ANNEXE 5

Guide to Results-Oriented
Project Planning and
Monitoring
Contents
Introduction and overview 2
1. Results framework and catalogue of indicators as basis for results-oriented
project planning 2
1.1. Levels of the results framework 2
1.2. Catalogue of indicators 3
2. How do I plan my project in a results-oriented manner? 3
2.1. Completing the project planning overview 3
2.2. Completing the project description 6
4. Catalogue of required outcomes, outputs, indicators and activities for the
funding programme SCOPE-HE 8
Introduction and overview

Results-oriented monitoring (ROM) ensures that the goals of funding programmes and projects
are achieved. As a higher education institution (HEI) applying for funding programmes with
ROM, you need to outline the intended goals of your project and how they are to be achieved.
When drawing up your project application, you should read this Guide to ROM before
completing the project planning overview and the project description.
A short introduction with basic information about ROM is followed by a presentation of the
most im-portant steps that enable you to plan your project in a results-oriented manner. The
results framework and the catalogue of indicators for the funding programme serve as a basis
for this. They can be found in the second part of this guide.

1. Results framework and catalogue of indicators as basis for

results-oriented project planning

The funding programme’s results framework (see 3) and the catalogue of indicators (see 4) form
the basis for your results-oriented project planning. The purpose of a results framework is to
visualise the funding logic of a programme and to present the goals the DAAD aims to achieve
with the programme. The catalogue of indicators clarifies how the DAAD reviews the
effectiveness of the programme.

1.1. Levels of the results framework

The results framework comprises five result levels:
Longer-term effects (impacts)
The impacts describe the intended direct or indirect longer-term effects of a programme.

Objectives (outcomes)
The short-and medium-term effects (programme objectives) the DAAD would like to achieve
with its funding programme are defined on the outcome level. The programme objectives result
from using the outputs and they contribute to achieving the impacts.

Results (outputs)
The intended results, services and changes (outputs) that result from the measures/activities and
that are intermediate steps on the way towards reaching the programme objectives (outcomes)
are outlined on the output level.

Measures/activities
The measures/activities of the results framework correspond to the measures in a programme
that are eligible for funding (see funding framework). The programme results (outputs) are
achieved by performing the measures/activities.

Inputs
Inputs are required to realise measures/activities. They include funding from the DAAD, as well
as human, professional and infrastructural resources of the grant recipient, the forwarding
recipient and any additional parties.

1.2. Catalogue of indicators

The inputs, measures/activities, results (outputs) and short and medium-term effects or
objectives (outcomes) listed in the results framework are assigned to programme indicators,
which are listed in the catalogue of indicators (see 4). The effectiveness of funding programmes
is reviewed by enquiring about the programme indicators in a structured manner in the annual
substantive reports. The results also form the basis for the programme steering.
Note
An indicator is a (quantitative or qualitative) variable or factor that constitutes a simple and
reliable instrument for measuring and reflecting the changes achieved through the measure.

2. How do I plan my project in a results-oriented manner?

In results-oriented project planning you need to start with the intended project objectives (out-
comes), then plan the corresponding project results (outputs) and finally the measures/activities.

2.1. Completing the project planning overview

You will present your results-oriented project plan in the Project Planning Overview (Annexe
3). This table illustrates the results framework of your project. It is important that you provide a
short and clear overview by indicating specific project objectives (outcomes), project results
(output) and measures/activities.1 You are welcome to use an example of a completed project
planning overview (in German) for guidance.
When planning your project, you are free to choose the wording for your results (outputs) and
objectives (outcomes) and how you plan to achieve your goals. The project objectives must
correspond to the programme objectives indicated in the results framework.

Please proceed as follows when drawing up your results-oriented project plan:

a) The first step is to define your project objectives (outcomes). You need to specify your
intended project objectives based on the programme objectives (indicated in the results
framework).
Example 1: Specifying the project objective (outcome)

Outcome (programme level) Outcome (project level)

Subject- and development-related The ‘Blue Economy’ partnership project with

networks have been established University X is consolidated and has active,
between participating HEIs and development-relevant networks with the
other institutions. business community.

b) The second step is to define your project results (outputs). Intended outputs are visible
and quantifiable. Based on the results (outputs) on the programme level, you need to
specify your intended project results (outputs) (e.g., which higher education institutions,
which study programme, etc.).

Example 2: Specifying the project result (output)

Output (programme level) Output (project level)

Lecturers at the partner HEIs are

Teaching staff at the partner HEI, University Y,
qualified in their subjects and in
are qualified in the educational use of media.
teaching.

c) In the third step, you should ideally determine only one meaningful indicator for each
project-specific result (output) and objective (outcome), respectively. However, to be able
to establish that an objective has been achieved, it may be necessary to specify more than
one indicator (e.g., number of courses and number of participants).
o Specification:
You may tailor programme indicators that apply to your project to match your
purposes. You can also name your own indicators if needed.

1
You do not need to specify any impacts for your project.
 Project indicators should only be specified for key aspects of the outputs and
outcomes of the project.
o Benchmarks:
Specify for each indicator, how much should be deployed, implemented and achieved
in the project within a specific time frame (benchmarks). This is vital to be able to
check if objectives have been achieved. To determine benchmarks, you can refer to
experience-based values from similar projects, references from your institution or
speak to partners and experts.

Please make sure that the indicators for your project fulfil the SMART criteria:
Specific: precise and unambiguous in terms of quality and quantity
(Who? What? How?).
Measurable: can be measured with reasonable effort and at reasonable cost.
Attainable: goals are realistically achievable within the specified parameters.
Relevant: meaningful in terms of the intended changes.
Time-bound: has a defined timeframe.

Example 1: Specifying/benchmarking indicators for project objectives (outcomes)

Outcome (programme level) Outcome (project level)

Subject- and development-related The ‘Blue Economy’ partnership project with

networks have been established University X is consolidated and has active,
between the participating HEIs development-relevant networks with the
and other institutions. business community.

Indicator (programme level) Indicator (project level)

Number of active cooperation The cooperation between the involved partner

partners in the funded universities is to be further consolidated until
partnerships, differentiated by: the end of 2026.
• Name of the institution
• Headquarters of the institution By the end of 2027, at least two regionally
• Field (e.g., science/research, based businesses have joined the partnership
business, politics) project as active cooperation partners.
• Type (as defined in the grant
agreement, additional partners)
• Development of the
partnership (e.g., unchanged,
consolidated)
Example 2: Specifying/benchmarking indicators for project results (outputs)

Output (programme level) Output (project level)

Lecturers at the partner HEIs are

Teaching staff at the partner HEI, University Y,
qualified in their subjects and in
are qualified in the educational use of media.
teaching.

Indicator (programme level) Indicator (project level)

Number of qualified teaching staff Ten university teachers from University Y,

(including teaching doctoral including at least four women, are qualified in
students), differentiated by: the educational use of media by the end of
• Type of qualification (e.g., 2027.
subject-related, teaching-
related)

d) The fourth step is to name the information sources and methods required for collecting the
data to measure the indicators. Please refer to the Example of a project planning summary
(in German).

2.2. Completing the project description

In the project description, you need to outline your project with regard to its specialised content,
as well as outline the measures/activities in relation to your own project’s objectives. You should
take the results logic, programme objectives and selection criteria into account here. You are
required to draw up a schedule for your project.
In the assessment of your project application, the results-oriented project plan is taken into
account in selection criterion 1 ‘Relationship of the project to the programme objectives (as per
the results framework) and results-oriented planning using indicators that meet the SMART
criteria’.

Checklist regarding results-oriented project planning as a selection criterion:

✓ Clear relationship between the project objectives (outcomes) and the project results
(outputs).
✓ Clear connection between the project and the programme objectives (outcomes) and
the programme results (outputs).
✓ The project description clarifies comprehensively which measures/activities are to be
realised, and how these contribute to the project-specific results (outputs) and objectives
(outcomes).
✓ The project-specific indicators meet the SMART criteria.
3. Results framework for the EU-ASEAN Sustainable
Connectivity Package – Higher Education Programme (SCOPE-
HE)

Results framework EU-ASEAN university networks

4. Catalogue of required outcomes, outputs, indicators and
activities for the funding programme SCOPE-HE

The following outcomes, outputs, indicators and activities are set for SCOPE-HE, for which the
DAAD requests data for the annual substantive reporting. This data supports the programme
management and accountability.

Programme objectives (outcomes) and allocated programme indicators

Outcome Indicator

Number of new or improved processes and structures created at the

partner universities and processes and structures for strengthened
Structures for graduate training at the partner universities (since the start of funding),
education and training differentiated by:
at partner institutions
• Type
of the cluster have
• Status of implementation (conception started, conception
been improved
completed, implementation initiated, implementation completed,
other)
• Contribution to the improvement of the respective area

Number of curricula coordinated or already introduced (complete degree

programme), teaching modules and/or courses (since the start of funding),
differentiated by:
• Type [curricula (complete degree programmes), teaching modules,
Partner universities courses, other]
offer SDG-related • Title/topic
study/qualification • Newly developed or revised
programmes that are • Level (Bachelor, Master, PhD, other)
in line with the local • Implementation status (Conceptual phase started, available in draft
context and the state form, coordinated within the university, tested, offered, accredited,
of science other)
• Primary teaching/learning format (degree of digitalisation) (face-to-
face teaching, blended learning, online teaching)
• Involvement of non-university stakeholders [science/research,
business, civil society (e.g., NGOs), public sector/politics, no non-
university stakeholders involved, other]
• Number of partner institutions involved in the development
Methods for Number of procedures established for transferring teaching material and (parts
transferring teaching of) curricula to other universities (since the start of funding), disaggregated by:
material and (parts of)
• Title/topic
curricula to interested
• Newly developed or revised
universities are
• Status of implementation (concept partially adopted, concept fully
established
adopted, implementation initiated, implementation completed,
other)

Increased
participation of Number of cluster members participating in Horizon Europe trainings
researchers in Horizon offered by EURAXESS, disaggregated by:
Europe calls in • Gender
relevant thematic • country
areas

SDG-relevant research
Qualitative description of the developed curricula, teaching modules,
topics and results are
courses or other study programmes, their regional relevance and the added
integrated in teaching
value for the partner university or universities, as well as a description of the
procedures at the
integration of the research results from the research projects into teaching
networks’ partner
(since the start of funding)
institutions

Regional cooperation Number of researcher staff participating in mobility schemes,

for research mobility is disaggregated by:
promoted and • Gender
enhanced • country

Number of publications realised through the grant/funding, differentiated

SDG-relevant research by:
priorities are • Title/topic
enhanced in the • Type (article in peer-reviewed journal, contribution to scientific
networks’ partner anthology, including conference proceedings, scientific
institutions monographs, project reports/technical reports/working papers,
articles in newspapers/journals/online publications, other)

Procedures for the

Number of newly created or improved procedures for the dissemination of
dissemination/transfer
knowledge and research results (since the start of funding), disaggregated by:
of research results and
knowledge are • Title/topic
established • Newly developed or revised
 • Status of implementation (concept partially adopted, concept fully
adopted, implementation initiated, implementation completed,
other)

Programme results (outputs) and allocated programme indicators

Output Indicator

Number of newly developed or revised curricula, teaching modules,

classes or other study offers (since funding started), differentiated by:
• Type (e.g., curricula, teaching modules)
• Title/topic
• New or revised
Curricula, teaching • Level (e.g., bachelor’s degree, master’s degree)
material relevant for • Implementation status
the cluster research • Inclusion of non-university stakeholders (e.g.,
focus are jointly science/research, business, politics)
(further) developed • Number of partner institutions involved in the development

Qualitative description of the curricula, teaching modules and

teaching events developed as well as the value they have brought for
the partner HEI or institutions involved (since the beginning of
funding)

Improved practices
for dissemination of Number of newly created or improved practices for the dissemination
knowledge, teaching of knowledge and research results
offers and research
results are in place

Universities outside
the cluster are
interested in using Number of partner universities outside the cluster interested in using
the revised or the teaching offers in the future
created teaching
offers
Researchers are Number of scientists and scholars participating in summer schools /
trained in research short stays, differentiated by:
methods and
Horizon Europe • Gender
processes • Status (junior researcher, visitor researcher, other)

Research
collaboration
between network Number of EU and ASEAN HEI research collaborations emerging from
members (also the symposia, disaggregated by:
involving non- • Theme
university actors) is • Organisation
initiated and joint • Gender
products (events, • Country
publications) are
realised

Number of research/advisory products (events, publications) initiated

by the funded clusters, disaggregated by:
• Type [e.g., project and research applications, consulting for
Research products the public sector (including policy advice), project and
are published research applications, other]
• Implementation status (in conception, submitted, application
accepted, consultancy commissioned, rejected, in
implementation, completed, other
• Type of research (applied research, basic research, other)

Number of non-university actors involved in the research activities,

Non-university actors disaggregated by:
(science/research, • Area (science/research, business, civil society, public
business, civil sector/politics, other)
society, public
sector/politics, other) Number of additional contacts (gained by cluster partners) who
are involved in the design, manage and/or implement research activities with the
clusters research participating HEI, disaggregated by:
activities • Area (science/research, business, civil society, public
sector/politics, other)

Number of additional contacts that support the dissemination of

Actors external to the research results, disaggregated by:
core network
• Area (science/research, business, civil society, public
support the
sector/politics, other)
dissemination of
research results

Measures/activities and corresponding programme indicators

Measure/activity Indicator

Relevant teaching Number of newly developed or revised (parts of) curricula, teaching
materials/curricula at material disaggregated by:
partner institutions
• Type (curriculum, module etc.)
are
• Development status
developed/revised
• Implementation status
• Number of partner organisations involved

Qualitative description of the most important teaching and learning

materials, consumables and equipment and how they are of use to the
project (in the reporting year)

Events take place Number of events held (in the reporting year), differentiated by:
• Title/topic
• Event location/country
• Duration (in days)
• Format (e.g., planning/management meetings, workshops,
conferences)

Number of people participating in the events (in the reporting year),

differentiated by:
• Gender

Further education Number of further training and continuing education courses conducted
and training and (in the reporting year), differentiated by
summer schools / • Title/topic
short stays are • Event location/country
conducted • Duration (in days)
• Format (e.g., seminars, summer schools, field trips)
• Type of qualification (e.g., subject-based, didactic,
interdisciplinary)

Number of participants in further training and continuing education (in

the reporting year), differentiated by:
• Gender
Satisfaction level of the workshop participants participating in the
summer schools / short stays, differentiate by:
 • Competences and skills gained
• Networking opportunities

Project-related stays Number of funded individuals (in the reporting year), differentiated by:
are conducted • Gender
• Country of citizenship
• Status (e.g., bachelor’s/master’s students, doctoral students,
professors)
• Type of funding (new/continuing)
• Duration of funding
• Subject group
• Destination country

Research symposium Number of participants from HEI institutions and research networks and
is carried out (one other relevant actors (private sector, political level, technical vocational
per thematic field) education and training, students) from both regions, differentiated by:
• Gender

SDG-relevant Number of research/consulting products developed (since the start of

research is designed funding), differentiated by:
• Title/topic
• Type [e.g., project and research applications, consulting for the
public sector (including policy advice), project and research
applications, other]
• Implementation status (in conception, submitted, application
accepted/consultancy commissioned, rejected, in
implementation, completed, other)
• Type of research (applied research, basic research, other)

Target group- Number of measures / activities for public relations and marketing (in
oriented public the reporting year), disaggregated by:
relations and
• Type of measure / activity, marketing channel (e.g., website,
marketing measures
social media, flyers/posters, press articles, lectures/events,
are realised
newsletters, other)