 Set up farmer groups
1.5 Identify service providers.
2.1 Analyse market opportunities and standards.
2.2 Conduct baseline study of current farmer practices,
productivity and production.
2.3 Establish information systems for on-going access,
flow and exchange of information.
2.4 Carry out analysis of post-harvest elements of the
market chain.
2.5 Identify best practices in production and post-harvest.
3.1 Develop farmer group level action plans.
3.2 Agree criteria for OFDF project support.
3.3 Develop and agree overall OFDF project plan and
process.
3.4 Implement following agreed plan and process.
3.5 Develop and implement OFDF communications plan
and strategy.
4.1 Carry out Training Needs Assessment.
4.2 Develop and implement a training programme for key
stakeholders.

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4.3 Checklist - Objectives

Below is a simple checklist for checking the objectives in column 1 of the

Logframe.

1. Do they answer
 Goal Greater Why?
 Purpose Why?
 Outputs What?
 Activities How?

2. Does the logic work?

 Vertical logic in Column 1;

Then

If
 Is it necessary and sufficient? (i.e. is too much or too little being
proposed?)

3. Is there only one Purpose?

4. Is the Purpose clearly stated, avoiding phrases like ‘by’, ‘in order to’, ‘through’
and ‘so that’.
5. Is the Purpose too remote from the Outputs?
6. Is the Purpose more than just a reformulation of the Outputs?
7. Does the gap between Purpose and Outputs show realistic ambition? Is it
assessable? Is the causal link strong?
8. Are the Outputs deliverable?
9. Do we see Process as well as Product objectives?
10. Are the Outputs and Activities linked /cross-numbered?

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5. RISK MANAGEMENT; WHAT MAY STOP US

GETTING THERE?
5.1 Managing Risk

Risk is the potential for unwanted happenings impairing the achievement of

our objectives. Every project involves risks. Risk assessment and management
are essential elements in business; likewise in development and community work.
If you talk to experienced development and/or community workers they will usually
agree that when projects fail, it is not generally because the objectives were wrong
but because insufficient time and thought were given to the risk factors, to what
can go wrong with the plan and to the assumptions that are being made.
Worthwhile projects involve risk, sometimes very high risk. The important
point is not necessarily to avoid risks but to plan for them by identifying and
assessing them and allocating time and other resources to manage them for
example by monitoring and mitigation.
So it is vital that risks are identified in planning and that a risk management plan is
built into the overall design process and implementation management.
Development organisations are placing considerable emphasis on creating a risk
culture; an awareness and competence in risk management. There are a number
of common perceptions blocking progress; and responses that can move
forward good practice.

Figure 5a Perceptions and Responses in risk management

Perceptions blocking progress Responses

Poor practice Good practice
 Risk analysis is seen as an  It should be an integral core of
‘add-on’; it’s done mechanically what we do. It should serve as a
because it’s a mandatory challenge function to
procedure. interrogate our thinking.

 It’s seen as too difficult.  It’s not difficult. It involves just a

few basic questions.

 A long list of risks will  Strong analysis is needed to

impress. identify the few, key ‘mission
critical’ risks. And then to
design effective mitigatory
measures.

 Once the Risk Analysis is done,  It needs regular tracking and

it’s done and never revisited. review.

 It’s just done internally.  Potentially it’s a key tool for

broader project ownership and
political buy-in.

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5.2 The Key Questions

Remember other documents are likely to help in the identification of risks; e.g. the
stakeholder analysis, the problem analysis etc. But once we have identified the
risks, what are the key questions?
Figure 5b The Key Questions

What is / are the:

IMPORTANCE? depends mainly on:

• What is the HAZARD itself? Scale? Seriousness?

• What is the VULNERABILITY to the hazard? of the poor? of the project?

PROBABILITY? The likelihood of it happening. What data is there? How

reliability is the data?

COSTS? Social? Financial? What are they and who bears them? The
already vulnerable?
GAINS? What are the gains from going ahead?

MITIGATION? What can be done to improve any or all the above?

5.3 Undertaking a Risk Analysis

Step 1 Identify the risks. Brainstorm the risks using the draft Hierarchy
of Objectives (Column 1). At each level ask the question: ‘What
can stop us … ?’ …doing these Activities,…..delivering these
Outputs, ….achieving this Purpose, ……contributing to this
Impact / Goal?
These are phrased as risks. Write each risk on a separate post-
it and place them in column 4; it does not matter at this stage at
what level you place them.
On a separate sheet on flipchart paper draw the table in Figure
5b overleaf. Transfer the risk postits from column 4 of the
logframe to the left column of the new table.

Step 2 Analyse and manage the risks. Then as a group discuss each risk
in turn:

 What is its likely importance (Im)? Write H, M or L; high,

medium or low.

 What is its likely probability (Pr)? Write H, M or L.

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 You may at this point decide to hereafter disregard insignificant

risks; those that are Low
Low. Risks and Assumptions

 Discuss and agree A Risk is potential event or

possible mitigatory occurrence could adversely affect
measures; record these achievement of the desired results.
on the chart. In a few
cases there wont be any An Assumption is a necessary
but even with so-called condition for the achievement of
uncontrollable risks, some results at different levels.
degree of mitigation is
usually possible. A risk is best not written as the
negative of an assumption (e.g.
 Even if mitigatory Assumption = ‘inflation remains at
measures are successful, manageable level’; Risk =
it is unlikely you can ‘hyperinflation’). It is useful to view
remove the risk assumptions as the conditions that
completely. What remain after mitigatory measures
‘residual’ assumptions have been put in place.
are you left with?
Record these.

Example:
Highjacking is a risk in civil aviation. As a mitigatory measure,
passengers are now subject to hand luggage and body searches.
Even if done effectively this does not remove the risk altogether; the
Impact probably remains unchanged, the Probability may be reduced
from Medium to Low. You are left with a residual assumption that
‘With effective screening measures in place, highjacking will not
happen’.

Figure 5b Risk analysis table

Risks Im4 Pr5 Mitigation Assumptions

Highjacking of aircraft H M Airport security With effective screening
screening of all measures in place,
passengers highjacking will not
happen

Transfer these
Do these transfer to to Column 4 of
Column 1 and become the LF
extra activities?

4
Importance
5
Probability

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Figure 5c The OFDF case study: Managing the risks

(Table incomplete; for illustration only)
Risks Im Pr Mitigation Assumptions
 Ensure close liaison
1. Deterioration of 1. The security situation
with security forces
security situation does not deteriorate
and District Chiefs.
disrupts project such that it disrupts
activities, outputs, M M  Draw up security plan project activities and
with attached budget.
Purposes and results.
 Monitoring and regular
impact.
review.

 Ensure institutional
2. Benefits of the 2. Benefits of the project
representation of
project are captured accrue to the
M M disadvantaged groups.
by elites at vulnerable at
community and community and
household levels. household levels.
 Initial and on-going
3. Export organic and 3. Local production is
market research must
fairtrade markets are able to compete in
be realistic and robust.
hard to penetrate and M L meeting growing
local markets international and local
become saturated. demand.
 Encourage diversity of
4. Required production 4. Key production inputs
service provision.
inputs outside project are available to small
 Strong collaboration
control (notably farmers.
extension advice and L M with relevant partners.
 Inclusion of partners in
irrigation) are
planning and capacity
available.
building.
5. Current social  Thorough stakeholder 5. Essential linkages
networks hinder the analysis, involvement between producers,
establishment of new and ownership. traders and others in
essential linkages H L  Implement the market chain can
e.g. between communication be fostered.
producers and strategy.
traders.
6. The on-going  Effective training and 6. Quality needs are
demands of communication. understood and
international quality  Clear and understood addressed especially
standards are alien to quality criteria. by producers and
producers and H M  Export farmer traders.
traders. certification and
ongoing fair produce
grading system.
7. The incentives and  Parallel efforts within 7. The incentives for
social pressures to the enforcement and small farmers to
stay in, or enter, H M alternative livelihood produce and export
narcotics production programmes. dried fruit are strong
are too strong. enough.

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5.4 The Assumptions Column in the Logframe

You have identified and analysed the risks, determined mitigatory measures and
agreed what residual assumptions still hold. Transfer to your logframe as
appropriate:
 Your mitigatory measures into Column 1; i.e. extra activities; (or the
measures may be reflected in the indicators in Column 2; we come to this
later).

 Your residual assumptions into Column 4. These are conditions which could
affect the success of the project. They are what remains after the
mitigatory measures have been put in place.

Figure 5d The Assumptions Column

Column 1 Column 2 Column 3 Column 4
Objectives Indicators Data Assumptions
/ targets sources
Impact / Goal: Important conditions needed
in order to contribute to the
Impact / Goal

Purpose: Important conditions needed

in order to achieve the
Purpose

Outputs: Important conditions needed

to deliver the Outputs

Activities: Important conditions needed

to carry out the Activities;
the pre-conditions.

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By adding assumptions our logic is extended; check the logic with the IF AND
THEN test:
 IF the Pre-conditions hold, THEN the Activities will be carried out.
 IF Activities have been carried out, AND if the Assumptions at Output level
hold true, THEN the Outputs will be delivered.
 IF Outputs are delivered, AND if the Assumptions at Output level hold,
THEN the Purpose will be achieved.
 IF the Purpose has been achieved, AND if the assumptions at Impact level
hold, THEN the Project will contribute to the Impact / Goal.

Figure 5e The IF AND THEN logic

Objectives Assumptions
Impact/
Goal Then we should And these
contribute to this conditions
Impact/Goal hold

Purpose If we achieve this

Purpose.
Then we should And these
achieve this conditions
Purpose. hold
Outputs If we deliver these
Outputs.
Then we will And these
deliver these conditions
outputs. hold
Activities If we carry out
these activities

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Figure 5f The OFDF case study: Column 4 - The key assumptions.

(Table incomplete; for illustration only)
Objectives Col2 Col3 Assumptions
Impact / Goal:
1. Benefits of the project
Increased income of small farmers and their
accrue to the vulnerable at
families.
community and household
levels.
Purpose:
2. The security situation does
Farmer groups and exporters are competent
not deteriorate such that it
partners for international trade and are exporting
disrupts project activities
dried fruit products to Organic and Fairtrade
and results.
Markets (OFDF).
3. Local production is able to
compete in meeting
growing international and
local demand.
Outputs:
4. Essential linkages
1. Inception report with agreed consolidated
between producers,
project plan, M&E framework and systems in
traders and others in the
place.
market chain can be
2. Effective institutional linkages and networks
fostered.
in place.
3. Market-oriented evidence available on which 5. Quality needs are
to base strategy and on-going planning. understood and addressed
4. A coherent plan developed, agreed by especially by producers
stakeholders at all levels and in operation for and traders.
small farmers to engage in international
Organic and Fairtrade Markets.
5. Capacities of producers and others in the
market chain strengthened.
Activities:
6. Key production inputs are
1.1 Raise awareness of key stakeholders.
available to small farmers.
1.2 Establish Project Steering Committee.
1.3 Recruit and train core staff. 7. The incentives for small
1.4 Initial stakeholder consultations. farmers to produce and
1.5 Secure agreement on Inception Report with export dried fruit are
project plan, M&E framework and security sufficiently strong.
plan.
2.1 Establish partnerships with existing
institutions (including parallel programmes on
counter narcotics and alternative livelihoods).
2.2 Review current socio and economics
networks with particular emphasis on gender
and the needs of vulnerable groups.
2.3 Set up farmer groups.
2.4 Identify and build networks with diverse
service providers in public and private Notice that many elements
sectors and civil society. of Column 1 have changed
3.1 Analyse market opportunities and standards.
(including an extra Output)
3.2 Conduct baseline and on-going study of
farmer practices, productivity and production.
to include risk mitigation.
3.3 Review lessons from similar quality Compare with Fig 4b.
standards export marketing efforts,
particularly in complex and difficult
environments.

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3.4 Establish information systems for on-going

access, flow and exchange of information.
3.5 Carry out analysis of post-harvest elements
of the market chain.
3.6 Identify best practices in production and post-
harvest.
4.1 Develop farmer group level action plans.
4.2 Agree criteria for OFDF project support.
4.3 Develop and agree overall OFDF project plan
and process.
4.4 Implement following agreed plan and
process.
4.5 Develop and implement OFDF
communications plan and strategy.
5.1 Carry out comprehensive Training Needs
Assessment across all key stakeholders.
5.2 Develop and implement a training
programme for key stakeholders.

5.5 Checklist – Risks and Assumptions

1. Have all the important risks been identified?

 e.g. from the Stakeholder analysis?
 e.g from the Problem trees? Etc.
2. Are the risks specific and clear? Or too vague?
3. Where risks are manageable, have they been managed?
4. Where possible, have mitigatory measures been included as Activities and
Outputs? i.e. moved into Column 1?
5. Are the Assumptions at the right level?
6. Does the logic work?
 Check the diagonal logic for Columns 1 and 4
Then
and these assumptions hold

If

 Is it necessary and sufficient? Again, is enough being proposed; is

too much being proposed?
7. Should the project proceed in view of the remaining assumptions? Or is
there a KILLER risk that cannot be managed, of such high probability and
impact, that it fundamentally undermines the project and forces you to stop
and rethink the whole project?

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6. HOW WILL WE KNOW IF WE’VE GOT THERE?

6.1 Laying the foundations for Monitoring, Review and Evaluation (M,R&E)

One of the key strengths of the logframe approach is that it forces the planning
team to build into the design how the project will be monitored, reviewed and
evaluated. The project is planning to deliver, achieve and contribute a chain of
results at different levels; these are the intended changes in development
conditions resulting from the development project or programme.
Indicators are identified to show how we intend to measure change from the
current baseline. Targets are set to be achieved by the end of the time period,
together with milestones to measure progress along the way. The logframe
approach helps in addressing and reaching agreement on these issues early at
the design stage. It helps to pinpoint the gaps and determine what needs to be
done. It asks what data is needed now and in the future, and what data sources
will be used, be they secondary, external, reliable and available, or primary,
internal and requiring budgeted data collection activites within the project.
An oft-quoted principle is ‘if you can measure it, you can manage it’. The one
may not inevitably follow the other, so we can qualify as: ‘if you can measure it,
you are more likely to be able to manage it’. Or the reverse that ‘if you can’t
measure it, you can’t manage it.
6.2 Terms and principles

An Indicator is a quantitative and/or qualitative variable that allows the

verification of changes produced by a development intervention relative to what
was planned.

A Target is a specific level of performance that an intervention is projected to

accomplish in a given time period.

Milestones are points in the lifetime of a project by which certain progress

should have been made

A Baseline is the situation prior to a development intervention against which

progress can be assessed or comparisons made.
The main confusion comes with Indicators and Targets. Indicators are a means
by which change will be measured; targets are definite ends to be achieved. So
to take two examples:

Indicators Targets

the proportion of population with halve, between 1990 and 2015, the
access to improved sanitation, proportion of people without
urban and rural sustainable access to basic
sanitation

the proportion of girls achieving increase by 15% in girls achieving

Grade 4 Grade 4 by month 36

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The indicator shows how the change from the current situation will be measured.
An indicator is not something you achieve. You do however aim to achieve a
target. A target is an endpoint; a Specific, Measureable, Achievable, Relevant
and Time-bound endpoint. A target should be SMART; don’t try making an
indicator smart. And don’t make the objectives in column 1 of the logframe smart;
keep them as broad results.
It’s useful to think of milestones as interim or formative targets. Thus for the first
example target above of halving by 2015 the proportion of people without
sustainable access to basic sanitation, reductions of 35% by 2009 and 42% by
2012 would be milestones. They provide an early warning system and are the
basis for monitoring the trajectory of change during the lifetime of the project.
A baseline is needed to identify a starting point and give a clear picture of the pre-
existing situation. Without it, it is impossible to measure subsequent change and
performance (Figure 6a). For example, without knowing the baseline, it would not
be possible to assess whether or not there has been a ‘25% improvement in crop
production’. Collecting baseline data clearly has a cost; but so does the lack of
baseline data! The reliability and validity of existing, secondary data may be in
doubt and there may not be enough of it. In which case, baseline studies will be
needed before targets can be set and before approval for implementation can
generally be given. In some circumstances, it may be appropriate to carry out
some baseline data collection and target-setting post-approval. Indeed it may be
perfectly acceptable, indeed good practice, to state that some ‘indicators and
targets to be developed with primary stakeholders in first 6 months of the project.’
Figure 6a: Baseline, targets and achievement (adapted from UNDG guidelines)

Commitment
Performance
Achievement

Current level of
Baseline

achievement
Target

Before looking at how indicators are constructed, some important points:

 Who sets indicators and targets is fundamental, not only to
ownership and transparency but also to the effectiveness of the
measures chosen. Setting objectives, indicators and targets is a crucial
opportunity for participatory design and management.
 Indicators and targets should be disaggregated for example by gender,
ethnic group, age, or geographic area. Averages can hide disparities
particularly if large sample sizes are needed for statistical reliability.

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 Some indicators in every logframe should relate to standard or

higher level indicators. Most organisations seek to attribute and
communicate their work towards a set of standard results or indicators
(often closely aligned with the MDGs). Operations in-country will need
show linkage to national priorities; UN agencies to an UNDAF etc.
Projects will need to show linkage of indicators upwards if they are part
of a larger programme.
 A variety of indicator target types is more likely to be effective. The need
for objective verification may mean that too much focus is given to the
quantitative or to the simplistic at the expense of indicators that are
harder to verify but which may better capture the essence of the change
taking place. Managers sometimes need to be persuaded of the
usefulness of qualitative data!
 The fewer the indicators the better. Collect the minimum. Measuring
change is costly so use as few indicators as possible. But there must be
indicators in sufficient number to measure the breadth of changes
happening and to provide the triangulation (cross-checking) required.

6.3 The process in brief

Are the right

stakeholders involved
in this process?

What is the intended

result? – output,
outcome, impact

How will change

be measured?
Set key indicators

Is the baseline
data available?

No
Yes
Is it possible
to collect it?

Yes
No
Collect it
Choose different indicators
Set milestones and targets
to be achieved

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6.4 Constructing indicators and targets

Before looking at the process of constructing indicators and targets, the point is
made again here: who should be involved in developing indicators and
determining the target? ‘Insiders’ are much more likely to come up with original
and effective measures than ‘outsiders’.

Step1: Start by writing basic indicators as simple measures of change. They are
best written at this stage without elements of the baseline or target, without
numbers or timeframe. For example:

a. Loan return rate

b. Immunization coverage
c. Community level representation on district councils
d. Fish catch
e. Rural households with livestock

Step 2: Indicators need to be clear, measuring quality and quantity and, where
appropriate, disaggregated and location-specific. So re-examine your basic
indicator to clarify your measure. The previous examples might develop into:

a. % loan return rate of men and women group in 3 targeted districts

b. Proportion of one-year olds vaccinated against measles.
c. Number of women and men community representatives on district
councils
d. Average weekly fish catch per legally certified boat
e. Proportion of female- and male-headed households in 3 pilot rural
areas with livestock
Each variable in an indicator will need to measurable and measured. So for
an indicator such ‘Strengthened plan effectively implemented’ what is meant by
‘strengthened’ or ‘effectively’, or ‘implemented’? Each of these terms will need to
be clarified for this to become a usable, measurable indicator.

Step 3: Now for each indicator ask:

i. Is the current situation, the baseline, known? If not, can the
baseline data be gathered now, cost-effectively?
ii. Will the necessary data be available when needed (during the
intervention for milestones, and at the end for a target)?
If data is or will not be available, you should reject the indicator and find some
other way to measure change.

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Step 4: With the relevant baseline data to hand, determine milestones (at regular
intervals during the project) and targets (at the end). For example

Baselin Milestone Milestone Target

e
12 24 3 years
months months

a. % loan return rate of men and women group F44:M24 F50:M40 F70:M60 F80:M70
in 3 targeted districts.

b. Proportion of one-year olds vaccinated 24% 30% 60% 85%

against measles.

c. Number of women and men community At least At least

F0:M0 -
representatives on district councils. F2:M2 F2:M2

d. Average weekly fish catch per legally certified 50kg 50kg 75kg 100kg
boat.

e. Proportion of female- and male-headed

households in 3 pilot rural areas with F24:M80 F36:M85 F60:90 F95:M95
livestock.

Step 5: Check that your milestones and targets are SMART, Specific,
Measureable, Achievable, Relevant and Time-bound.
To be useful, indicators need to have a number of characteristics. They need to
be:
 Specific; not vague and ambiguous; clear in terms of the quality and
quantity of change sought; sensitive to change attributable to the project;
disaggregated appropriately;
 Measurable; the information can be collected, and will be available at
the time planned; cost-effective and proportionate
 Achievable; realistic in the time and with the resources available; targets
not just ‘made up’, without baseline or stakeholder ownership;
 Relevant; substantial, necessary and sufficient; they relate to higher
level indicators
 Time-bound; milestones will together show progress is on-course;
targets are measurable within the lifetime of the project.

6.5 Types of Indicators

Binary Indicators
These simple Yes or No indicators are most common at Output and Activity
levels. For example ‘Draft guidelines developed and submitted to Planning
Committee’

Direct and Indirect Indicators

Direct indicators are used for objectives that relate to directly observable change
resulting from your activities and outputs; for example tree cover from aerial
photography as an indicator of deforestation. Proxy indicators measure change
indirectly and may be used if results:

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 are not directly observable like the quality of life, organisational

development or institutional capacity
 are directly measurable only at high cost which is not justified
 are measurable only after long periods of time beyond the life span of the
project.
The number of lorries carrying timber out of the forest could be an proxy indicator
of deforestation. But then there’s uncertainty as to whether timber resources are
being used or burned within the forest; or are being taken out by means besides
lorries; or on unsurveyed routes etc.
So proxy indicators need to be used with care. But well-chosen proxies can be
very powerful and cheap. Sampling for a certain river invertebrate can give a very
clear picture of pollution levels. The price of a big-Mac has been used to assess
the health of a currency or economy.

Qualitative and Quantitative Indicators

Quantitative indicators measure numerical values over time. Qualitative
indicators measure changes not easily captured in numerical values e.g. process-
related improvements, perceptions, experiences, behaviour change, strengthened
capacity etc. This is particularly relevant in gender and social aspects. Special
effort and attention needs to be given to devising qualitative indicators. A balance
of indicators is needed that will capture the total picture of change.

Rigid application of the steps and format outlined in 6.4 can result in performance
or change that is difficult to quantify not being considered or given value. We
should not ignore to measure changes just because they may be difficult to
quantify or analyse.

It is often, with care, possible to ‘quantify’ qualitative aspects; opinion polls and
market surveys do it all the time. A citizen score card for example might collect
public opinion data on public services. Whether the instrument is valid or crude or
spurious will depend on the context, and the way the information is collected,
analysed and used.

Process and Product Indicators

It is important to measure not just what is being done but how it is being done; not
just the ‘products’ resulting from an intervention, but also the ‘processes’.
Processes may be ‘means’ but with an underpinning capacity building agenda,
those ‘means’ themselves become ‘ends’.

Focus on the processes will generally lead to better targeting of the activities at
real problems and needs, better implementation and improved sustainability. At
the outset of a process initiative it may be very difficult, and undesirable, to state
the precise products of the initiative. Instead outputs and activities may be
devised for the first stage or year; then later outputs and activities are defined on
the basis of the initiative learning. Processes will therefore need more frequent
monitoring.

Product indicators may measure the technologies adopted, the training manual in
print and disseminated, the increase in income generated. Process indicators are
usually more qualitative and will assess how the technologies were developed and
adopted, how the manual was produced and how the income was generated, and
who was involved. At least some of these indicators will be subjective. End-users

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and participants may be asked to verify them, but the means of verification may
still be less than fully objective.

6.6 Identifying the Data Sources, the evidence

Having set indicators, milestones and targets, what Data Sources or evidence will
be used for each measure? This is a vital aspect of the initial planning that is often
overlooked. Building in data sources at this stage will make the monitoring, review
and evaluating of the project easier.
Column 3 of the logframe relates to the verification; indeed it is sometimes titled
Means of Verification. It should be considered as you formulate your indicators
and targets. So complete columns 2 and 3 at the same time.
A data source will almost invariably be documents; sometimes it may be films,
DVDs, videos or audiotapes. The key point, a data source is not an activity, such
as a survey, a stakeholder review. If an activity is required, and will be done and
budgeted within the project, then it will be in Column 1 of the logframe. The
output of that activity, the survey report or review report will be the data source.
In specifying our Data Sources we need to ask a series of simple questions:
 What evidence do we need?
 Where will the evidence be located?
 How are we going to collect it?
 Is it available from existing sources? (e.g. progress reports, records,
accounts, national or international statistics, etc)
 Is special data gathering required? (e.g. special surveys)
 Who is going to collect it? (e.g. the project team, consultants, stakeholders
etc)
 Who will pay for its collection?
 When/how regularly it should be provided (e.g. monthly, quarterly annually)
 How much data gathering (in terms of quantity and quality) is worthwhile?

Some typical Data Sources

 Minutes of meetings and attendance lists
 Stakeholder feedback, results of focus groups
 Surveys and reports
 Newspapers, radio and TV recordings, photographs, satellite imagery
 National and international statistics
 Project records, reviews and reports; external evaluation reports
 Reports from participatory poverty assessment or rural/urban appraisal
exercises

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Be careful not to commit yourselves to measuring things that will be very

expensive and time consuming to measure. Go back to Column 2 if the indicators
you have chosen are impractical to measure. You need to be practical!
In the process of completing Columns 2 and 3, you are likely to be adding
activities and possibly an output to Column 1 relating to monitoring, review and
lesson learning.

Figure 6b. Indictors and Verification

Column 1 Column 2 Column 3 Column 4
Objectives Indicators / targets Data Sources Assumptions

Impact / Goal: Measures of the Sources of data

longer-term impact needed to verify status
that the project of Goal level
contributed to. indicators

Purpose/ Measures of the Sources of data

Outcome: outcome achieved needed to verify status
from delivering the of the Outcome level
outputs. indicators

Outputs: Measures of the Sources of data

delivery of the needed to verify status
outputs. of the Output level
indicators

Activities: These measures are Sources of data

often milestones and needed to verify status
may be presented in of the Activity level
more detail in the indicators
project work plan.

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6.7 Checklist – Indicators and Data Sources

1. Are the Targets and Milestones described in terms of Quality, Quantity and
Time (QQT)?
2. Are the Indicators and Data Sources:
 Relevant
 Valid / Reliable
 Measurable / verifiable
 Cost-effective / proportionate?
3. Are the Indicators necessary and sufficient? Do they provide enough
triangulation (cross checking)?
4. Are the Indicators varied enough?
 Product and Process
 Direct and Indirect
 Formative, Summative and beyond
 Qualitative and Quantitative
 Cross-sectoral?
5. Who has set / will set the Indicators? How will indicators be owned?
6. Are the Data Sources
 Already available
 Set up where necessary within the project?
7. Is there need for baseline survey?

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Data
Objectives Indicators and Targets Assumptions
sources

Milestones
Indicators Base- Target
line 1year 2 year - 2015

% loan return rate of men and women group in 3

F44 F50 F70 F80
targeted districts. M24 M40 M60 M70

One possible layout of Indicators Baselines, Milestones and Targets

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Figure 6c The OFDF case study: The complete logframe example

Timeframe: 4 years Allocation: $2.4 million
Objectives Indicators (by End of Project Data Sources Assumptions
unless otherwise stated)6
Impact / Goal:
Increased income of 1 10% increase in income from Producer 1. Benefits of the
small farmers and their dried fruit production by target household project accrue to
families. group members. survey (PHS) the vulnerable at
2 At least 50% of target group report community and
members attribute their PHS report household levels.
livelihood improvement to the
OFDF project.
3 Growth in production, and Dried Fruit Board
exports of dried fruit products. (DFB) report
4 Stable or upward trend in DFB data and
export and farm gate prices. market report
Purpose:
Farmer groups and 1 20% representation by OFDF DFB and Project 2. The security
exporters are target producer groups in reports situation does not
competent partners for established local and district deteriorate such
international trade and DFB institutions/fora. that it disrupts
are exporting dried 2 At least 100 producers certified DFB / OFDF project activities
fruit products to as either Organic or Fairtrade reports and results.
organic and fairtrade or both. A further 200+ 3. Local production is
markets. producers in transition. able to compete in
3 Quality of OFDF, transitional DFB / OFDF meeting growing
and non-OFDF dried fruit reports international and
produce for export improved: local demand.
 %s Grade A, B and C
 % Grade D (reject)
 % rejected at point of import.
4 Increased overall volume and DFB reports
value of OFDF and non-OFDF
dried fruit exports.
5 Proportion of DFB exports that DFB and OFDF
secure OFDF premium. joint reports
6 Exporters storing and/or DFB and OFDF
releasing in response to price. joint reports
7 Ability to meet demand; supply DFB data and
as a proportion of demand. market report
Outputs:
1 Inception report 1.1 Inception report presented at 3 Inception report 4. Essential linkages
with agreed provincial stakeholder and workshop between
consolidated workshops in M7 with reports producers, traders
project plan, M&E feedback and ownership. and others in the
framework and 1.2 Annual reviews show the M&E M&E status market chain can
systems in place. system is generating timely , reports informing be fostered.
accurate data for project Annual review 5. Quality needs are
management needs. (AR) reports understood and
1.3 The number of security Security reports addressed
incident reports involving informing AR especially by
project personnel. report. producers and
2 Effective 2.1 The vulnerable and Social devt traders.
institutional disadvantaged engaged in adviser reports
linkages and equitable OFDF processes.
networks in place. 2.2 New linkages established with Quarterly reports
external institutions.
2.3 At least 36 farmer groups District staff

6
Most are expressed as Indicators; Targets to be determined by end of Inception Phase and baseline survey.

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Objectives Indicators (by End of Project Data Sources Assumptions

unless otherwise stated)6
across 9 districts and 3 reports; Project
provinces operating largely Quarterly Reports
self-managed obtain services
from diverse providers.
2.4 Quarterly self managed OFDF District reports;
district producer meetings. Quarterly Reports
3 Market-oriented 3.1 Analysis report includes Analysis report
evidence available expressions of interest with
on which to base analysis of needs and
strategy and on- standards of at least 20 new
going planning. international clients in 6
countries; by M9.
3.2 Volume of OFDF and non- DFB reports and
OFDF dried fruit export orders OFDF joint reports
secured and number from new
clients.*
4 A coherent plan 4.1 Plan approved by key The Plan and
developed, agreed stakeholders in government Letters of
by stakeholders at and parallel programmes agreement
all levels and in (counter narcotics and
operation for small alternative livelihoods).
farmers to engage 4.2 Plan developed and approved Social devt
in international by all stakeholder groups adviser reports
Organic and (including small farmers,
Fairtrade Markets. vulnerable and
disadvantaged).
4.3 Plan (in particular the mutual Quarterly reports
dependence of groups to meet
export demands) assists other
efforts in conflict resolution.
5 Capacities of 5.1 A team of 12 field staff able to Stakeholder
producers and fulfill the dual role of survey reports
others in the supporting farmers, farmer
market chain groups and traders, and
strengthened. administering the OFDF
certification scheme.
5.2 At least 300 farmers entering Quarterly reports
OFDF export certification DFB / OFDF
scheme; 100 by end M18. reports
(Data disaggregated
small/large farmers, gender
and vulnerable groups).
5.3 Number of farmers leaving DFB / OFDF data
OFDF certification scheme. and report
5.4 Increase in exporters’ storage / DFB / OFDF data
dispatch capacity. and report

Indicative Activities:
1.1 Raise awareness of key 1.1 Completed by M2. Quarterly reports
stakeholders. 1.2 PSC in place by M3. Quarterly reports 6. Key
1.2 Establish Project Steering 1.3 Staff recruited, trained and in Quarterly reports production
Committee (PSC). post by M6. inputs are
1.3 Recruit / train core staff. 1.4 Completed by M4 Quarterly reports available to
1.4 Initial stakeholder 1.5 Inception Report agreed by PSC Inception report small
consultations. completed by M6 including and PSC meeting farmers.
1.5 Secure agreement on project plan, M&E framework report 7. The
Inception Report. and security plan. incentives for
small farmers

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2.1 Establish partnerships 2.1. Linkages in place by M5 with Quarterly reports to produce
with existing institutions meetings at least quarterly and export
(including parallel thereafter. dried fruit are
programmes on counter 2.2 Review completed by M7 with Review report and sufficiently
narcotics and alternative action plan in operation Quarterly reports strong.
livelihoods). 2.3 Three district-level clusters each Quarterly reports
2.2 Review current socio- of at least 12 farmer groups with
economic networks with a total of 120 farmers
emphasis on gender and established by M12 and meeting
the needs of vulnerable monthly. A further six similar
groups. district clusters established by
2.3 Set up farmer groups. M24; total number of groups 36,
2.4 Identify and build and farmers 360.
networks with diverse 2.4 Initial review carried out as part of Review report and
service providers in public 2.2; review action plan in Quarterly reports
and private sectors and operation.
civil society.
3.1 Analyse market 3.1 Robust analysis completed by Analysis report
opportunities and M9. and Quarterly
standards. reports
3.2 Conduct baseline and on- 3.2 Baseline study completed by M 9. Baseline report
going study of farmer Ongoing data study thereafter and Quarterly
practices, productivity and report
production.
3.3 Review lessons from 3.3 Reviews completed by M12 with Review report
similar quality standards case studies and clear lessons
export marketing efforts, derived.
particularly in complex,
difficult environments.
3.4 Establish information 3.4 Timely quality information OFDF Plan
systems for on-going informing the development, Quarterly reports
access, flow and implementation and updating of
exchange of information. the OFDF plan
3.5 Carry out analysis of post- 3.5 Analysis provides information as Synthesis report
harvest elements of the per 3.4 OFDF Plan
market chain. Quarterly reports
3.6 Identify best practices in 3.6 Best practice briefings for a Best practice
production and post- variety of audiences drafted and briefings and
harvest. tested; first set by M 18. other materials
4.1 Develop farmer group 4.1 Each group develops a plan Distrcit staff
level action plans. within 3 months of forming; reports and
4.2 Agree criteria for OFDF updated annually. Quarterly reports
project support. 4.2 Initial critiera set by M 6; Quarterly reports
4.3 Develop and agree overall amended in the OFDF plan.
OFDF project plan and 4.3 Plan agreed by PSC M 9. The OFDF plan
process. and Quarterly
4.4 Implement following 4.4 Implementation targets as per the reports
agreed plan and process. plan. Quarterly Reports
4.5 Develop and implement 4.5 Communications plan agreed by The Comm plan
OFDF communications PSC by M12. and Quarterly
plan and strategy. Reports
5.1 Carry out comprehensive 5.1. TNA completed by M12. TNA report
Training Needs
Assessment (TNA)
across key stakeholders.
5.2 Develop and implement a 5.2 Training plan in place by M12; Training Plan and
training programme for training ongoing thereafter. reports
key stakeholders.

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7. WORK AND RESOURCE PLANNING; WHAT DO WE

NEED TO GET THERE?
7.1 Preparing a Project Work Plan

The activities listed in a logframe developed for approval prior to implementation

will probably include indicative activity clusters or groups. Clarification of a
detailed work plan will generally happen in the first few months of implementation,
often called the Inception Phase. This is very important time when stakeholder
ownership is broadened and consolidated, when the overall plan is confirmed,
when the necessary activities are worked out in detail and when the monitoring,
review and evaluation needs and arrangements are finalised.
A common mistake is to include too much detail in the logframe. There is no need
to list pages and pages of detailed activities. Typically these are set out in a
separate Work plan or Gantt Chart, in general terms for the whole project
lifespan and in detail for the next 12 months. See Figure 7a for an example.
In a Gantt Chart each Output is listed together with its associated activities (sub-
activities and/or indicators and milestones are sometimes used as well). Then
some form of horizontal bar coding is given against a monthly (or sometimes
weekly) calendar.
To this may be added other columns such as the identity of the staff who will do
the activity; the proposed number of days; priority; rough estimate of cost; etc..
The beauty of the work plan in this form is that it is highly visual, relates back to
the logical framework in a precise way, and it can be used to give order and
priority to inputs.
It is an opportunity to review the time scale and feasibility of the project activities,
allocate responsibility for undertaking actions (or achieving indicators), and can
also inform issues of cash flow. It is also a participatory tool that can be used with
the project team to explore precisely the issues listed above. In this role it may
begin as a timeline onto which indicators are placed (thus making them
milestones), which in turn informs the timing of the actions to achieve them.

7.2 Preparing a Project Budget

Now the full Budget needs to be prepared. Figure 7b gives an example. It is not
essential for the budget line headings to fully correlate with the logframe objective
headings and not always possible. For example there could be one project vehicle
partially used for implementation of ALL project activities.
However if costs can be accounted for against project activities and outputs then
value for money can be compared between the different Activities and Outputs
and this will be very useful when the project is reviewed and perhaps further
phases are planned and funded.
In addition if project expenditure can be reported against the logframe objectives
then expenditure on different aspects of the project become much more
transparent for the interested, but intermittently involved, stakeholders

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Figure 7a Example of a work plan / Gantt Chart (partial) The OFDF case study

MONTH
ACTIVITY WHO? 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 etc.

1.1 Raise awareness of key stakeholders. RT

1.2 Establish Project Steering Committee (PSC) TF

1.3 Recruit / train core staff. PM

1.4 Initial stakeholder consultations. PM

1.5 Secure agreement on Inception Report. PM

2.1 Establish partnerships with existing TF

institutions.
2.2 Review current socio-economic networks. TF/RT

2.3 Set up farmer groups. RT

2.4 Identify and build networks with diverse

service providers
3.1 Analyse market opportunities and TF/PM
standards.
3.2 Conduct baseline and on-going study of PM
farmer practices, productivity and
production.
3.3 Review lessons from similar quality PM
standards export marketing efforts.
3.4 Establish information systems for on-going PM
access, flow and exchange of information
Etc etc.

KEY Development Implement Self-review Annual Review

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Figure 7b: A typical project budget based on a logframe

Activities / Inputs Unit Quantity per quarter Cost per Cost codes Costs per quarter Project
unit total
Q1 Q2 Q3 Q4 Project Govt Q1 Q2 Q3 Q4
1.1 Raise awareness of
key stakeholders
Equipment
Computers No. 1 780 E2 A/1.5 780 780
Travel Km 500 500 250 250 0.2 T1 C/2.3 100 100 50 50 300
Non-fixed salaries and P days 40 40 40 40 70 S4 B/4.3 2800 2800 2800 2800 11200
allowances
Consultancy support P days 14 14 300 S3 B/3.2 4200 - - 4200 8400
Meeting costs No. 2 1 1 3 200 P5 F/4.2 400 200 200 600 1400
Communications Lump 2 2 1 1 100 O3 H/3.3 200 200 100 100 600
1.2 etc
1.3 etc

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8. CONCLUSIONS
8.1 Checking the Logical Framework

You should now have a completed Logical Framework and it is worth going through it
and checking it against this checklist7.

1  The Project has one clear Purpose.

2  The Purpose is not a reformulation of the outputs.

3  The Purpose is outside the full managerial control of the project

manager BUT the causal links between outputs and Purpose are
clear and strong.

4  The Purpose is clearly stated and does not contain words like “by”,
“so that” or “through”.

5  All the outputs are necessary for accomplishing the Purpose.

6  The outputs are clearly stated.

7  The outputs are stated as results, with the noun preceding the
verb.

8  The activities define the action strategy for accomplishing each

output, led by strong verbs.

9  The impact / goal is clearly stated.

10  The if/then relationship between the Purpose and goal is logical

and does not miss important steps.

11  The assumptions at the activity level include pre-existing

conditions.

12  The outputs plus the assumptions at Purpose level produce the

necessary and sufficient conditions for achieving the Purpose.

13  The Purpose plus assumptions at impact / goal level describe the

critical conditions for substantively contributing to the goal.

14  The relationship between the inputs/resources and the activities is

realistic.

15  The relationship between the activities and outputs is realistic.

7
Adapted from the Team up Project List.

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16  The relationship between the outputs and the Purpose is realistic

17  The vertical logic from activities, outputs, Purpose to goal is

realistic as a whole.

18  The indicators at the Purpose level are independent from the

outputs. They are not a summary of outputs but a measure of the
Purpose level change.

19  The Purpose indicators measure what is important.

20  The Purpose targets have quantity, quality and time measures.

21  The output targets are objectively verifiable in terms of quantity,

quality and time, and are independent of the activities.

22  The impact / goal-level targets are verifiable in terms of quantity,

quality and time.

23  The associated budget defines the resources and costs required

for accomplishing the Purpose.

24  The Data Sources column identifies where the information for

verifying each indicator will be found and who will be responsible
for collecting it.

25  The activities identify any actions required for gathering data /

evidence.

26  The outputs define the management responsibility of the Project.

27  When reviewing the Logical Framework, you can define the

monitoring, review and evaluation plan for the Project.

28  The Purpose indicators measure sustainable change.

29  The output strategy includes a description of the project

management systems.

30  The team designing the project are completely exhausted!

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8.2 Using the Logical Framework

The logical framework now provides a comprehensive and through project plan that
all partners have been involved in and that has an inherent logic running through it.
The logical framework is useful for a number of purposes:
 Monitoring, Reviewing and Evaluating – Keeping track of the project, it forms a
most useful monitoring, reporting and evaluation tool (See Appendix F for further
details).
 Communicating the details of what the project is about – Informing partners about
the overall objectives of the project (See Appendix I for further details).
 Reporting in brief.(See Appendix J for further details).
 A commissioning tool – Section 8.3 explains how frameworks can be nested
within each other – the overall goals can become Purposes which other
organisations can be commissioned to deliver.

8.3 Nesting the Framework

One of the interesting things about logical frameworks is how they can be linked
together and ‘nested’ within each other. Your organisation/group may have a number
of different level plans (For example an organisational plan, regional plans, team
plans and individual plans within these). Theoretically the objectives should feed
down through these plans so that the ‘Purpose for the high level plan becomes the
impact / goal for the subsequent plans and this process continues as objectives
become more and more specialised. See Appendices G and H for further details.

8.4 Useful References

DFID (2002) Tools for Development. http://www.dfid.gov.uk/pubs/files/toolsfordevelopment.pdf

Asian Development Bank Guidelines for Preparing a Design and Monitoring

Framework (DMF) (2006) www.adb.org/Documents/guidelines/guidelines-preparing-
dmf/guidelines-preparing-dmf.pdf

Ausaid guides www.ausaid.gov.au/ausguide/default.cfm

Europe Aid guides

http://europa.eu.int/comm/europeaid/qsm/project_en.htm
http://europa.eu.int/comm/europeaid/qsm/documents/pcm_manual_2004_en.pdf

SIDA guide http://www.sida.se/shared/jsp/download.jsp?f=SIDA1489en_web.pdf&a=2379

Groupe Initiatives http://www.gret.org/ressource/pdf/traverse_13.pdf

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APPENDIX A: GLOSSARY
Term Definitions Notes

Activities Actions taken or work performed through

which inputs, such as funds, technical
assistance and other types of resources are
mobilised to produce specific outputs.

Assumptions Hypotheses about factors or risks which could An assumption is a necessary

affect the progress or success of development condition for the achievement of
intervention. results at different levels. See
Risks.
Baseline The situation prior to a development Baseline study – analysis thereof
intervention against which progress can be
assessed or comparisons made.

Benchmark A reference point or standard against which A benchmark refers to the

progress or achievements can be assessed. performance that has been
achieved in the recent past by other
comparable organisations, or what
can be reasonably inferred to have
been achieved in similar
circumstances.
Development An instrument or approach for partner (donor For example projects, programmes,
Intervention or non-donor) support aimed to promote budget support, sector wide
development approach etc.
Goal The higher order objective to which a See Impact. ‘Goal’ is synonymous
development intervention is intended to with positive impact.
contribute.

Impact Positive and negative, long-term effects on These effects could be economic,
identifiable population groups produced by a socio-cultural, institutional,
development intervention, directly or indirectly, environmental, technological or of
intended or unintended. other types. Note that both Goal
and Impact should relate to people,
not solely to things e.g. an
ecosystem.
Inputs The financial, human, material technological
and information resources used for the
development intervention.

Indicators See Performance Indicators.

Milestones Significant points in the lifetime of a project. Hence the term may apply to a
Times by which certain progress should have milestone indicator or target;
been made. synonymous with formative
indicator or target in contrast with
terminal – at the end of a given
period or intervention.
Logical A management tool used to improve the Typically synonymous with Results
Framework or design of interventions, most often at project Framework or Design and
Logframe level. It involves identifying strategic elements Monitoring Framework. Though
(inputs, outputs, Purposes and impact) and most often used at project level, is
their causal relationships, indicators and the also used at lower levels (e.g. an
assumptions and risks that may influence personal development plan) and at
success and failure. It thus facilitates higher levels (e.g. programme,
planning, execution and evaluation of a budget support, or country levels -
development intervention. such as an UNDAF Monitoring and
Evaluation Framework).

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Term Definitions Notes

Means of Data sources and reporting mechanisms that More or less synonymous with
Verification specify how indicator data will be collected, by Evidence or Verification or Data
(MoVs) whom and when. Sources.

Nesting The inter-relationship of two or more Logical

Frameworks to illustrate how they
communicate and share objectives at different
levels.

Objective A generic term referring to Activities, Outputs, To avoid confusion it is best to only
Purpose and Impact. use this term generically. Avoid
using it more narrowly e.g. Specific
Objective, Intermediate Objective,
Development Objective.

Purpose The likely or achieved short-term and Outcome has become synonymous
medium-term effects of an intervention’s with Purpose. Limit the Purpose to
outputs, usually requiring the collective effort one succinct statement to ensure
of partners. Purposes represent changes in clarity and focus. Purpose
development conditions which occur between statements typically describe the
the completion of outputs and the change of behaviour resulting from
achievement of impact the uptake or use or implementation
by others outside the project team
(often beneficiaries) of the Outputs.

Outputs The products and services which result from Outputs are like promises; they are
the completion of Activities within a the deliverables, the term of
development intervention. reference of the project manager
and team. The team has a high
degree of control over the delivery
of the outputs.

Performance A quantitative and/or qualitative variable that Synonymous with Indicators or

Indicator allows the verification of changes produced by Objectively Verifiable Indicators.
a development intervention relative to what See Target. An indicator is a
was planned. means of measuring change; a
target is a specific end point.
Specify indicators and targets in
terms of quantity, quality and time.

Problem A structured investigation of the negative

Analysis aspects of a situation in order to establish
causes and effects.

Project A series of activities aimed at bringing about Confusingly the term is sometimes
clearly specified objectives within a defined used more widely to include
time-period and with a defined budget. programmes and budget support;
i.e. it is used synonymously with
Development Intervention.

Purpose The publicly stated outcome of a project or Purpose has become synonymous
programme. with Outcome. Outcome is
preferred in UNDG terminology.

Results Results are changes in a state or condition Result is best used as a generic
which derive from a cause-and-effect term for output, outcome and
relationship. There are three types of such impact at any or all levels. In
changes (intended or unintended, positive contrast the EC uses the term
and/or negative) which can be set in motion narrowly, synonymous with Output.

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Term Definitions Notes

by a development intervention – its output,

Purpose and impact.

Results A management strategy by which an RBM rests on clearly defined

Based organisation ensures that its processes, accountability for results and
Management products and services contribute to the requires monitoring and self-
achievement of desired results (outputs, assessment of progress towards
outcomes and impacts). results, and reporting on
performance.

Results chain The causal sequence for a development Based on a theory of change,
intervention that stipulates the necessary including underlying assumptions.
sequence to achieve desired objectives –
beginning with inputs, moving through
activities and outputs, and culminating in
outcomes, impacts and feedback.

Risk A potential event or occurrence could A risk should not be written as the
adversely affect achievement of the desired negative of an assumption (e.g.
results. Assumption = ‘inflation remains at
manageable level’; Risk =
‘Hyperinflation’). It is useful to view
assumptions as the conditions that
remain after mitigatory measures
have been put in place.
Stakeholder Any person, group, organisation or institution This includes intended beneficiaries
that has an interest in an activity, project or and intermediaries, winners and
programme. losers, and those involved or
excluded from the decision making
process.

Stakeholder Identification of all stakeholders who can

Analysis influence the intervention or are likely to be
affected (either positively or negatively) by it.

Sustainability The continuation in the benefits produced by

the intervention after it has ended.

Target A specific level of performance that an See Performance Indicator.

intervention is projected to accomplish in a Indicators are means, targets are
given time period. ends. E.g ‘the proportion of
population below minimum level of
dietary energy consumption’ is an
indicator; ‘Halve, between 1990 and
2015, the proportion of people who
suffer from hunger’ is a target.

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APPENDIX B: PROJECT MANAGEMENT

What is a project?
A project can be defined as ‘a series of activities aimed at bringing about clearly
specified objectives within a defined time period and with a defined budget’8.

Another definition of a project might be ‘a temporary organisation that is needed to

produce a unique and defined Purpose or result at a pre-specified time using
predetermined resources.’9

A project should have a number of features:

 a finite, defined life cycle
 defined and measurable results
 a set of activities to achieve those results
 defined stakeholders
 an organisational structure with clear roles and responsibilities for
management, coordination and implementation
 a defined amount of resources and
 a monitoring, review and evaluation system.

Within the business context emphasis is placed on the need for a project to be
created and implemented according to a specified business case. In the
development context, this may not be considered relevant. But it is. Perhaps omit
the word business and the message is clear and useful; that a project needs to have
a specified case. It needs to be based on a clear rationale and logic; it must be
‘defendable’ at all stages when it comes under scrutiny.

By its very nature, a project is temporary, set up for a specific purpose. When the
expected results have been achieved, it will be disbanded. So projects should be
distinguished from on-going organisational structures, processes and
operations, with no clear life cycle. These organisational aspects may well of course
provide key support functions to projects but those aspects do not come with the
remit of the project team. Where needed they are in effect services bought in by the
project. (One can of course have an individual with more than one role, one of which
may be long-term, on-going within the organisation, another temporary within a
project.)

Within the development context there are many different types of project;
different in purpose, scope and scale and this can lead to confusion. In
essence a project is any planned initiative that is intended to bring about beneficial
change in a nation, community, institution or organisation. It has boundaries that are
determined by its objectives, resources and time span. A ‘project’ typically is a free-
standing entity relatively small in budget, short in duration and delivered by its own

8
EU (2004) Aid Delivery Methods. Volume 1 Project Cycle Management Guidelines available at
ec.europa.eu/comm/europeaid/reports/pcm_guidelines_2004_en.pdf
9
This definition comes from PRINCE2 a project management method established by the UK Office of
Government Commerce (OGC) which has become a standard used extensively by the UK government
but which is also widely used and recognised internationally.
OGC( 2005) Managing successful projects with PRINCE2

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implementation unit. Or it may be an endeavour with a multi-million dollar budget and

timeframe stretching to a decade. But the same term is sometimes confusingly used
also for large and complex initiatives embedded within still larger programmes, with
rolling time-frames and involving multiple partners. The term is sometimes also used
for the development of an element of policy. These notes are about project
planning; but remember essentially the same principles, processes and tools
can also be applied in programme planning.

Weaknesses of the project approach

‘Classical’ projects in the development context have come in for much, usually highly
justified, criticism; for example:
 ‘Outsider’ (usually donor) controlled priorities and systems
 Not aligned with national priorities
 Little local ownership, not responsive to real needs, weak implementation,
accountability and sustainability
 Not addressing holistic, cross-sectoral issues; the management language
is full of metaphors, of projects exacerbating the tendency to think and work in
‘boxes’ or ‘silos’
 Fragmented and disjointed effort (sometimes in opposite directions)
 Perverse incentives (e.g. well-funded ‘capacity building’ projects can de-skill
other key actors such as government departments)
 High transaction costs; excessive demands on time of national government
offices; poorly harmonised planning and reporting systems
 Bias in spending; tied aid.

But all these issues are not unique to projects; many can apply equally to other aid
approaches. And they have not meant that projects have disappeared. In non-state
work, such as civil society (e.g. NGOs, charities) and the private sector, projects
remain a key aid modality. And projects remain within state work, but the nature and
ownership of those projects and the funding mechanisms behind them have changed
and are continuing to change.

What is the Project Managers Role?

Every project requires management. Someone should be setting objectives,
allocating resources, delegating responsibility and monitoring performance in order to
keep the project on track.
Of course, as in any management situation, the style that the manager adopts can
vary from a very authoritarian, vanguard leader with a hands-on approach, through to
a consultative, delegating manager who is one step back from the action, to a
democratic, developer manager who facilitates others to achieve. We would advocate
the latter.
As a project manager you are key to the success of the project. To be effective you
must be able to:
 Lead and/or coordinate a team of skilled individuals
 Communicate with everyone involved with the project
 Motivate the project team, stakeholders, and contractors

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 Negotiate effective solutions to the various conflicts that may arise between
the needs of the project and its stakeholders.
 Identify the risks to the project and limit their effects upon its success.
 Use a variety of basic project management tools and techniques
 Maintain a good sense of humour at all times!

Do however please remember:

Tools such as stakeholder and problem analysis are not a substitute for
professional judgement; simply complementary!

What is Project Cycle Management (PCM)?

The term Project Cycle Management (or PCM as it is sometimes called) is used to
describe the management activities, tools and decision-making procedures used
during the life of the project. This includes key tasks, roles and responsibilities, key
documents and decision options.
The objective of PCM is to provide a standard framework in which projects are
developed, implanted and evaluated. The concept of a cycle ensures that the results
of the different experiences of the project are learned and factored into new projects,
programmes and policy.
The use of PCM tools and decision making procedures helps to ensure that:
 Projects are relevant to agreed strategic objectives
 Key stakeholders are involved at the important stages of the project
 Projects are relevant to real problems of target groups/beneficiaries
 Project objectives are feasible and can be realistically achieved
 Project successes can be measured and verified.
 Benefits generated by projects are likely to be sustainable
 Decision-making is well informed at each stage through easily understood
project design and management materials.

The Project Cycle

There is no “correct” or “ideal” project cycle. Different organisations develop their own
project cycle according to their own needs, requirements and operating environment.
A typical Project Cycle is shown in Figure A (over). It is interesting to compare it with
the cycle in the Introduction.
Throughout the entire cycle a process of reflection is encouraged to ensure that
LESSON learning is at the heart of the process, enabling adjustment to activities,
indicators of success, appreciation of risks and the focus of achievements.

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 FIGURE A: THE PROJECT CYCLE

© EIF 2011
 STRATEGIC OBJECTIVES
 Requests
 Local Objectives
 Project Concepts
 Feasibility Studies

IDENTIFICATION
 Evaluation Studies
 Stakeholder Analysis
CLEARANCE  Problem Analysis
EVALUATION  Risk Analysis
 Logical Framework
Analysis

LESSON DESIGN
 Project Completion LEARNING
 Project Document
Reports
 Terms of Reference
COMPLETION
APPROVAL
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 Participatory Management
 Reporting
IMPLEMENTATION
 Monitoring

 Output-to-Outcome
Reviews  Activity-to-Output

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APPENDIX C: SUMMARY OF THE LOGICAL FRAMEWORK

Start here (NOT with the Activities!)
Prior Steps Use appropriate and Step 7 Re-check the design logic e.g if the
proportionate processes before starting conditions are in place and we do the activities, will we
on the logframe itself e.g stakeholder, deliver the Outputs? And so on up columns 1 and 4.
Indicators / Data
problem, objectives and options Objectives Targets sources Assumptions
Move on to Step 8 overleaf.
analyses.
Step 1 Define the Impact / Goal Step 6d Do a robust risk
To what national or sector level priorities are we Impact Purpose to With the Purpose analysis.
contributing? What long-term benefits on the lives Impact achieved, what
conditions
of the poor will happen partly as a result of the conditions are needed At each level, identify
project? Several interventions may share a to contribute to the risks by asking what
common Goal. Impact / Goal? can stop success. For
each risk, evaluate its
Step 2 Define the Purpose Step 6c seriousness and
What immediate change do we want to achieve? Purpose Output to With the Outputs
Purpose probability; and identify
Why is the intervention needed? How will others delivered, what mitigatory measures.
conditions
change their behaviour as a result of the use, conditions are needed Manage the risks by
uptake or implementation of the Outputs? How will to achieve the adding mitigatory
development conditions improve on completion of Purpose? measures planned
the Outputs? Limit the Purpose to one succinct within the project to
statement. Column 1 (mainly as
Step 3 Define the Outputs Step 6b Activities, possibly as
What will be the measurable end results of the Outputs Activity to With the Activities an Output). The
planned activities? What products or services will Output completed, what conditions that remain
conditions are the Assumptions in
the project be directly responsible for, given the conditions are needed
necessary resources? to deliver the Outputs? Column 4.
Avoid mixing
Assumptions and Risks.
Step 4 Define the Activities Step 6a
What needs to be actually done to achieve the Activities Pre- What conditions need
Outputs? This is a summary (not detailed conditions to be in place for the
workplan) showing what needs to be done to Activities to be done
accomplish each Output. successfully?

Step 5 Check the vertical logic back up Column 1 Step 6 Define the assumptions at each level
Apply the If/then test to check cause and effect. If the listed Activities are carried Do a robust risk analysis to determine the Assumptions in the project
out, then will the stated Output result? Is what is planned necessary and design.
sufficient? Are we planning to do too much or too little? And so on up Column 1.

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Step 8 Define the Performance Indicators and Data Sources / Evidence

Complete both columns together
Indicators are means; Targets are ends. Start Evidence is usually in the form of documents,
by defining Indicators; only set Targets when outputs from data collection. Some reliable
there is enough baseline data and stakeholder sources may already be available. Include
ownership. Set Indicators and Targets in data collection planned and resourced in the
Indicators /
Objectives Targets
terms of Quality, Quantity and Time. project as Activities in Column 1. Data sources Assumptions

Impact Step 8a Impact indicators / targets Step 8a Impact data sources

What will indicate the impact changes that What evidence will be used to report on
are happening / will happen to which the Impact changes? Who will collect it and
project has contributed? Include changes when?
that will happen during the lifetime of the
project, even if only early signs.

Purpose Step 8b Purpose indicators / targets Step 8b Purpose data sources

At the end of the project, what will indicate What evidence will be used to report on
whether the Purpose has been achieved? Purpose changes? Who will collect it
This is the key box when the project is and when?
evaluated on completion.

Outputs Step 8c Output indicators / targets Step 8c Output data sources

What will indicate whether the Outputs have What evidence will be used to report on
been delivered? What will show whether Output delivery? Who will collect it and
completed Outputs are beginning to achieve when?
the Purpose? These indicators / targets
define the terms of reference for the project.

Activities Step 8d Activity indicators / targets Step 8d Activity data sources

What will indicate whether the activities have What evidence will be used to report on
been successful? What milestones could the completion of Activities? Who will
show whether successful Activities are collect it and when? A summary of the
delivering the Outputs? A summary of the project accounts will be one (but not the
project inputs and budget will also be only) entry here.
one(but not the only) entry here?
Do not include too much detail in the logframe. A detailed workplan and budget will follow as separate, attached documents.

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APPENDIX D: STRENGTHS AND WEAKNESSES OF THE

LOGFRAME PRINCIPLES

INTRODUCTION
The logical framework (logframe) approach (LFA) is a process and tool (more
accurately a ‘basket of tools’) for use throughout the project and programme cycle10 to
help strengthen analysis and design during formulation, implementation, evaluation
and audit. It involves identifying strategic elements (activities, outputs, Purpose and
impact) and their causal relationships, indicators and evidence to measure
performance and the assumptions and risks that may influence success and failure.

The logframe approach includes a set of interlocking concepts to guide and structure
an iterative process of analysis, design and management. In this paper we
distinguish between that process and the documented product of that process, the
logical framework matrix. A quality process is vital if a useful and effective product is
to be generated. The approach is essentially a way of thinking, a mentality. In some
contexts the matrix product is less important than the process; indeed a matrix may
not be needed.

The approach has become very widely employed and influential especially, but not
exclusively, in international development work. Many development agencies,
including national governments, multilateral and bilateral partners, and non-
government organisations, use the logframe approach in one of its variants. In many
agencies and for a variety of reasons, it has become mandatory practice.

Aid effectiveness commitments, most recently in the 2005 Paris Declaration11 agreed
by most partners in the development community, set out clear progress indicators
including for harmonisation of procedures in shared analysis, design and results-
oriented frameworks. This is work still, as the webpages say, ‘under construction’.
Already we are seeing much more consensus on terminology (e.g. in OECD12 and
UNDG13 glossaries). Similarly there is more uniformity amongst agencies in the
format of logical frameworks than there was a decade ago. Complete uniformity is
unlikely to be achievable or indeed desirable; frameworks are needed for different
outcomes so a general design framework will differ from one specifically to show
detailed results monitoring arrangements. The important thing is that the frameworks
help not hinder communication; that users can see how frameworks for different
outcomes link one to another within an overall results-based management system.

The logframe approach, proponents argue, is a simple process that helps:

 organise thinking;
 relate activities and investment to expected results;

10
The LFA can be applied at different levels with small projects, a higher-level programme or indeed a
whole organisation. In this paper, the term ‘project’ is intended to include all levels.
11
http://www.oecd.org/dataoecd/11/41/34428351.pdf
12
http://www.oecd.org/dataoecd/29/21/2754804.pdf
13
http://www.undg.org/documents/2485-Results-Based_Management_Terminology_-
_Final_version.doc

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 set out performance indicators;
 allocate responsibilities;
 communicate information on the project concisely and unambiguously.

There are however limitations to the logframe approach. In the current debate, it is not
easy to separate weaknesses that may be inherent in the tool itself from the poor
application of that tool. Some feel it is essentially a good tool, but one that is often
badly applied. The 'good servant, bad master' theme is deepened by the frequent use
of the logframe as a rigid and inflexible tool for central, hierarchical control. Some
opponents go further and reject the approach itself on the grounds that it is
reductionist and simplistic, that it exacerbates power imbalances between funder,
intermediary and beneficiary and that it is 'western-centric'.

Perhaps the most valid, but not altogether satisfactory, justification for widening the
use of the LFA is that 'something is better than nothing'. An approach has to be used,
ultimately to report progress against expenditure, and if there is widespread
consensus on one approach, all the better. Some who criticise the LFA as a planning
tool, are actually comparing it with not planning. Most of us would rather not plan; but
not planning rarely results in effective and efficient operation.

Many lessons have been learnt over the last twenty years as regards LFA best
practice; examples of enlightened and rewarding application in a variety of contexts
are now common. The LFA will only be beneficial if it is used in a thoughtful way such
that it influences project identification and design from the start, rather than only being
added at the end. The logframe matrix itself should be a product and summary of
thorough and systematic situation analysis and cannot be a substitute for this. As
such it must be embedded in a wider process; before work on the logframe matrix
starts, there needs to be analysis of who should be involved and how. This in turn will
lead to more effective appraisal of the context (be it social, technical, environmental,
economic, institutional, or gender etc.), of the problem to be addressed, of the vision
sought and strategic analysis of the alternative ways forward.

STRENGTHS OF THE LOGICAL FRAMEWORK APPROACH

The major strengths of the logframe approach are:

It brings together in one place a statement of all key elements of the project or
programme.
 Having all key components of projects or programme in a systematic, concise
and coherent way helps you clarify and demonstrate the logic of how the initiative
will work. This can be particularly helpful when communicating between partners
and when there is a change of personnel.

It fosters good situation analysis and project design that responds to real problems
and real needs.
 It systematizes thinking. It can help ensure that the fundamental questions are
asked and that cause and effect relationships are identified. Problems are
analysed in a systematic way and logical sequence. It guides you in identifying

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the inter-related key elements that constitute a well-planned project. It highlights
linkages between project elements and important external factors.

It encourages robust risk management.

 It systematically requires risks to be identified and assessed and mitigatory
measures to be factored into the design. It informs the ultimate decision to
approve the plan for implementation in the light of remaining assumptions.

It anticipates implementation.
 The logframe approach helps in the setting up of activity and input schedules with
clear anticipated outcomes. Likewise the use of logframes, can help ensure
continuity of approach if any original project staff move or are replaced.

It sets up a framework for monitoring and evaluation where anticipated and actual
results can be compared.
 By having objectives and indicators of success clearly stated before the project
starts the approach helps you set up a framework for monitoring and evaluation.
It is notoriously difficult to evaluate projects retrospectively if the original
objectives are not clearly stated. It helps to reveal where baseline information is
lacking and what needs to be done to rectify this. The approach can help clarify
the relationships that underlie judgements about the likely efficiency and
effectiveness of projects; likewise it can help identify the main factors related to
the success of the project.

It is easy to learn and use.

 Effective training in the basics of the logframe approach can be given in a few
days. Opportunities are then needed to apply and consolidate learning with
follow-up support through mentoring, networking and further training. A key group
of staff can become an effective resource team in a short period of time.

It does not add time or effort to project design and management, but reduces it.
 Like many other design and management tools the logframe approach has to be
learnt before it can be effectively used. Once learnt however, it will save time. Of
course, if it is being compared with not doing essential analysis and design work,
then it takes longer; but ‘not doing’ is not an option.

It enhances communication.
 The approach facilitates common terminology, understanding, purpose and
ownership within and between partners. Several logframes can interrelate; they
can nest together as a portfolio of initiatives working towards a common vision. In
a powerful way this can help individuals and teams understand the whole of
which they are a part; it helps them to see the bigger picture.

It can be used as a basis for a reporting and overall performance assessment system.
 The monitoring and evaluation elements of the logframe can be used to develop
a format for reporting clearly and succinctly against objectives and indicators and
for success scoring. Scores in turn can be collated across a portfolio to give an
assessment of overall performance and organisational and developmental
effectiveness.

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WEAKNESSES OF THE LOGICAL FRAMEWORK APPROACH

Some significant limitations of the LF approach are:

It is not a substitute for other technical, economic, social and environmental analyses.
It cannot replace the use of professionally qualified and experienced staff.
 It can help project design, implementation and evaluation, but clearly does not do
away with the need for other project tools especially those related to technical,
economic, social and environmental analyses. Likewise the approach does not
replace the need for professional expertise and experience and judgement.

It can be used as a means of rigid, top-down hierarchical control.

 Rigidity in project administration and management can sometimes arise when
logframe objectives, targets and external factors specified during design are used
as a straightjacket. The LF matrix should not be sunk in concrete, never to be
altered to fit changing circumstances. There needs to be the expectation that key
elements will be re-evaluated and adjusted through regular project reviews.

The logframe process might be carried out mechanistically as a bureaucratic box-

filling.
 This is a common abuse of the tool. The individual at their desk or in their hotel
room mechanistically filling in the matrix ‘because that’s what the procedures say’
is the antithesis of the approach. In its extreme the approach becomes a fetish
rather than an aid.

The process requires strong facilitation skills to ensure real participation by

appropriate stakeholders.
 To undertake the logframe process with the active participation of appropriate
stakeholders in decision-making is not easy. Facilitating, for example illiterate
primary stakeholders effectively through the process requires considerable skill.

The logframe is simplistic and reductionist.

 It over-relies conceptually on linear cause and effect chains. Life is not like that.
As a result, the logframe can miss out essential details and nuances.

The whole language and culture of the logframe can be alien.

 The jargon can be intimidating. In some cultures (organisational and national) the
logframe can be very alien. Concepts and terminology do not always easily
translate into other cultures and languages. The objectives-driven nature of the
logframe does not always transfer well across cultural boundaries. Unless
precautions are taken the LFA can discriminate and exclude.

The logframe approach is western-centric.

 This continues to be a hotly debated issue. Some opponents see the approach
as a manifestation of western hegemony and globalisation.

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IN CONCLUSION
The logframe is not a panacea. However, used sensitively, it is a powerful approach,
that can result in greater effectiveness, efficiency and inclusion. Developing a
logframe with real participation can have a very positive impact. Fresh thinking is
needed, customised to each context, to the extent in some contexts perhaps of not
using the matrix itself, and just working with the questions therein. The LFA’s wide
adoption suggests that, on balance, its strengths outweigh its limitations; some
disagree. Users need however to be well aware of the weaknesses and potential
abuses and misuses of the approach. The LFA must to be used flexibly with eyes
open to its limitations and pitfalls.

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APPENDIX E: CATEGORIES OF OUTPUTS

Human Capacity
 Specific Individuals or Groups able to do specific tasks
 To identify needs
 To research
 To develop policy

Systems
 For Administration
 For Management
 For Handling Information
 Procedures and guidelines
 For Research
 For Monitoring and Evaluation
 For Promotion and dissemination
 For Procurement and Contracting
 For Reporting
 For Human Resource Management

Knowledge and Information

 Lessons learned
 Product and Process
 Policy initiatives

Infrastructure
 Clinics
 Classrooms
 Computers etc.

Materials
 Research publications
 Extension materials
 Grey literature
 Training materials / curricula
 Broadcasts
 Websites
 Databases
 Documented procedures
 Product and Process

Awareness of various audiences

 Users
 Policy makers
 Other researchers in region and internationally
 Donor community
 Secondary Stakeholders

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APPENDIX F: ASSESSING PROJECT PERFORMANCE

Why assess project performance?

We need to demonstrate project performance so that we can more effectively manage
the outputs and outcomes of what we do and direct our effort in the direction where it
will have the greatest impact.

Project performance assessment traditionally involved monitoring and evaluation with

a focus on assessing inputs and implementation processes. The trend today is to
broaden assessment to include many elements that together contribute to a particular
development outcome and impact. So depending on the context, assessment may be
needed for example of outputs, partnerships, coordination, brokering, policy advice,
advocacy and dialogue.

MDGs

Learning
Capacity
Why?
Accountability building for
performance
Decision Making

Projects and Programmes

Areas of
Of what? Strategies and Policies focus
Partnerships

How? Monitoring Evaluative

Review, Evaluation and Impact Assessment exercises

The main reasons for performance assessment are to:

 Enhance organisational and development learning; to help our
understanding of why particular activities have been more or less successful in
order to improve performance
 Be accountable to clients, beneficiaries, donors and taxpayers for the use of
resources; and thereby to
 Ensure informed decision-making.
An underpinning rationale is the capacity building for improving performance.

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Monitoring, Review, Evaluation and Impact Assessment
The use of the terms varies in different organisations. Be aware that when talking with
others, they may use different words, or the same words may mean different things. A
common interpretation of them is:

Monitoring: I
the systematic collection and analysis on a regular basis of
data for checking performance. This is usually done O
internally to assess how inputs are being used, whether and
O
how well activities are being completed, and whether outputs
are being delivered as planned. Monitoring focuses in
A
particular on efficiency, the use of resources. Key data
sources for monitoring will be typically internal documents
such as monthly/quarterly reports, work and travel logs,
training records, minutes of meetings etc.

Review:
an assessment of performance periodically or on an ad hoc I

basis, perhaps annually or at the end of a phase. It usually

O
involves insiders working with outsiders; implementers with
administrators and other stakeholders. Review focuses in O
particular on effectiveness, relevance and immediate
impact. It assesses whether the activities have delivered the A
outputs planned and the Purposes of those outputs; in other
words whether there is indication that the outputs are
contributing to the purpose of the intervention. Early reviews
are sometimes called Activity-to-Output Reviews, later ones Output-to-Purpose
Reviews. ‘Review’ is sometimes used synonymously with ‘evaluation’; review is a
form of evaluation. Key data sources for review will typically be both internal and
external documents, such as ½ yearly or annual reports, a report from a stakeholder
participatory review event, data collection documents, consultants’ reports etc.

Evaluation: I
in many organisations is a general term used to include
review. Other organisations use it in the more specific sense O
of a systematic and comprehensive assessment of an on-
going or completed initiative. Evaluations are usually carried O

out by outsiders (to enhance objective accountability) but

A
may involve insiders also (to enhance lesson learning).
Evaluations focus on the relevance, effectiveness,
efficiency, impact and sustainability of a project or
programme. Evaluations are often carried out to assess and synthesise several
initiatives together on a thematic, sector or programme basis.
Key data sources for evaluation will be both internal and external. They may include
review reports, commissioned study reports, national and international statistics,
impact assessment reports etc.
Impact assessment is a form of evaluation that tries to differentiate changes that
can be attributed to a project/programme from other external factors that may have
contributed. Those changes may be intended or unintended. Impact assessment
tries to assess what has happened as a result of the intervention and what may have
happened without it.

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It is clear then that M&E reflect a continuum with no clear boundaries. With that
caveat said, the following table offers some general differences.
Monitoring Review Evaluation

When is it continuous occasional, mid-way or infrequent, during, at the end

done? throughout the life of at the end of a phase or or beyond the end of an
an initiative initiative initiative

Why is it to assess whether an to reflect on and explain to reflect on and explain

done? initiative is on track performance; to learn performance; to learn and share
and make adjustments and share lessons; to lessons, often at a programme,
hold managers thematic or sector, rather than
accountable project level; to hold managers
accountable; to assess impact
in relation to external factors
and contributions and
attributions to change

What is checks mainly checks the checks the efficiency,

measured? efficiency, the effectiveness, effectiveness, relevance,
processes of the relevance and impact and sustainability of
work - inputs, immediate impact of the work and the achievement of
activities, outputs, the initiative and the objectives. It examines with
conditions and achievement of Purpose and without scenarios.
assumptions
Who is generally only may involve outsiders usually involves outsiders but
involved? insiders involved and insiders; generally perhaps also insiders; often
initiated by the project/ initiated by an Evaluation
programme team Office in the same agency or by
another agency altogether

What typically internal both internal and both internal and external
sources of documents such as external documents such including review reports,
inform- monthly/quarterly as ½ yearly or annual consultants reports, national and
ation are reports, work and reports, a report from a international statistics, impact
used? travel logs, training stakeholder participatory assess-ment reports etc.
records, minutes of review event, data
meetings etc. collection documents,
consultants reports etc.

Who uses managers and staff many people use the many people use the
the are the main users of information e.g. information e.g. managers,
results? the information managers, staff, staff, donors, beneficiaries
gathered donors, beneficiaries and other audiences

How are decision-making decision-making may decision-making may result in

the results results in minor result in changes in major changes in policies,
used? corrective changes policies, strategy and strategy and future work
future work

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M & E criteria
It is crucial to plan an M&E system from the outset; e.g. when doing an organisational
strategic plan, when planning an initiative. A system is needed that will examine
progress against agreed performance indicators; that will address core criteria and
questions (based on the DAC criteria):

 relevance (Does the organisation or initiative address the needs? Is it

consistent with the policies and priorities of the major stakeholders –
especially, where relevant, of the client country? To what extent is it
compatible with other efforts? Does it complement, duplicate or compete?)
 efficiency (Are we using the available resources wisely and well? How do
outputs achieved relate to inputs used?)
 effectiveness (Are the desired objectives being achieved at Purpose and
Impact / Goal level? Does it add value to what others are doing? To what
extent are partners maximising their comparative advantage?)
 impact (What changes, positive and negative, have occurred and are these
attributable to the initiative?)
 sustainability (Will the Purposes and impacts be sustained after external
support has ended? Will activities, outputs, structures and processes
established be sustained?)

Performance Scoring
Some organisations use scoring systems as an integral part of the monitoring and
review process to rate aspects of performance; for example of the likelihood that the
outputs and Purpose of the project will succeed (or have succeeded, depending
on when the scoring is done) or of the level of risk, which threatens the achievement
of success.

Annual scoring can provide important data for accountability, learning and decision-
making. With care it may be possible for scores to be aggregated across a
programme or sector or office to provide an overall picture of success and value for
money. The quality of scoring is clearly a key issue; bad data generates bad
conclusions. The system has to be applied consistently and robustly involving
relevant stakeholders and partners.

A typical scoring system (based on DFID’s), using a scale of 1-5 that can be applied
for each Output, overall at Output level and at Purpose level:

No. Descriptions Achievement

1 Likely to be The outputs / Purpose are well on the way to

completely completion (or completed)
achieved
2 Likely to be largely There is good progress towards Purpose completion
achieved and most outputs have been achieved, particularly the
most important.
3 Likely to be partly Only partial achievement of the Purpose is likely
achieved and/or achievement of some outputs.
4 Only likely to be Purpose
achieved to a very

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limited extent

5 Unlikely to be No progress on outputs or Purpose

achieved
X Too early to judge It is impossible to say whether there has been any
progress towards the final achievement of outputs or
Purpose. This score should not be used unless they
meet at least one of the following criteria:
a) Project is postponed because of conflict
b) External Constraints
c) Recruitment delays

A typical risk rating system (also based on DFID’s) that can be used to determine an
Overall Project Risk rating:

Rating Description
Low Risk factor may lead to tolerable delay in the achievement of
Impact objectives or minor reduction in Quality/Quantity and/or an
increase in cost.
Medium Risk factor may lead to some delay, and/or loss of
quality/quantity and/or and increase in cost.
High Risk factor may cause some or all aspects of objectives in
relation to Time, Quality/Quantity not being achieved to an
acceptable standard or to an acceptable cost.
Low Unlikely to occur or the risk is fully manageable by us.
Probability
Medium Could go either way and we can have some influence in
managing the risk but cannot control it completely.
High Very likely to occur and our ability to actively manage the risk
is limited.

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Preparing for review or evaluation
This will probably have been set in the project document logframe and workplan.
Even so these exercises often take implementers by surprise. Some steps:

 Clarify Scope and Timing

Start planning typically 6-9 months before the event, especially if it is to involve
independent evaluators or senior officials; their diaries are likely to be full.

 Involve Partners and Stakeholders

This may be straightforward. Or it may be a delicate operation. Present the exercise
positively emphasising the opportunity to work together in assessing progress, to
support joint learning, to account for resources used and improve overall effort.
But recognise fears and discuss them openly. Seek an organisational culture where
the discovery of mistakes and failures is accepted as an opportunity to improve rather
than to blame and to condemn.

 Agree the Terms of Reference

Goods ToRs are critical. Typically these will include:
i. Objectives Why the evaluation is being undertaken. A brief description
of what is to be evaluated; project status; key partners and
stakeholders; changes in context; previous evaluations
ii. Scope The issues, areas and timeframe the evaluation will cover; some
key evaluation questions
iii. Implementation Composition and areas of expertise of the team;
leadership and management; methodology and approach; field visits;
phases and scheduling
iv. Products Findings, recommendations, lessons, performance scoring;
local discussion and feedback; debriefing. Report drafts and editing
process; the final report – content, scope, length, language, deadlines,
dissemination
v. Background More detailed information about the context; reference
documents etc.

 Plan and Implement any special surveys that may be needed

Fresh primary data may be needed. Or an analysis of documentation.

Plan for any special requirements

For example, translation of key documents.

Quality Standards for Evaluation

 Utility - meeting the information needs of the intended users and therefore
relevant and timely
 Accuracy - using valid, reliable and relevant information
 Independence - impartial, objective, and independent from the process
concerned with policy-making, and the delivery and management of
development assistance
 Credibility - depends on the skill and experience of the evaluators, and on the
transparency and inclusiveness of the evaluation process (credible
evaluations also require accuracy and independence)

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 Propriety - conducted legally, ethically, and with due regard for the welfare of
those involved in the evaluation, as well as those affected by its results.

Where to go for further information

World Bank Evaluation
http://www.worldbank.org/evaluation/

FAO
http://www.fao.org/pbe/pbee/en/224/index.html
http://www.fao.org/docs/eims/upload/160705/auto-evaluation_guide.pdf

Parc; the Performance Assessment Resource Centre

http://www.parcinfo.org

IFAD
http://www.ifad.org/evaluation/guide/

EU Guidelines
http://europa.eu.int/comm/europeaid/evaluation/methods/guidelines_en.pdf

OECD and DAC

http://www.oecd.org/pages/0,2966,en_35038640_35039563_1_1_1_1_1,00.html

UNDP Evaluation Office

http://www.undp.org/eo/

UN Evaluation Forum
http://www.uneval.org/

International Development Evaluation Association

http://www.ideas-int.org/

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APPENDIX G: PORTFOLIOS OF LOGFRAMES

INSTITUTION
Mandate
Mission
Objectives

PROGRAMMES
Themes
Sectors
Regions

PROJECTS

The logframe approach can help to communicate, organise, manage and focus a
portfolio:

 To improve horizontal and vertical communication

 To standardise planning and design

 To monitor and evaluate performance at all levels

 To provide a logical focus.

For the individual involved in such an organisation, to be able to ‘see the whole’
can be important in motivation and ownership.

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APPENDIX H: NESTING OF LOGICAL FRAMEWORKS

HIV/AIDS in Sub-Saharan Africa

Department or Country
Assistance Plan level
Impact / Goal
Poverty reduced in Sub- Sector level
Saharan Africa. e.g. Health sector in
Nkonia
Purpose Impact / Goal
Progress towards Progress towards health
Millennium Development MDGs in Nkonia. Programme level
Goals in 16 key countries. e.g. sexual and
reproductive health in
Ekim State.
Outputs Purpose Impact / Goal
1. Government-led Government-led health State health programme
health programmes programme within Poverty implemented successfully
within poverty Reduction Strategy contributing to sexual and Project level
reduction strategy developed and reproductive health e.g. Life Planning
developed and implemented focussing on MDGs. Education in Marivi
implemented MDGs. Districts.
focussing on MDGs. Outputs Purpose Impact / Goal
2. Government-led 1. National Strategic Sexual and Reproductive Improved sexual and
education Health Policy Health policy developed reproductive health status
programmes in developed and and implemented in Ekim in Marivi though
Poverty Reduction implemented. State. successful implementation
Strategy developed 2. A model for Family of State Sexual and
and implemented Medicine. Reproductive Health
focussing on MDGs. 3. Integration of Ministry policy.
3. Better economic and of Health with Social Outputs Purpose
political governance. Security systems. 1. Improved enabling Schools effectively
4. Sustained 4. Research, monitoring and policy delivering Life Planning
improvement in and impact environment. Education.
climate for foreign assessment systems 2. Capacity of partner
investment, local agreed and in place. institutions developed.
private sector 5. Skills developed in 3. Youth-friendly
development and contracting private services accessible to
market access for the services. female and male
poor. adolescents.
4. Schools able to Outputs
deliver Life Planning 1. Partner consensus
Education effectively. and plan for way
5. etc forward.
2. Improved methods of
control identified.
3. Schools with
resourced Action
Plans developed with
community.
4. Cadre of teacher
trainers in place.
5. Materials and
curriculum developed.
6. Core of teachers
trained in each
school.
7. Etc.

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Weed Research in semi-arid areas

Department level
Impact / Goal
Poverty reduced.
Economic growth.
National environmental Sector strategy level
problems mitigated. e.g. Research strategy
Purpose Impact / Goal
Productive capacity of Productive capacity of
crop sector enhanced on smallholder cropping
economically and sector enhanced on
environmentally economically and Programme level
sustainable basis. environmentally e.g. semi-arid systems
sustainable basis. programme
Outputs Purpose Impact / Goal
1. Research outputs Research outputs relating
Research outputs
disseminated and to semi-arid systems
disseminated and
implemented. disseminated and
implemented.
2. Policy development implemented.
strategy successfully
implemented. Project level
3. Successful operations e.g. Control of Striga
strategy in place. weed project
Outputs Purpose Impact / Goal
1. Key researchable Research programmes Research programmes
constraints removed. successfully operational. relating to semi-arid
2. Research systems successfully
programmes operational.
successfully
operational.
Outputs Purpose
1. Impact of weeds on Impact of Striga on the
the crop production crop production cycle
cycle minimised. minimised.
2. Impact of pests on
production of
sorghum and millet
based systems
minimised.
3. Impact of pests on
cotton production
minimised.
. Outputs
1. Dynamics of
sorghum/Striga
communities better
understood and
incorporated in crop
management
strategies.
2. Improved methods of
control developed and
promoted.
3. etc

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APPENDIX I: THE LOGFRAME AS A COMMUNICATION

TOOL

The logical framework is an important communication tool. It can help us to explain

to our project partners and other stakeholders what we are doing and why. It can
help us prepare reports for sponsors and other key stakeholders. This can be
achieved by taking:

A step-by-step presentation approach14

1. Impact / Goal: "The overall goal is to ............."

2. Purpose: "In order to contribute to this goal we in this project will............"

3. Outputs: "We will achieve this objective by taking direct responsibility

for............"

4. Activities: "Let me describe our strategy in more detail. We believe that if we

.............."

5. Activity level Assumptions: "and if .........."

6. Output level Indicators: "we will achieve our targets of ............."

7. Purpose Indicators: "In addition to reaching these targets, several other

things must happen if we are to achieve our major objective of ............"

8. Output level Assumptions: "These other factors, outside our direct control,
include ........."

9. Purpose level Assumptions: "We believe that if we can achieve our major
objective, we will contribute to our overall goal. This contribution is, however,
affected by factors outside of this project. These include ........ All of these
factors taken together will be sufficient to realise this goal. The strategy we
propose is an important and cost effective step towards that end."

10. Evidence: "We propose that our performance be monitored and assessed in
the following way..........."

14
Adapted from the original Team Up Project Checklist

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APPENDIX J: REPORTING USING THE LOGFRAME; AN EXAMPLE

The next four pages give an example of a typical reporting format based on the logframe; at different objective levels and at
different times during the project cycle. The first two columns of each table are cut and pasted from the logframe. Development
organisations have committed themselves to move towards uniform reporting procedures and formats; until that happens, formats
will vary.

PROGRESS/MONITORING REPORT

COUNTRY……………… PROJECT TITLE……………………… PERIOD COVERED………………

CODE………………… DATE PREPARED…………………….. PREPARED BY……………………

PROJECT STRUCTURE INDICATORS OF PROGRESS COMMENTS AND

ACHIEVEMENT RECOMMENDATIONS RATING
*
ACTIVITIES (Insert INDICATORS (Insert Provide a report against Provide comments
activities and inputs from indicators from the logical each activity and input. against each activity and
the logical framework). framework). input plus
recommendations where
appropriate. Comment on
the extent to which the
assumptions are being
met.

* 1. Likely to be completely achieved

2. Likely to be largely achieved
3. Likely to be partially achieved
4. Only likely to be achieved to a very limited extent
5. Unlikely to be achieved
x Too early to judge the extent of achievement

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PROGRESS/MONITORING REPORT

COUNTRY……………… PROJECT TITLE……………………… PERIOD COVERED………………

CODE………………… DATE PREPARED…………………….. PREPARED BY……………………

PROJECT INDICATORS OF PROGRESS COMMENTS AND

STRUCTURE ACHIEVEMENT RECOMMENDATIONS RATING
*
OUTPUTS (Insert outputs INDICATORS (Insert Provide a report against Provide comments
from the logical indicators from the logical each output indicator. against each output
framework). framework). indicator plus
Insert also details of any recommendations where
unexpected outputs. appropriate. Comment on
the extent to which the
assumptions are being
met.

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MONITORING/OUTPUT TO PURPOSE REVIEW REPORT

COUNTRY……………… PROJECT TITLE……………………… PERIOD COVERED………………

CODE………………… DATE PREPARED…………………….. PREPARED BY……………………

PROJECT INDICATORS OF PROGRESS COMMENTS AND

STRUCTURE ACHIEVEMENT RECOMMENDATIONS RATING
*
PURPOSE (Insert INDICATORS (Insert Provide a report against Provide comments
Purpose from the logical indicators from the logical each Purpose indicator. against each indicator
framework). framework). plus recommendations
where appropriate.
Comment on the extent to
which the assumptions
are being met.

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PURPOSE TO IMPACT / GOAL REVIEW REPORT

COUNTRY……………… PROJECT TITLE……………………… PERIOD COVERED………………

CODE………………… DATE PREPARED…………………….. PREPARED BY……………………

PROJECT INDICATORS OF PROGRESS COMMENTS AND

STRUCTURE ACHIEVEMENT RECOMMENDATIONS RATING
*
Impact / GOAL (Insert INDICATORS (Insert Provide a report against Provide comments
impact from the logical indicators from the logical each impact indicator. against each indicator
framework). framework). plus recommendations
where appropriate.
Comment on the extent to
which the assumptions
are being met.

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APPENDIX K: AN EXAMPLE OF A SIMPLE LOGFRAME

Project Title: Community Recreation Facilities for Kids - Building a Swing!

Objectives Indicators / Targets Data Sources Assumptions

Impact / Goal: Number of stressed families Reports from village Birth rate continues
Integrated community with decreases by 50% clinic and counsellors
happy kids and adults Other communities adopt Newspaper articles
similar ideas
Purpose:
Kids have fun, are busy and 60% of local young kids use User survey Safe recreation leads to
safe the swing safely at least happiness and
once a month by end of year Participatory evaluation community integration
2. with the kids Facilities don’t create
Kids’ opinion on life in the conflict
village improved by end of
year 2.
Outputs:
1. Capacity within community 6-monthly meetings after Minutes of meetings People see the benefit of
to manage the building and completion with > 5 it
long-term maintenance of members.
the swing Swing maintained and in use Maintenance and Easy maintenance
over minimum 5 year period annual safety inspection
records

2. A safe, well-built swing Swing completed and in use Safety certificate on No vandalism
in 12 months completion Kids like and use it
Minimal number of accidents Accident records; Kids don’t fight
bruises, minor cuts &
Few repairs needed hospitalisation
Maintenance log

Activities:
1.1 Establish community Planning team set up by x Minutes of meetings Enthusiasm and
committee and undertake Committee chosen by x participation maintained
lobbying required Monthly meetings during Attendance records
planning & building phase Football club will give up
with > 8 members a small amount of land
for the swing

1.2 Set budget Budget Accounts Low inflation

1.3 Raise funds Enough money raised by x Income/receipts Sufficient funds raised
1.4 Set up systems for Rota agreed amongst Quarterly rota pinned on
maintenance parents to maintain swing by library notice board
x
2.1 Consult kids Ideas generated and Plan discussed with
incorporated in design designers
2.2 Design it Designed by x Design in hand
2.3 Get planning permission Planning permission by x Permit in hand Permission given
2.4 Commission builder Tenders issued by x Documentation Building firm reliable and
Contract awarded by x capable
2.5 Build it Completion by x Documentation
2.6 Test it Tested by builders by x Verbal report
2.7 Safety inspection on Inspection by x Certificate in hand
completion
2.8 Carry out user survey and Survey carried out by x Findings displayed in
participatory evaluation public library
with the kids

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APPENDIX J: EXAMPLES OF LOGFRAMES

Jamaica All Age Schools Project (JAASP) Logical Framework 15

Objectives Indicators Verification Assumptions

Goal Increased number of children
Improved lifetime from poor communities finding Growth and/or stability of
opportunities for employment or accessing the economy
poorer rural children. higher levels of education.

Purpose By the end of project:

Better education for  At least 60% of the students National Education Government of Jamaica
children from poor, are reading at or above grade Statistics remains committed to
rural communities. 4 level poverty reduction through
 30% increase in scores Student investment in education
attained in core subjects at Assessment Unit
Grade 6 and 9 levels data Jamaican economy
 School attendance at 90% provides employment
 At least 98% of the students opportunities and other
completing 9 years of initiatives.
schooling
 10% increase in pupils Access to upper secondary
progressing to secondary places and skills training
school available

15
Dearden P.N. 2000 Report on Project Cycle Management and Logframe Review Workshop Jamaica All Age School
Project (JAASP) Jamaica, October 2000. Department for International Development (DFID) and University of
Wolverhampton, UK.

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Outputs
1. Improved 80% of school boards and Minutes of board Interest of community
community /school Parent Teacher Associations meetings members
participation. (PTAs) operating effectively by
year 2 Census documents Parents have resources to
contribute
50% reduction in school Inspection reports
vandalism by year 3 Principals and staff will be
Logbooks and receptive/committed to full
85% attendance of boys and attendance records community participation
girls by year 3
Community profile Co-operation from other
Active participation of the conducted agencies
community in supporting the
curriculum and infrastructure by Principals reports
year 3 Reports from
Education Officers
One community school meeting and Regional
per term Education Officers
(REOs)
PTAs in 48 schools conduct
programmes including some of Dialogue with
the following: school community
 Adult education
 Nutrition and welfare
 Home work clubs Community
 Literacy support feedback
 Extra curricular activities
 Schools maintenance
 Skills sharing

School development plan

includes community
involvement section

2. Improved school School Development Plan Plans submitted Training and support is
management. prepared in all project to project sufficient to enable
schools by year 1 manager schools to formulate and
REOs records implement plans and
and reports monitoring systems are
School Development Plans
effective
implemented effectively in
Plans submitted
all schools by year 2
to Project Principals and other
Managers school personnel
respond positively
Comprehensive and Plans reviewed Principals and other
effective School by Regional school personnel do not
Development Plans (SDPs)
officers and feel threatened by
developed and approved by Technical change/full community
stakeholders in all Project Assistants involvement in school
Schools by March 2001 development planning.
All principals trained by TEO monitoring
Ministry of Education and reports
Culture (MOEC) in staff
instructional management Education officer
by year 2 Reports
80% of Principals use Senior Education
improved management Officer records
techniques by end of year 3
Principals Workshop reports
organised/conduct one

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cluster workshop per term Participants and
for staff training facilitator reports

3. Improved quality All teachers trained in the Availability, capacity and

Programme
of teaching and new curricular by year 3 willingness of teachers
documentation
learning with a to participate in training.
special emphasis Classrooms in project
Course registers
on literary and schools have more learner Teachers will implement
and records
numeracy. centred (interactive/activity new strategies.
based/participatory) by year
Baseline and
3 Central and regional
monitoring reports
monitoring and support
Through support from in systems arte in place.
Education officer
school cluster based
reports
resource persons, teachers Adequate and suitable
demonstrate increased infrastructure and public
Student
confidence. services in place to
perception
support learning
All teachers demonstrating
Panel reports
observable mastery of the Parental support
methodologies Appropriate
Stakeholder
demonstrated by the methodologies/
perceptions
Revised Primary Curriculum curriculum to needs/level
of learners.
Perceptions of
All teachers using
Education
interactive teaching with a Attendance level
officers,
focus on literacy by year 2. sufficient to take
Principals and
All Grade 1 teachers trained advantage of improved
Teachers
to ensure smooth transition teaching and learning
from Basic Schools year 3. environment.
Workshop reports
and evaluations
Teachers employ Students with
appropriate strategies to exceptionalities are
Self evaluations
meet the needs of children recognised and
with exceptionalities by year addressed.
2.
Students have sufficient
Teachers trained and nutritional levels to
demonstrating ability to accommodate learning.
identify students with
exceptionalities by project
mid-term

At least 30% increase in

Assessment
attainment levels in Grade 1
records
readiness, Grade 3
Diagnostic, Grade 4 literacy,
Grade 6 and Grade 9 Junior
High exams by year 3 of
project.

4. Regional and Education Office Availability of officers for

Systematic Regional
national systems Reports ongoing training.
Education Officers plans for
strengthened to
INSET provision to remote
provide training and
schools effectively
support for Staff development Resource centres
implemented by year2
improved teaching plans in School appropriately equipped
and learning. Development and utilised.
Effective learning support in
Plans
schools by year2
In house personnel have

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Course register technical skills to
Effective Guidance and operate multi media
counselling in every project equipment.
school by year2 Education Officer
Monitoring Availability and
50% of teachers of Grades Reports willingness of persons to
7-9 trained in ROSE be involved in special
curriculum and methodology Course registers needs training.
by year 3
Programme Sufficient Ministry of
Systematically organised documentation Education and Culture
school-based staff capacity to provide and
development in all schools National data train at least one
by year 2 Guidance counsellor in
TEO reports each cluster.
In-service training strategy
at Regional and National Reports from
levels in place by end of EOs, teachers
year 1. Implemented in pilot and principals
schools in year 2
Internal
Officers able to effectively assessment and
facilitate teacher G3 diagnostic test
development by project mid-
term Workshop reports
and evaluation
Appropriate material and sheets
equipment in use in
resource centres by Year 2 Handover
documents and
Regional Development Plan regional Office
indicating planned activities inventories
(e.g. in-service training, staff
development, data
collection and management)
for the respective regions.

5. Appropriate Books and equipment being Observation Efficient procurement

levels of teaching used effectively by Y2 reports by TEOs and delivery system.
and learning
resources provided Teaching resources in Log book record Learning and teaching
to meet curriculum school before start of school resources used
needs. year Reports from effectively
parents
Individual access to text Appropriate material is
books and other resources available and accessible
TEO reports
Learning resources from
local materials developed
and utilised

6. Minor Work identified costed and Building reports Work carried out is on
rehabilitation works approved by March year 1 time and adequately
identified and School supervised to maintain
carried out (through Work satisfactorily Development plan quality.
school completed by mid year 2
development Estimate of Work plan will be within
planning process). expenditure the financial budget

Building official Positive political support

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approval

Building Officers
inspection report

TEOs reports

Community
feedback

7. Increased 10% of non-project schools Baseline data and A culture of learning will
capacity for lessons utilising the best practices at research results develop.
learnt to be End of Project
transferred and Monitoring reports Documentation will take
sustained. Action research in all place.
regions following project Panel reports/
guidelines classroom Findings will be
observation disseminated to all
Participation by all stakeholders.
stakeholders in mid-term Documentation
review from action
research projects

Review reports

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Lesotho Public Financial Management - Logical Framework 16

Programme title: Public Sector Improvement and Reform Programme (PSIRP)

Public Financial Management (PFM) Component

Objectives Indicators Verification Assumptions

GOAL:
Public finances Achievement of:
effectively managed Poverty Reduction
and targeted towards Strategy targets
improved development.

PURPOSE:
Strong PFM systems 1. Cabinet leads strong 1. Political will to target
and processes started PFM oversight by: budgetary resources
to be implemented, led  New Finance Act released by improved
by clear, long-term  Commitment to an PFM to meet objectives
Government of Lesotho integrated capital & of the GoL Poverty
(GoL) priorities recurrent budget. Reduction Strategy
 Commitment to (PRS).
macro- & medium 2. PRS and macro- and
term planning. medium term plans set
2. PAC discharges out clear targets and
oversight function as strategies for poverty
evidenced by: reduction, in line with
 Hearings held on National Vision 2020.
schedule with 3. The parallel and
Accounting Officers complementary reforms
challenged arising from PSIRP are
 Reports on the PAC achieved
with clear
recommendations on
measures to be
taken

16
Dearden, P. N.(2005) Government of Lesotho Public Sector Improvement and Reform Programme, Public
Financial Management (PFM) Component, Logical Framework and Project Cycle Management Training,
Inception Workshop 27 June – 1 July 2005, Department For International Development South Africa
(DFIDSA).

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Output 1: 1. Comprehensive MTEF Documents EU CBEP project

Integrated planning MTEF documents: focus is able to
and budgeting  3 line ministry support proposed
processes MTEF budget budgetary reforms.
implemented. documents by Sufficient GoL
April 2006, commitment to an
 10 ministry MTEF integrated approach
budget documents Training reports to planning and
by April 2007, budgeting.
 20 ministry MTEF Outstanding
budget documents completion of
by April 2008 Planning / Finance
2. Sensitisation and merger does not
training disrupt the integration
programmes of planning and
increase by end of budgeting processes.
2005.

Output 2: 1. New IFMIS & Government Backlog of 1996-97

Modern integrated HRMS, and Gazette to 2000-01 Public
accounting, revenue supporting ICT Accounts is
and expenditure framework, addressed early in
management procured and the Programme.
systems introduced. implemented in 8 EU is able to finance
pilot sites by April Approved structures IFMIS / ICT / HRMS
2007 by MPs EU procurement
2. IFMIS regulations can
implemented in all Minutes accommodate
ministries by May implementation
2008. Existence of schedule.
3. New Treasury established IFMIS
structure positions implementation
established and schedule is realistic
operational in with regard to budget
MoFDP, MAUs cycle dates.
and Sub- Training Report MoFDP able to
Accountancies recruit additional staff
from April 2007. Finance Act required
4. Internal Audit Existing Treasury /
ministry-based MAU / Sub-
Audit Units Teams Accountancy staff are
established in not resistant to
MoFDP and 5 change.
ministries by Sufficient funding
March 2007. available to support
5. 9 Internal Audit Options Report whole Programme.
Committees Long-term
operating in professional
MoFDP and 8 pilot development
ministries by programmes in
March 2007. Lesotho can be
6. Report on supported.
Professional
development
options by March
2006
7. Training on IFMIS
commences July

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2006.
8. New Finance Act
submitted to
Attorney General
by October 2007.

Output 3: 1. Macroeconomic Signed Reporting and

Strengthened model developed endorsement letter reliability
macroeconomic and approved by improvements under
analysis and Hon. Minister by Medium Term IFMIS/accounting
forecasting linked to August 2007. Report reforms able to
fiscal policy, budget 2. Medium term Fiscal Policy Report support fiscal
performance and forecasts performance
monitoring. produced by July reporting
2007. requirements.
3. Fiscal policy Ministry MIS capable
reports of providing financial
progressively from and physical
2007/8-budget progress information.
year.

Output 4: 1. Cabinet receives Cabinet Sufficient Cabinet

Effective Cabinet Budget memorandum support for MTEF
participation in the Framework approach.
budget. Papers from Reporting and
September 2005. Cabinet reliability
2. Draft MTEF memorandum improvements under
submitted to IFMIS/accounting
Cabinet annually reforms able to
from February support fiscal
2006. performance
3. Financial and reporting
output requirements.
performance
reports submitted
to Cabinet
quarterly from July
2007.

Output 5: 1. PAC Reports by PAC Reports PAC members are

Role of independent June every year Audit Act supportive of change.
oversight from 2007. Signed copy of GoL can provide
strengthened. 2. New Audit Act covering letter to adequate
prepared and Attorney General accommodation and
submitted to Copy of approved support resources.
Attorney General Strategic Plan Sufficient Cabinet
by December and Parliament
2005. support for PAC
3. Strategic plan of reforms.
Audit Office in Audit Manuals Backlog in Public
place by Accounts can be
December 2005. Training registers addressed.
4. Action plans and New Audit Act is
measures taken to Training registers passed before the
address the end of the project.
backlog in Public Training and Support from Auditor
Accounts by July Development General’s Office for

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2006. Programmes reform programme is
5. Performance Audit adequate.
Manual prepared Option paper Sufficient qualified
and staff trained staff available.
by July 2006.
6. Financial Audit
Manual prepared
and staff trained
by July 2007.
7. Professional audit
training and
development
programmes
developed and
agreed by July
2006.
8. Options developed
to establish
professional public
sector auditing
training in Lesotho
by May 2008.

Output 6: 1. Standard Procurement Support from

Procurement procurement documents ministries for new
systems modernised. documentation Procurement System.
and revised Sufficient numbers of
procurement Training Reports GoL procurement
thresholds in place staff and availability
by December of new staff support
2005. the new system.
2. Professional Draft legislation Sufficient interest in
training and procurement training.
development Sufficient internal
programme Government audit capacity to
developed and Gazette ensure effective
training system operation.
commenced from Creation of PRB not
January 2006. supported by GoL.
3. New legislative Funding not available
provisions for to provide long-term
government availability of
procurement professional
drafted by July procurement training.
2007
4. New GoL
Procurement
System
operational from
May 2008.
5. Long-term
professional
procurement
training capability
in Lesotho
established by
May 2008.

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Illegal Logging: Tackling the underlying Governance, Policy and Market

Failures Programme – Logical Framework 17

Objectives Indicators Verification Assumptions

SUPERGOAL
Realise the potential of forests
to reduce poverty
GOAL
Policies, processes and Improved governance of Records of wider Forests are
institutions that promote national and international representation and important in the
sustainable and equitable use institutions (rules, accountability livelihoods of
of forests in the interests of procedures, norms). mechanisms. poor people
the poor.
More responsible markets Adoption of industry
codes of conduct.
Greater demand for
legal products.
PURPOSE
Facilitate reforms by national 1. Policy that is 1. National policy An equitable
and international institutions to informed by statements trading system
address the governance, objective evidence. requires
policy and market failures that governments
cause and sustain illegal 2. National, regional 2. Proceedings of and the trade in
logging and associated trade. and international policy processes. major consuming
policy processes countries to take
that learn from each actions to
other. against illegally
3. More markets that 3. Changes to logged timber.
discriminate against procurement
illegally harvested policies.
products.
OUTPUTS
1 Improved understanding of 1.1 Estimates of the nature, 1.1 Monitoring Improved
causes, scale and solutions to scale and impacts of reports, trade understanding
illegal logging and associated illegal logging in statistics. facilitates policy
trade. selected countries and institutional
documented. reforms.
1.2 Key drivers of illegal 1.2 Studies on Need to simplify
logging – poor corruption, weak defining legality
governance, weak enforcement, risks
enforcement and market market pressures compromising
factors – analysed. pro-poor
1.3 Country-specific legislative
1.3 Impacts of illegal reform.
logging and research studies
enforcement actions on
poor analysed.

17
Dearden, P.N. Mahony, D. and Jordan, G. ,2006, Illegal Logging – Tackling the Underlying Governance,
Policy and Market Failures Programme. Output to Purpose Review (OPR), January 2006, Department for
International Development. (DFID) London.

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1.4 Policy reform and 1.4 Legislative/policy

countermeasures taken reform and
in producer and actions in
consumer countries and producer and
at the international level consumer
result from improved countries and in
understanding gained. international
trade.
2. Effective communication 2.1 Continuing UK 2.1 Ministerial
and advocacy that maintains ministerial level participation in
political will and the engagement. and speeches to
momentum for change and relevant fora,
widens the base of support for meetings.
action. Answers to PQs.
2.2 Effective 2.2 Intranet up to
communications within date. Regional
DFID maintains and country
awareness and utilises offices informed.
links with other Inter-divisional
programmes exchange of
information.
2.3 Relevant news items 2.3 Press releases
and other external and responses
communications are
tracked and appropriate
responses made
2.4 Industry groups and 2.4 Actions by trade
companies adopt associations and
purchase policies that individual
seek to eliminate trade companies
in illegal timber.
2.5 Effective 2.5 Media reports,
communications with consultations,
stakeholders and wider NGO newsletters,
public maintained website
ensures wide
understanding of issues
and actions being taken
to address issues.
3. Coherent UK, EU and G8 3.1 Consistent policy 3.1 Minutes of inter- DEFRA granted
policy and regulatory statements and actions departmental resources to
framework. within Whitehall. meetings, joint implement CPET
policy papers,
ministerial
statements,
answers to PQs

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3.2 EU FLEGT Action Plan 3.2 Enactment of Sectoral and

adopted, regulation regulation; FPAs member states’
passed and successful signed. concerns are
negotiations with overcome.
Partner Countries. Potential Partner
Countries willing
to sign FPAs. UK
Customs granted
resources to
enforce EU
regulation.
3.3 Collaborative or 3.3 Programme Japanese
supportive actions taken documents, policy concerns about
by Japan. statements, competitiveness
measures taken. understood and
addressed.
3.4 Collaborative or 3.4 Programme US concerns
supportive actions taken documents, policy about reciprocity
by the US. statements, are overcome
measures taken and do not delay
progress on
intergovernment
al measures
3.5 Collaborative or 3.5 Programme China becomes
supportive actions taken documents, policy receptive to
by China. statements, market signals
measures taken and diplomacy.
4. Development of tools and 4.1 Technical monitoring, 4.1 Technical reports
systems to tackle illegal auditing and chain of
logging and associated trade. custody solutions further
developed, evaluated
and where appropriate
utilised
1.2 Appropriate 4.2 Reports.
independent monitoring
programmes adopted
and, where appropriate,
supported.
1.3 Tools and systems 4.3 Donor and other Key producer
contribute to programmes. country’s
strengthened willingness to
interagency co- adopt efficient
operation at national, systems
regional and achieved
international levels
5. Regional policy 5.1 Effective 5.1 Proceedings of
processes that lay the participation of civil policy processes
foundations for society and the and views of
delivering reforms. private sector, as participants.
well as
governments, in
FLEG and similar
initiatives.

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5.2 Constraints to poor 5.2 Proceeding of

people’s legal FLEG and other
access to and regional
management of processes
forest resources are
on the agenda at
regional processes.
5.3 East Asia FLEG 5.3 Proceedings of Regional
process gains and FLEG Task Force partners
maintains momentum. meetings and motivated to take
Working Group process forward
actions
5.4 Malaysia and Singapore 5.4 Countries’ policy
take actions within or statements and
independently of FLEG participation in
bilateral or
multilateral
actions
5.5 AFLEG process post- 5.5 Proceedings of Broad scope of
ministerial actions national multi- AFLEG
initiated and momentum stakeholder declaration does
maintained. discussions. not divert
attention from
illegal logging
issues
5.6 Latin American and 5.6 Press reports and International
North Eurasian FLEG NGO newsletters. promoters have
processes launched and capacity to
lead donors supported. initiate additional
processes
5.7 Evidence of active links 5.7 Cross Sufficient
and learning between participation in progress is made
regions. meetings. to provide useful
lessons
ACTIVITIES
1.1 Review of reports, co-operation in original research where appropriate
1.2 Review of reports, co-operation in original research where appropriate
1.3 Review of reports, co-operation in original research where appropriate
1.4 Targeted support to enforcement action and governance reform.
2.1 Preparation of briefing materials. Regular meetings with ministers. Involvement of ministers in
suitable events
2.2 Maintain internal web site. Participation where possible in cross-linked programmes.
2.3 Tracking of information of media reports and related activities. Follow-actions.
2.4 Secondment to TTF. Support to industry action where appropriate.
2.5 Maintain web site and stakeholder consultations. Information to civil society on specific issues.

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3.1 Servicing Inter-departmental Whitehall Group, the Inter-Departmental Working Group, the Timber
Buyers’ Group and the UK Forest Partnership.
3.2 Participating in and supporting actions aimed at implementing the EU FLEGT programme.
3.3 Regular communications with Japan to share lessons on promoting coherent domestic and
international policies on procurement, trade policy, illegal logging and governance reforms..
Continued attendance at AFP. Co-operation on activities in Indonesia.
3.4 Regular communications with involved US officials, through G8 and other fora. Support to US on
Latin America and N. Eurasia FLEG where appropriate.
3.5 Identify and follow through opportunities to engage with China
4.1 Support to development and evaluation of monitoring, auditing and tracking systems, including
support to EU FLEGT partnerships.
4.2 Support to operation of monitoring, auditing and tracking systems, where appropriate.
4.3 Support to use of tools and systems that support inter-agency co-operation, both regionally and
internationally.
5.1 Support to civil society involvement in promoting actions under regional FLEGs
5.2 Reports on poor people’s access and management opportunities prepared for FLEG and other
regional fora.
5.3 Continued selective support to and participation in East Asia FLEG
5.4 Dialogue and other actions to encourage Malaysia and Singapore to participate in tackling illegal
timber trade.
5.5 Continued selective support to and participation in AFLEG
5.6 Participate where can offer useful support in Latin America and N. Eurasia FLEG.
5.7 Support visits of participants from FLEG processes to observe and offer insights to other FLEGs.

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Livelihoods and Forestry Programme - Nepal

Project Name: Livelihoods and Forestry Programme

Country: Nepal Total Cost: £18.67 million

Narrative Objectively Verifiable Means/Sources of Assumptions

Summary Indicators Verificatin

GOAL 1. Diversified livelihood choices.  Baseline studies in

PY 1 and 2 (Eastern
2. Ability of rural communities to
and Western areas).
recover from environmental
Reduced District profiles in
and social shocks enhanced.
vulnerability and PY3/4 in the Terai
improved 3. Reduced rural poverty. and Mid Western
livelihoods for poor area).
4. Increased GDP from the
and excluded rural
people.
forestry sector.  Follow up preliminary
impact assessment in
5. Average assets value of rural
PY 5 in Eastern and
poor & excluded (P&E)
Western areas and
households increased.
full evaluation in
6. Increased access of P&E to PY10 in the eastern,
government productive western, Terai and
services e.g., agriculture, the mid western
livestock, forest, irrigation, areas.
finance and marketing.
 Independent study
reports.
PURPOSE By EoP: There will be
18 1 FUG assessment acceptable risk and
1. % of forest users groups
report, Output to environment,
which independently
Assets of rural Purpose Review particularly in Terai
implement (i) active forest19
communities (OPR)/ Annual for having physical
management and (ii) socio-
enhanced through Review report, access to the forest
economic development plans
more equitable, Independent study and VDCs/districts
increase from 6% (2003) to
efficient and reports.
60% in hills, from 31% (2004)
sustainable use of
to 50% in mid west and from
forest/ natural The rate of conflict
35% (2004) to 50% in Terai.
resources affected migration in
2. % of poor and excluded FUG and out of LFP areas
2 FUG/ LFP progress
members who claim their remains stable at the
reports, FUG
rights to natural resources in current (2007) rate
assessment report,
an organised way increases
OPR/ Annual Review
from 31% (2006) to 60%20.
report, impact
Expected reforms in
3. At least 40% of the reports.
the forestry sector
economically poor user
3 Impact monitoring are inclusive-
group member households
report, OPR/ Annual sensitive and
report increased income
Review report. informed by field
because of their membership
realities and
of user groups.
experience.
4 Impact monitoring
4. At least 30% P&E user group

18
Includes CFUGs, PLMGS, Soil groups, Leasehold groups, CFMG, etc.
19
Active forest management means planning based on potentiality of the forest and resources and its
implementation (maximizing the potentialities)
20
% of P&E organized in the groups will be recorded as the achievement against the indicator

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Narrative Objectively Verifiable Means/Sources of Assumptions

Summary Indicators Verificatin

members report greater report, OPR/ Annual

access to livelihoods choices review report, FUG
(e.g., education, health, annual reports. DFID remains
credit, livestock and engaged in Nepal,
emergency support.) providing predictable
development support
5. User satisfaction score 5 FUG Assessment through appropriate
achieved by forestry sector report and Impact aid development
service providers on their monitoring reports, instruments.
technical21 support increases assets tracking/ well
from (i) 66% to 75% for DFO, being record, Output
(ii) 18% to 40% for DSCO to Purpose Review
and, (iii) to 80% for F/UGs (OPR) report.
and their networks, Local
Resource Persons, and
Animation Programme
Manager/ partner NGOs.
6. The average fund mobilized 6 FUG reports, DFO
(leverage) by the FUGs is at reports, and District
least equal to the total Progress reports.
amount of funds invested by
LFP22.
7. % of (i) ethnic group23 7 Baseline report, FUG
members of FUG/Cs who records, OPR/
participate in meetings Annual review report,
increases from 31% (2003) FUG assessment
to 60% in hills, 64% (2005) to reports.
75% in mid west and 18%
(2005) to 40% in Terai, (ii)
women from 33% (2003) to
60% in hills, 54% (2005) to
70% in mid west and 49%
(2005) to 60% in Terai and
(iii) poor to 50% in all areas.
8 Baseline reports,
8. % of FUGs spending at least FUG assessment
35% of their fund to P&E reports, OPR/ Annual
provisions increase from 6% review reports.
(2004) to 40% in hills, 18% to
40% in mid west and 10% to
25% in Terai24.

OUTPUT 01 BY EOP26

21
Technical support includes advisory services required to FUGs such as technical, social, institutional and
coordination related services
22
The leveraged amount will be calculated on annual expenditure and it is not about the cumulative total for
programme period
23
Disadvantaged janajati and caste group people and religious minorities will be considered while analysing
information against this indicator.
24
The baseline values indicate the percentage of FUGs which spent 20% or above resources in pro-poor
provisions

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1. % of potential community 1. District The present
Forest managers25enabled forest estate under a defined Progress policies that allow
to responsively manage management system reports, District access to forest
and utilize forest increases from 27% (2003) to level data from resources by
resources to sustainably 50% in hills, 30% (2005) to DFO, MFSC, community
maximize the multiple 50% in mid west and from GIS maps. continues
benefits 5% (2005) to 25% in Terai.
2. Out of the total potential Appropriate
public and institutional land in 2. District progress means for
the Terai, 10% will be under a reports, Annual registering public
defined management system review. and institutional
with regeneration of forest. land to
3. % of FUG members who 3. Baseline study communities is
report improvement in (i) reports, Impact determined.
availability of forest products monitoring
increases from 82% (2003) to reports, FUG The forest sector
90% in Hills, 47% (2005) to assessment policy will be
60% in Terai and 78% (2005) reports, District favourable to
to 85% in Mid-west and (ii) Progress promote forest
wildlife/water condition from reports. based enterprises
75% (2003) to 85% in hills, and markets
63% to 75% (2005) in mid
west and 26% (2005) to 35%
in Terai.
4. % of FUGs involved in NTFP 4. FUG
management increases from Assessment,
9% (2003) in hills, 31% Impact
(2005) in mid west and 26% monitoring LFP
(2005) in Terai to 50% in all progress
LFP areas. reports.
5. Number of FUG-based forest
enterprises increased from 12 5. FUG database,
(2003) in hills, 52 (2005) in Case studies,
mid west and 59 (2005) in records from
Terai by at least five times DFO/LFP/ NGO
6. In all LFP districts, Operation and
Plans (OP) are amended on independent
time (no OP back-log) with study reports,
technically improved27 OPs FUG
and constitutions assessment
reports.
6. FUG
assessment,
copy of OPs,
FUG monitoring
report, Progress
reports.

26
EOP/EOC= End of Programme or End of Component
25
The word “forest managers” denotes forest group members of any forest regimes, and all forest
management-related service providers
27
Technically improved OPs will have supervised inventory and management prescriptions.

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OUTPUT 02 BY EOP
1. All the new and amended 1. FUG There will be
Poor and excluded groups operational plans (OPs) and Assessment continued respect
enabled to participate in constitutions have at least reports, FUG and support to
and benefit from the three P&E equitable constitution working
forestry sector provisions, one each for review report, inclusively in the
participation, forest and other independent new political
resource distribution). study reports. context.
2. % of the total FUGs who
implement at least three P&E 2. FUG
equitable provisions assessment LFP partners will
increases from 1.25% (2003) reports, FUG have favourable
in hills, 3.5% (2004) in mid documents policy and
west, 3.8% (2004) in Terai to review and operating
20% (one each related to independent environment to
participation, forest and other studies. implement their
resource allocation). activities
3. At least 50% of economically
poor FUG members access 3. FUG progress MFSC will
income-generating reports, District approve and
opportunities. Progress implement
4. At least (i) 50% women, (ii) reports, FUG Gender and
15% Dalits (both male and Assessment Social Inclusion
female), (iii) 30% reports. (GSI) strategy
disadvantaged ethnic group
(both male and female) and 4. FUG
(iv) 15% poor represented in assessment
executive committees of FUGs reports.
5. At least (i) 33% women and
(ii) 33% Dalits or 5. FUG
disadvantaged ethnic group Assessment
(both male and female) reports, District
represent in key decision Progress
making positions of FUG reports,
executive committees. Reports from
6. At least 60% of poor and LFP partner
excluded households access institutions,
benefits generated from independent
forestry groups and their study reports.
resources (e.g., paid
employment, educational 6. District
benefits, quick impact and Progress
community development, reports, FUG
credit facility, skill development assessment
training, land allocation, reports, DFO
emergency fund etc.) progress
reports, FUG
progress
reports,
independent
study reports.

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OUTPUT 03 By EOP
1. All LFP districts have multi 1. LFP/ DFO/ MFSC and MLD
Capacity within and stakeholder fora with a Network will have
coordination amongst secretariat functioning as the Progress consensus on
institutions strengthened principle district level forest reports, decentralisation
for forestry sector sector planning, coordination strategies and
development and and monitoring mechanism. federal state
enhanced livelihoods. 2. In LFP districts, village level structure.
multi-stakeholders forum 2. LFP/ DFO/
engaged in forestry sector Network Politically
activities (i.e. network)) Progress accepted
established in at least 50% reports, governance
VDCs of hills and mid west, mechanism will
and 25% VDCs in Terai. be in place at
3. All multi-stakeholder fora districts and
include gender and social 3. Training national level
inclusion aspects in their reports,
decisions, plans and progress DFCC, VFCC and
monitoring. reports. forest user group
4. % of (i) woman staff in LFP networks will work
and its partner institutions positively with
increases from 21% (2006) to 4. Review report, user groups and
33%; and (ii) staff from Progress report stakeholders
excluded groups (both women and Gender
and men from Dalits and audit reports.
disadvantaged ethnic groups)
from 37% (2006) to 45%.
5. All District Forest Offices and 5. Copies of DFO
key partners will target their and partners
interventions in proportion to plans, Gender
the base population28 of audit reports.
different social groups
(women, Dalits and
disadvantaged groups) in LFP
districts. 6. LFP financial
6. Up to 15 MSc and 30 BSc records,
scholarships provided to nominations by
MFSC staff MFSC, annual
and progress
reports.

28
Base population will be defined by the information available from Central Bureau of Statistics (CBS/GoN)
and the figures are taken as context data for proportionate services and representations

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OUTPUT 04 By EOP
1. At least one new (innovative) 1. Progress There will be
Innovative, inclusive and initiative (i.e., in forest reports, continued
conflict sensitive management/ NTFP/ Agro- documents of favourable
approaches shared to forestry/ public land, safe and innovative political and policy
inform forest sector effective development/ pro- practices environment that
planning and policies poor and excluded growth, Annual review supports
scholarship package, and developing and
alternative energy, High independent testing of
Altitude Forest Management, reviews. innovative ideas.
forest certification etc.) tested
per year 2. Copy of
publication,
2. LFP strategy on progress
Communication developed and reports, annual
implemented, sharing with review report,
Programme Management meeting
Committee (PMC/MFSC) minutes,
members, LFP partners (e.g. response from
DFOs and forestry sector people
networks), DFID and wider receiving
audience. publications
and
communication
s, website
feedback.

3. Copies of
3. At least one effective practice strategy,
paper/ strategy/ approach Progress
developed, implemented and reports, Annual
shared (e.g. on climate Review report,
change, peace building, SFM, sharing reports,
second generation issues in meeting
forestry and importance of minutes.
disaggregated monitoring
information) per year.

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OUTPUT 05 1. At least one MFSC field 1. Copies of

responsive policy/ policy/ All partners
National Level forest strategy/guideline developed/ strategy/ committed to
sector capacity and revised per year. guidelines adopt and
response to field reality 2. At least one research/ study Progress implement GoN
strengthened paper to inform forestry sector reports, Policies,
improvements produced Annual review, Guidelines and
every year. workshop/ Strategies.
By EOP meeting
3. P&E F/UG representatives reports.
participate in all policy MFSC continues
formulation, contributing to 2. Copies of the consultative policy
develop field responsive and research formulation
P&E sensitive policies and publication. process
guidelines.
4. A prototype for gender and 3. Copies of
social inclusion sensitive policy/
monitoring system of MFSC in strategy/
place. guideline.
5. Groundwork for forestry
sector reform started in-line 4. MFSC set of
with the changed context. monitoring
questionnaire
and checklist,
FUG
database,
Annual review,
Progress
reports.

5. Copy of
forestry sector
reform papers
and plans

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Livelihood Forestry Programme - Key activities by Outputs

1. Output 01
1.1. Group Formation (CFUG, PLMG, PFUG, CFMUG…)
1.2. Constitutions/ OP preparation/ amendments/ Forest management plan
preparation
1.3. Forest nursery establishment and forest/ NTFP species seedlings production
activities
1.4. Soil and water conservation activities e.g., trail improvement, water resources
protection, on farm conservation, irrigation canals, landslide protection…
1.5. Government controlled/ community managed forest related activities e.g., plan
preparation, silvicuture operation, fire line mgmt, fuel wood depo, thinning and
pruning etc.
1.6. Demo plot support (establishment and management)
1.7. Forest / NTFP species plantation and post plantation activities
1.8. Forest protection support/ Forest management support
1.9. DFO/ Forest managers training, exposure visit, awareness campaigns
1.10. Forest/ watershed/ soil conservation/ public land/ Agro-forestry/ NTFP/
Alternative energy management training/ workshop for the users
1.11. Forest user groups planning and review workshops
1.12. PPSI/ GPSE sensitisation training/ exposure to forest managers and monitoring
system development
1.13. Pond management within forest areas
1.14. Forest/ agro/ livestock based enterprises development and management
activities
1.15. Forest product marketing support
1.16. Awards (Best FUGs, Quiz, etc.)
1.17. DFO/ DSCO support for resource centre management, field equipment etc.
1.18. Conflict resolution meeting, training, workshop etc.
1.19. Research related to scientific forest management
1.20. B.Sc./ M.Sc. scholarship support
1.21. Climate change/ Global warming related activities (e.g., sample inventory
preparation)

2. Output 2
2.1. P&E identification activities (e.g., well-being ranking)
2.2. Income generating activities (forest based and non-forest based) and revolving
fund provisions
2.3. Support in P&E sensitive policy formulation and FUG planning
2.4. Animation/ Social Mobilisation activities
2.5. Education support for P&E children
2.6. Emergency fund/ humanitarian support
2.7. Small health and sanitation activities targeting to P&E
2.8. Land allocation (CF and Public Land)
2.9. P&E exposure visit
2.10. P&E skills enhancement, capacity building training/ workshop and scholarship
support
2.11. Issue based sub group formation and related support
2.12. Tole level processes and groups strengthening
2.13. Small infrastructure support (irrigation, drinking water etc. focusing to P&E)
2.14. Research related to P&E issues
2.15. NRM classes targeted to women and P&E
2.16. P&E specific support under Local Initiative Fund (LIF)

3. Output 03
3.1. Network formation and strengthening
3.2. VFCC/ DFCC strengthening support
3.3. Awareness raising on climate change, global warming and Kyoto protocol
3.4. Orientation on peace sensitive development
3.5. Different level forest coordination meetings

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Project Identification, Formulation and Design
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3.6. DFO/ DSCO Office support for resource centre, equipment, stationery etc.
3.7. Institutional development training and workshops for service providers
3.8. Celebration of environment day etc.
3.9. Inter group conflict resolution (e.g., Boundary)
3.10. Institutional strengthening support to networks, user groups etc. (organisational
analysis, training, workshops and materials)
3.11. Review and planning workshops with stakeholders and networks
3.12. Collaborative activities
3.13. Monitoring and Evaluation activities (FUG monitoring and categorisation, field
visits, impact monitoring, progress monitoring etc. and related training/
workshop)

4. Output 04
4.1. Strategy development
4.2. Publication of best practices
4.3. Thematic workshops/ interactions
4.4. Piloting/ testing of different approaches and initiatives
4.5. Central level support to networks and federations (civil society groups)
4.6. Policy work through participation in different task forces
4.7. Capacity building/ training on planning and monitoring
4.8. Publication/ dissemination of LFP effective practices
4.9. Implementation of communication action plan

5. Output 05
5.1. Central level support to MFSC on policy/ strategies/ system and guidelines
development/ strengthening (e.g. PLMG policy, CF guidelines…)
5.2. Joint action with civil society networks
5.3. Contribution to develop and implement Gender and Social Inclusion Strategy
5.4. Contribution for forestry sector review, study on forest sector contribution on
GDP
5.5. P&E support in participating policy debate
5.6. Policy review (audit)
5.7. Contribution in research/ studies by MFSC and its subsidiaries
5.8. M&E system strengthening support / Database management support
5.9. Communication and extension activities

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