Session V Logframe Module 3 Project FormulationPreparation Sidaroth

Session V: Logframe Module 3: Project Formulation/Preparation Sidaroth KONG; September 2016

Contents 1. 2. 3. 4. 5. 6. Learning Objective What is Logframe? Why Logframe is Important for PFP? How to develop Logframe? Recommended formats and tools for Logframe Exercise 2

1. 2. 3. 4. 5. 6. Learning Objective What is Logframe? Why Logframe is Important for PFP? How to develop Logframe? Recommended formats and tools for Logframe Exercise 3

1. Learning Objective Participants will know how to use the Logframe for a welldesign project. 4

Contents 1. 2. 3. 4. 5. 6. Learning Objective What is Logframe? Why Logframe is Important for PFP? How to develop Logframe? Recommended formats and tools for Logframe Exercise 5

2. What is Logframe? • The Logical Framework is one of the principal tools used by the international development community to help design projects to achieve measurable results. • It was pioneered for USAID in the 1970 s and has since been widely adopted by multilateral and bilateral agencies, NGOs, and governments. 6

2. What is Logframe? • The Logical Framework, or Logframe, or Logical Framework Matrix, consists of a table which usually has four columns and four rows. • The vertical logic identifies what the project intends to do, clarifies the causal relationships and specifies the important assumptions and uncertainties beyond the project manager's control. • The horizontal logic relates to the measurement of the effects of, and resources used by, the project through the specification of key indicators of measurement, and the means by which the measurement will be verified. 7

2. What is Logframe? • The Logframe is a vehicle for organizing a large amount of information in a coherent and concise manner, assisting with the formulation, implementation, and monitoring and evaluation of projects. • The Logframe combines various components of a project such as overall objective or goal or impact, purpose or outcome, results or outputs, activities, indicators, means of verification, and important assumptions. • Logframe helps in connecting all these components in one framework, and presents the tight relationship among them. 8

Vertical Logic what the project intends to do. Clarify the casual relationship 2. What is Logframe? Project Summary Overall Objective Purpose Results Activities Objectively Verifiable Indicators (OVI) Means of Verification (Mo. V) Assumptions Logframe: USAID (2012) Horizontal Logic The measurement of the effects of and resources used by the project through the specification of key indicators of measurement (OVI), and the means by which the measurement will be verified (Mo. V). 9

2. What is Logframe? Different terminologies used for elements of Logframe • Different organizations use different terminologies for elements of Logframe, summarized at the next table. • This should not cause any confusion because what should be observed is the placement of those terminologies in relation to the levels of objective in the Logframe. 10

2. What is Logframe? Different terminologies used for elements of Logframe Objective: long-term Objective: short-term Results Activities Project Summary/ OVI Mo. V Assumptions Intervention Logic Impact Goal Overall Objective Outcome Specific Purpose Objective Outputs Results Activities Different Terminologies Used 11

2. What is Logframe? Elements of Logframe: Understanding the Terminologies • The Overall Objective should explain why the project is important to society in terms of the long term benefits to beneficiaries and of the wider benefits to other groups. • It should show the project fits into sectorial or national goal or plan or policy, macrolevel context, to which the activities are designed to contribute. • The Overall Objective will not be achieved by the project alone, but will require the impacts of other projects as well. • Examples of project’s overall objective are increased income, improved nutritional status, reduced crime… 12

2. What is Logframe? Elements of Logframe: Understanding the Terminologies • The Purpose should address the main problem, and be defined in terms of the benefits to be received by the project beneficiaries or target group as a result of utilizing the services provided by the project. • Examples of project purpose include increased agricultural production, higher immunization coverage, cleaner water, or improved legal services. 13

2. What is Logframe? Elements of Logframe: Understanding the Terminologies • The Results refer to the tangible products such as goods and services produced by undertaking a series of tasks as part of the planned work of the activity. The delivery of results or outputs should be largely under management’s control. • The results should address the main causes of the problems the target group faces, and provide the conditions necessary to achieve the project purpose. To ensure relevance of results, the problem analysis should therefore have identified a beneficiary demand for project services. • Examples of project results are irrigation systems or water supplies constructed, children immunized, buildings or other infrastructure built, policy guidelines produced, and staff effectively trained. 14

2. What is Logframe? Elements of Logframe: Understanding the Terminologies • The Activities are the specific tasks to be undertaken in order to achieve the results. • For example, for a community to have a new water supply, the activities may include: forming and establishing a water-user committee, writing water supply maintenance procedures, site preparation, collection of local materials, tank construction and pipe laying, digging soak pits, and so on. • However, the Logframe should not include too much detail on activities, otherwise it will become too lengthy and potentially prescriptive. If detailed specification is required, this should be presented separately in a work plan but not all in the Logframe. 15

2. What is Logframe? Elements of Logframe: Understanding the Terminologies • The Objectively Verifiable Indicators (OVI) or Indicators are measure of progress or lack of progress used to assess progress towards meeting stated results or objectives. An indicator should provide, where possible, a clearly defined unit of measurement and a target detailing the quantity, quality and timing of expected results. • Examples of indicators are: • • Percentage of the population who live below the poverty line. Number of training or workshop conducted. Number of children who are vaccinated. Number or percentage of women and men who are graduated from university. 16

2. What is Logframe? Elements of Logframe: Understanding the Terminologies • In the Logframe table, we can also observe varying types of indicators which are related to results/outputs, purpose/outcome and overall objective/impact. Logframe Terminology Overall Objective/Impact Purpose/Outcome Results/Outputs Indicator Terminology Impact indicators Outcome indicators Output indicators Source: EC (2004) 17

2. What is Logframe? Elements of Logframe: Understanding the Terminologies • The Means of Verification (Mo. V) should clearly specify the expected source of the information we need to collect. We need to consider how the information will be collected, who will be responsible, and the frequency with which the information should be provided. Data sources can include: • Project documentation such as training reports, partner meeting minutes, event reports, field visit reports, campaign reports, workshop reports, and reports from focus group meetings or key informant interviews. • Government documents such as the national development plan or policies, sectorial development plan, national statistics or surveys. • Other documents from non-governmental organizations, donors, or the United Nations 18

2. What is Logframe? Elements of Logframe: Understanding the Terminologies • The Assumptions refer to perceptions made about conditions which could affect the progress or success of the activity, but over which activity managers may have no direct control. • An assumption is a positive statement of a condition that must be met in order for objectives to be achieved, while a risk is a negative statement of what might prevent objectives from being achieved. • For example: price changes, rainfall, land reform policies, non-enforcement of supporting legislation. 19

2. What is Logframe? The Logframe should provide a summary of the project design, the length of which will depend on the scale and complexity of the project. 20

2. What is Logframe? Intervention Logic (Project Summary) Overall Objective (Goal/Impact) Objectively Verifiable Means of Verification (Mo. V) Indicators (OVI) IF the purpose/outcome is achieved, THEN this should contribute towards the goal/impact Assumptions Purpose (outcome) IF outputs are produced, THEN the purpose/outcome will be achieved IF the activities are undertaken, THEN outputs can be produced Results (outputs) And assumptions Activities IF adequate inputs are provided, THEN activities can be undertaken And assumptions 21

2. What is Logframe? The first column of the Logframe summarizes the ‘means-ends’ logic of the proposed project (also known as the ‘intervention logic’). When the objective hierarchy is read from the bottom up, it can be expressed in terms of: • IF adequate inputs or resources are provided, THEN activities can be undertaken; • IF the activities are undertaken, THEN results can be produced; • IF results are produced, THEN the purpose will be achieved; and • IF the purpose is achieved, THEN this should contribute towards the overall objective. 22

2. What is Logframe? Goal/Overall Objective (ultimate change) Progressive Relationship of “IF” and “THEN” from “INPUTS” to “GOAL” Purpose (change resulting from results) Results (direct deliverables of activities) Activities (specific tasks) Inputs (resources, people, knowledge) Concept adapted from (UNODC, 2008) 23

2. What is Logframe? If reversed, we can say that • IF we wish to contribute to the overall objective, THEN we must achieve the purpose; • IF we wish to achieve the purpose, THEN we must deliver the specified results; • IF we wish to deliver the results, THEN the specified activities must be implemented; • IF we wish to implement the specified activities, THEN we must apply identified inputs or resources. 24

Contents 1. 2. 3. 4. 5. 6. Learning Objective What is Logframe? Why Logframe is Important for PFP? How to develop Logframe? Recommended formats and tools for Logframe Exercise 25

3. Why Logframe is Important for PFP? Logframe is important for PFP for the number of reasons : • The use of Logframe or shared terminologies facilitate common understanding and better communication among project staff and stakeholders – decision-makers, managers, government, project partners, community members. • It provides systematic information and logical analysis of a project through a framework consisting of key interrelated elements, which as a result constitutes a well-designed project. 26

3. Why Logframe is Important for PFP? Logframe is important for PFP for the number of reasons: • It is the core reference document to be used throughout the entire project cycle management. Project team normally uses Logframe in order to know what were planned, what have to be implemented, what are the expected results, and to monitor whether implementation follows the planning. • It ensures continuity of approach when the original project member resigns or is replaced. • Some donors require a summary of project information in Logframe to be submitted with the project proposal. 27

Contents 1. 2. 3. 4. 5. 6. Learning Objective What is Logframe? Why Logframe is Important for PFP? How to develop Logframe? Recommended formats and tools for Logframe Exercise 28

4. How to Develop Logframe? • The results of the problem, objective and strategy analysis are used as the basis for preparing the Logframe. • The next diagram presents a development process from problems in the problem tree, to objectives in the objective tree, to strategy selection through the use of the objective tree, and to Logframe: 29

4. How to Develop Logframe? Problem Tree Objective Tree Effect Objective Main Problem Main Objective Cause 1. 1 Objective 1. 1 Cause 1. 1. 1 Obj 1. 1. 1 Cause 1. 1. 2 Obj 1. 1. 2 Cause 1. 1. 3 Obj 1. 1. 3 Strategy, Goal – Logframe 30

4. How to Develop Logframe? Logframe development process • Step 1: With project stakeholders, problems are identified analyzed in the Problem Analysis in Problem/Project Identification (PPI) phase. • Many causes or problems at root level contribute to a core or main problem, this main problem then creates other problems at the branch level. All of these present a causes-effects relationship in the Problem Tree. 31

4. How to Develop Logframe? Logframe development process • Step 2: The Problem Tree is then transformed into the Objective Tree through rewriting of problem statements into positive or objective statements. • Causes-and-effects relationship in the Problem Tree is transformed into means-ends relationship in the Objective Tree in Project Formulation/Preparation (PFP). • It is possible to restructure the objective hierarchy if the ideas are good and the logic is sound. The number of levels in the objective hierarchy or the exact formats used should not be of any great concern. 32

4. How to Develop Logframe? Logframe development process • Step 3: The Objective Tree is next used for strategy selection where relevant objectives are kept and non-related objectives are removed based on criteria of strategy selection agreed among the project team and stakeholders. • Step 4: The selected objectives after the strategy selection will be used in the Logframe matrix or table. 33

4. How to Develop Logframe? Session: Project Strategy and Goal Tool: Objective Tree Phase: PFP Step 4 Session: Objective Tree Analysis Tool: Objective Tree Phase: PFP Step 3 Session: Problem Analysis Tool: Problem Tree Phase: PPI Step 2 Step 1 Summary of the Logframe development process Session: Logframe Tool: Logical Framework Matrix Phase: PFP 34

4. How to Develop Logframe? Summary of the Logframe development process Step 1 Session: Problem Analysis Tool: Problem Tree Phase: PPI Effects Problems which are one or two levels above the main problem. Step 2 Session: Objective Tree Analysis Tool: Objective Tree Phase: PFP Objectives which are one or two level above the main objective. Step 3 Session: Project Strategy and Goal Tool: Objective Tree Phase: PFP Objectives Selected objectives: one or two level above the main objective Step 4 Session: Logframe Tool: Logical Framework Matrix Phase: PFP Overall Objective Selected objective: one or two level above the main objective. If choosing more than one objectives, combine them into one new overall objective. 35

4. How to Develop Logframe? Summary of the Logframe development process Step 1 Session: Problem Analysis Tool: Problem Tree Phase: PPI Step 2 Session: Objective Tree Analysis Tool: Objective Tree Phase: PFP Step 3 Session: Project Strategy and Goal Tool: Objective Tree Phase: PFP Step 4 Session: Logframe Tool: Logical Framework Matrix Phase: PFP Main Problem which arrives from many causes, roots, and contributes towards the effects, branches. Main Objective which arrives from many objectives, means, and contributes towards other objectives, ends. Main Objective Selected one main objective. Purpose or Outcome One main objective. 36

4. How to Develop Logframe? Summary of the Logframe development process Step 1 Session: Problem Analysis Tool: Problem Tree Phase: PPI Causes: level 1 Problems which are one level closer to the main problem, or direct causes to the main problem. Step 2 Session: Objective Tree Analysis Tool: Objective Tree Phase: PFP Objectives: level 1 Objectives which are one level closer to the main objective, or direct objectives to the main objective. Step 3 Session: Project Strategy and Goal Tool: Objective Tree Phase: PFP Objectives Selected objectives: one level closer to the main objective, or direct objectives to the main objective. Step 4 Session: Logframe Tool: Logical Framework Matrix Phase: PFP Results or Outputs Selected objectives: one level closer to the main objective, or direct objectives to the main objective. 37

4. How to Develop Logframe? Summary of the Logframe development process Step 1 Session: Problem Analysis Tool: Problem Tree Phase: PPI Step 2 Session: Objective Tree Analysis Tool: Objective Tree Phase: PFP Causes: level 2 and Objectives: level 2 and further down Problems which are two Objectives who are two levels or further down from the main problem. from the main objective. Step 3 Session: Project Strategy and Goal Tool: Objective Tree Phase: PFP Step 4 Session: Logframe Tool: Logical Framework Matrix Phase: PFP Objectives Selected objectives: two levels or further down from the main objective. Activities Selected objectives: two level or further down from the main objective. 38

4. How to Develop Logframe? The Logframe, therefore, summarizes : Activities: what are the specific tasks to be carried out? Results: what the project is going to deliver? Purpose/Outcome: why a project is being proposed? Indicators: how the progress or success of the project can be determined or measured? • Means of Verification: where the information required to assess the progress of the project can be found or verified? • Assumptions: what are the potential issues which could affect the success of the project. • • 39

4. How to Develop Logframe? Level of control over the different objective levels of Logframe • The Logframe also helps to indicate the degree of control managers have over the different levels of the project’s objectives. • Managers should have significant direct control over inputs, activities and the delivery of results, and should be held appropriately accountable for effectively managing theses elements of the project. 40

4. How to Develop Logframe? Level of control over the different objective levels of Logframe • However, managers can only exert influence over the achievement of the project purpose or outcome through the way in which the delivery of results is managed. • Project managers generally have no direct influence over the contribution the project makes to the overall objective or goal, and can only be expected to monitor the broader policy and program environment to help ensure the project continues to be contextually relevant. 41

4. How to Develop Logframe? To illustrate the development of Logframe on two examples: • Project 1: “improve the quality of river water” • Project 2: “reduced infant and maternal mortality rates” In these two examples, the starting point is to use results from strategy selection step (these examples are also shown in the Project Strategy and Goal session) 42

4. How to Develop Logframe? Project 1: improve the quality of river water (EC, 2004) The objectives marked in red are transformed into the Logframe 43

4. How to Develop Logframe? In this example, the overall objective is formulated from the combination of “incidence of water borne diseases and illnesses is reduced, particularly among poor families and under 5 s” and “to improve the general health of the riverine eco-system”: New Overall Objective: To contribute to improved family health, particularly the under 5 s, and to improve the general health of the riverine eco-system. 44

4. How to Develop Logframe? Project Summary Indicators Overall Objective To contribute to Incidence of water improved family borne diseases, skin health, particularly infections and blood the under 5 s, and to disorders caused by improve the general heavy metals, reduced health of the riverine by 50% by 2008 eco-system. specifically among low income families living along the river. Mo. V Assumptions Municipal hospital and clinic records, including maternal and child health records collected by project teams. 45

4. How to Develop Logframe? Project Summary Purpose (/outcome) Improved quality of river water. Indicators Mo. V Assumptions Concentration of heavy metal compounds (Pb, Cd, Hg) and untreated sewerage reduced by 25% (compared to levels in 2003) and meets established national health or pollution control standards by end of 2007. Monthly water quality surveys, jointly conducted by the Environmental Protection Agency and the River Authority, and reported monthly to the Local Government Minister for Environment The pubic awareness campaign conducted by the Local Government impacts positively on families’ sanitation and hygiene practices. 46

4. How to Develop Logframe? Project Summary Results (/outputs) Volume of waste-water directly discharged into the river system by households and factories reduced. Indicators Mo. V Assumptions 70% of waste water Annual sample survey Upstream water produced by factories of households and quality remains stable. and 80% of waste factories conducted water produced by by Municipalities households is treated in between 2003 and plants by 2006. 47

4. How to Develop Logframe? Project Summary Activities 1. Conduct baseline survey of households and businesses 2. Complete engineering specifications for expanded sewerage network 3. Prepare tender documents, tender and select contractor to expand the sewerage network Indicators 1. Number of households and businesses who received and/or responded to the survey. 2. Consultative Meetings conducted with stakeholders on engineering specifications. 3. The number of tender applications submitted, and the finally rewarded contractor. Mo. V 1. Report of baseline survey of households and businesses 2. Engineering specifications document 3. Tender documents, call for tender announcement, contract signed with the rewarded contractor. Assumptions 1. Households and businesses respond to the survey 48

4. How to Develop Logframe? Project Summary Indicators Activities 4. Identify appropriate 4. Discussion forums incentives for with factories on the factories to use clean incentive of using technologies clean technologies 5. Prepare and deliver 5. Public information public information and campaign on TV, awareness program radio, social media Mo. V Assumptions 4. Findings report on appropriate incentives for factories to use clean technologies 5. Campaign reports from TV, radio, social media 49

4. How to Develop Logframe? Project 2: “reduced infant and maternal mortality rates” (ITAD, 1999) The objectives marked in red are transformed into the Logframe Not Selected 50

4. How to Develop Logframe? In this example, a new project purpose will be formed from the combination of “rates of infection among babies & infants reduced”, “reduced incidence of acute birth complications”, and “rates of postpartum & neonatal infection reduced”: New Project Purpose: Health status of pregnant & nursing mothers, infants & babies improved. 51

4. How to Develop Logframe? Project Summary Indicators Overall Objective Infant & maternal Mortality rates reduced for mortality rates reduced. Under-1 s, under-5 s & pregnant & nursing mothers from X to Y by 2016 Mo. V Assumptions National statistics from the Ministry of Health before starting of the project, at mid-term, and end project evaluation 52

4. How to Develop Logframe? Project Summary Purpose (/outcome) Health status of pregnant & nursing mothers, infants & babies improved. Indicators Mo. V Assumptions Incidence of post-partum & Hospital & clinic Incidence of neonatal infection within records, analyzed infectious health centers reduced from at the beginning, diseases in the X to Y by 2016 mid-term, and the household Rates of infectious diseases end of the project reduced. (polio, measles, tetanus) Sample survey of among under-5 s reduced target group from X to Y by 2016 conducted & Incidence of acute birth analyzed in years complications reduced from X 1, 3 & 5 to Y by 2016 53

4. How to Develop Logframe? Project Summary Results (/outputs) Quality & efficiency of secondary healthcare improved. Indicators Mo. V Number of patients Hospital records, treated increased from X analyzed to Y by 2016 quarterly Average cost of Client treatment per patient satisfaction reduced from X to Y by survey, 2016 conducted Increased patient annually satisfaction with standards of care Assumptions Pregnant & nursing mothers able to access cash to pay for treatment 54

4. How to Develop Logframe? Project Summary Indicators Mo. V Activities 1. Design & implement new 1. The new procedures 1. Reports or logs procedures for: that are in place and from the use of Personnel management used new procedures Vehicle & equipment maintenance Drug storage & control Financial control & cost recovery Assumptions 55

4. How to Develop Logframe? Project Summary Indicators Activities 2. Design & implement 2. Number of staff training program for: training Patient care programs Hygiene conducted maintenance Basic accounting Data collection & analysis Mo. V 2. Training reports; attendance lists Assumptions Department of Health maintains level of funding at pre-project levels in real terms. Suitably qualified staff willing to work in rural areas 56

Contents 1. 2. 3. 4. 5. 6. Learning Objective What is Logframe? Why Logframe is Important for PFP? How to develop Logframe? Recommended formats and tools for Logframe Exercise 57

5. Recommended formats and tools for Logframe Recommended Formats for Logframe • Some organizations, in relation to its size and/or scale of their project or program, use different formats of Logframe. • Although the Logframe matrix usually has four columns and four rows, which is already presented in the above sections, the number of columns and rows can be added or removed according to the practical use and necessity of each organization. 58

5. Recommended formats and tools for Logframe Format four columns and three rows: no activity is included • In some cases, the Logframe should not include too much detail on activities, otherwise it will become too lengthy and potentially prescriptive. • If detailed specification is required, this should be presented separately in a work plan but not all in the Logframe. 59

5. Recommended formats and tools for Logframe Format four columns and three rows: no activity is included Project Summary (1) Overall Objective (2) Purpose (3) Results OVI (2) Mo. V (3) Assumptions (4) 60

5. Recommended formats and tools for Logframe Format four columns and three rows: no activity is included (1) Overall Objective (2) Purpose (3) Results Project Summary (1) OVI (2) Mo. V (3) Assumptions (4) 61

5. Recommended formats and tools for Logframe Format four columns and five rows: include activities and inputs Some organizations add inputs – such as personnel, finance, equipment, infrastructure, and so on – to show what are needed in order to carry out the activities. 62

5. Recommended formats and tools for Logframe Format four columns and five rows: include activities and inputs Project Summary OVI Mo. V Assumptions (1) (2) (3) (4) Overall Objective (2) Purpose (3) Results (4) Activities (5) Personnel, finance, equipment, infrastructure, and so on. Inputs 63

5. Recommended formats and tools for Logframe Recommended tools for Logframe • In brief, the recommended tools are problem tree and objective tree, explained in details with their steps in “How to develop Logframe? ” 64

Contents 1. 2. 3. 4. 5. 6. Learning Objective What is Logframe? Why Logframe is Important for PFP? How to develop Logframe? Recommended formats and tools for Logframe Exercise 65

6. Exercise Group Work on • Exercise #1: Develop a Logframe 66

References • Aus. AID. (2005). The Logical Framework Approach. Aus. Guideline. Australian Government. • DFID. (2011, January). Guidance on using the revised Logical Framework. A DFID Practice Paper: How to Note. Department of International Development. • EC. (2004). Aid Delivery Methods: Project Cycle Management Guidelines. European Commission. • Funds. For. NGOs. (2010). What is Logical Framework Analysis (LFA) and why is it important? Funds for NGOs. • ITAD. (1999). Project Cycle Management Training Handbook. Information Training and Agricultural Development. • LA GRA, J. (1990). Annex 13 - The logical framework. In A Commodity Systems Assessment Methodology for Problem and Project Identification. University of Idaho. • Taylor, L. , Thin, N. , & Sartain, J. (2003). Logical Framework Analysis. Guidance Notes No. 4. BOND: Networking for International Development. • Team Technologies. (2005). The logframe handbook : a logical framework approach to project cycle management. Washington, DC: World Bank. • USAID. (2012). The Logical Framework. Technical Note Number 2. United States Agency for International Development. 67