Logical framework approach DR.MADHUR VERMA PGIMS ROHTAK

Assistant Professor of Community & Family Medicine, AIIMS Bathinda en All India Institute of Medical Sciences, Bathinda (Punjab)
31 de Aug de 2014

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Logical framework approach DR.MADHUR VERMA PGIMS ROHTAK

  2. CONTENTS 1. Introduction N History 2. Concept & definition of LFA 3. Analysis Phase: Stakeholder Analysis, Problem Analysis Analysis of Objectives, Strategy Analysis 4. Planning Phase: The Logframe Matrix, Levels of Objectives Assumptions, Objectively Verifiable Indicators Sources of Verification 5. Advantages of LFA 6. Limitations of LFA 7. References
  3. LFA- A retrospective view When U.S.A.I.D. – the United States Agency for International Development decided in the early 1970’s to introduce the Logical Framework it did so as a response to a number of problems encountered with project evaluations. These problems were: 1. vague planning 2. unclear management responsibilities 3. evaluation as an adversary process
  4.  It continued to be developed by various UN agencies, but the GTZ (German Technical Cooperation) has strongly embraced the approach and developed it into a practical systematic tool. (GTZ-) was responsible for the development of ZOPP or Zielorientierte ProjektPlanung NORAD (North American Aerospace Defense Command) made a significant contribution in 1990 with their handbook  In the 1990s it was often mandatory for aid organisations to use the LFA in their project proposals but its use in recent years has become more optional
  5. The European Commission introduced LFA as a part of Project Cycle Management in the early 1990’s on the basis of a review carried out on the effectiveness of its development work. The three key weaknesses identified then were the following: 1. that there was a general tendency to confuse the project with the people that were meant to profit from its implementation and functioning; 2. in many cases, vitally important aspects were overlooked in project preparation, implementation and follow-up; 3. too often, decisions were taken without being subject to the required decision-making rules appropriate to each phase in the project cycle.
  6. These weaknesses were translated into positive guiding principles* forming the cornerstones of Project Cycle Management with the LFA being its principle project design and management tool. These guiding principles are: 1. Always express the project purpose (immediate objective) in terms of sustainable benefits for the target group; 2. Devise a “basic format” setting out concisely the vital aspects which, if not considered, will almost certainly lead to the project’s failure; 3. Devise a mechanism to guide sound decision-making process throughout the project cycle. * Eggers, Hellmut W., p.69.
  7.  LFA is widely used by bilateral and multilateral donor organizations like GTZ SIDA (Swedish International Development Cooperation Agency), NORAD (North American Aerospace Defense Command), DFID (Department for International Development), UNDP (United Nations Development Project) Inter- American Development Bank. FINNIDA - Min. of Foreign Affairs Finland
  8. Logical framework approach LFA is a systematic planning procedure for complete project cycle management  It is a problem solving approach which takes into account the views of all stakeholders  It also agrees on the criteria for project success and lists the major assumptions
  9. To define LFA….  The LFA is a tool – or rather an open set of tools – for project design and management. It entails an evolutionary, repetitive analytical process and a format for presenting the results of this process, which sets out systematically and logically the project or program’s objectives and the causal relationships between them, to indicate how to check whether these objectives have been achieved and to establish what external factors outside the scope of the project or program may influence its success.* * Commission of the European Communities: Project Cycle Management, Manual. February 1993, p. 18.
  10. Logical Framework Approach  In English: GOPP- Goal Oriented Project Planning OOPP- Objective Oriented Project Planning  In German: ZOPP (Zielorientierte Projektplanung)
  11. The LFA can help to achieve: 1. A STRUCTURED PROJECT DESIGN PROCESS. LFA suggests a logical sequence, interlinking the individual steps in the design process. 2. TRANSPARENCY. The reasons why a certain project is meant to be implemented are laid open (what are the problems and whose problems are they?) as well as the internal logic of the project design (what is the project expected to achieve and how?).
  12. 3. PARTICIPATION of the stakeholders involved in the project design and management, which is an essential prerequisite for the sustainability of a project. 4. A CONSISTENT PROJECT STRATEGY: The LFA provides tools to clearly link causes and effects. To better assess risks it also takes into account external factors that are crucial for the success of the project, but lie outside the control of the project.
  13. 4. OBJECTIVELY VERIFIABLE INDICATORS. Indicators describe objectives in measurable “empirically observable” terms and provide the basis for performance measurement and project monitoring and evaluation. 5. FLEXIBILITY in adapting to changing conditions (that are of relevance for the project). The LFA establishes a framework that makes the underlying rationales and assumptions transparent and helps to react to changes by, e.g., revising the design.
  14. The LFA applied to the Project cycle  LFA is applied from Identification to Evaluation  LFA provides a basis for:  Checking what has been achieved vs planned  verifying the influence of external factors on the project  checking the benefits of the project
  15. Using The LFA At Various Stage Of PCM It is to note however that LFA does not apply rigorously to projects of all types and sizes in the same way and it may be relevant to distinguish between the following types of projects: 1. Large projects, where the use of considerable resources for planning and design is justified and the use of LFA is a must 2. Experimental projects where the use of LFA is necessary regardless of size 3. Programmes consisting of several projects, where LFA should be used both on the programme itself as well as the individual projects. 4. Small projects, where less resources are available for planning, design and the use of LFA 5. Non-projects (event-projects) e.g. financial support, seminars, etc., where it does not make sense to use LFA.
  16. The logical framework approach Analysis phase Planning phase Decide what you will do 1. Problem Analysis 2. Objectives Analysis 3. Strategy Analysis Decide how you will do it 4. Log frame matrix 5. Activity planning 6. Resources planning
  17. The Analysis Phase The LFA is an evolutionary, iterative process starting with the profound analysis of this existing, undesired situation as a basis for later planning.  But what are the most important characteristics of an existing situation?  What are the real problems to be tackled by the project? The answer to this question greatly depends on perception - in a project context on the perception of the different stakeholders involved.
  18. During the analysis phase representatives of the stakeholders are therefore brought together and consulted in order to be  able to define and provide their views on the existing problems (first step of the analysis phase),  able to later on analyse objectives on that basis (second step of the analysis phase)  and to finally analyse what alternative project strategies exist (third step of the analysis phase). Stakeholder consultations are often organised in form of workshops, but can and should be varied according to the specific conditions and needs.
  19. The planning phase The main output of the LFA is the logframe matrix (short form for logical framework matrix) – it could also be called the “product” of the LFA. The logframe matrix is a format for presenting the results of the LFA as a process, and is developed on the basis of the LFA tools applied earlier during the analysis phase
  20. Stakeholder Analysis Stakeholder is any individuals, group or organization, community, with an interest in the outcome of a programme/project. Purpose To identify: • The needs and interest of stakeholders • The organizations, groups that should be encouraged to participate in different stages of the project; • Potential risks that could put at risk programme; • Opportunities in implementing a programme;
  21. SWOT Analysis Purpose:  To assess the performance and capacity of the participating units, divisions of organization.  Each participating unit has to undertake SWOT analysis. SWOT analysis is a tool for institutional appraisal and a brainstorming exercise in which the representatives of the organization participate fully.
  22. SWOT Analysis SWOT stands for: • Strengths - the positive internal attributes of the organisation • Weaknesses - the negative internal attributes of the organisation • Opportunities - external factors which could improve the organisation’s prospects • Threats - external factors which could undermine the organisation’s prospects
  23. Problem Analysis: problem tree Purpose: - to identify major problems and their main causal relationships. Output: problem tree with cause and effects
  24. Steps in Undertaking Problem Tree 1. Identify the major problems that the project will address. State problems in negative manner. 2. Group problems by similarity of concerns. 3. Develop the problem tree: a) Select a focal problem from the list and relate other problems to the focal problem. b) If the problem is a cause of the focal problem it is placed below the focal problem c) If the problem is an effect of the focal problem is goes above
  25. Problem Tree EFFECT CAUSE
  27. Analysis of Objectives  Transforming the problem tree into an objectives tree by restating the problems as objectives.  Problem statement converted in to positive statements. Top of the tree is the end that is desired Lower levels are the means to achieving the end.
  28. Objectives Tree Ends Means * Project Cycle Management Guide, 2004 *
  29. The relationship between the problems tree and the objective tree PROBLEM TREE OBJECTIVE TREE  Focal problem Project Purpose  Effects Overall Objectives  Causes Results
  30. Strategy Analysis (“Analysis of Alternatives”) The aim of strategy analysis is division of the objectives tree into more consistent smaller sub-units that may, compose the core for a project.  Each of the sub-units of the objective tree can represent an alternative strategy for the future project. The project objectives set the framework for the strategy of the project.
  31. Strategy Analysis Criteria for selection of the project strategy: 1. Relevance: the strategy corresponds to the needs of the stakeholders. 2. Effectiveness: the lower level objectives of the strategy will contribute to achievement of the project purpose 3. Efficiency: cost-effectiveness of the strategy in transforming the means into results. 4. Consistent with development policies 5. Sustainability of the project 6. Assumptions & Risks
  32. The Logframe Matrix  The main output of the LFA is the logframe matrix.  The Logical Framework Matrix is used to present information about project objectives, outputs and activities in a systematic and logical way.  It is an up front planner that provides essential information  Ability to incorporate the views of all the stakeholders of a project& summarize the key features of a project design
  33. Logical Framework Approach Vs Logical Framework Matrix The APPROACH involves problem analysis, stakeholder analysis, developing a hierarchy of objectives and selecting a preferred implementation strategy. The product of this analytical approach is the MATRIX (the Logical Framework), which summarises what the project intends to do and how, what the key assumptions are, and how outputs and outcomes will be monitored and evaluated.
  34. Logframe Basic Principles The Log Frame should be:  Concise - normally not longer than 2 sides of paper A free standing document – easy to understand for those sighting it for the first time. No acronyms  Include beneficiaries in the design of the Log Frame A basis for monitoring and evaluation – must be reviewed and amended regularly
  35. CATWOE Test Customer for the project (Who pays?) Agents for the project (who does what?) Transformation the project intends to achieve Worldview or major assumption of the change (development hypothesis) Owner of the project (who are the beneficiaries) Environmental Constraints (natural, social, political, economic) facing the project
  36. Log Frame A LogFRAME is a 4x4 matrix. Four rows and four columns.
  37. The Logical Framework Matrix Objectives & activities Goal (Impact) Purpose/ (Outcome) Outputs Activities Indicators Means Means of verification Assumptions What needs to be fulfilled before activities can start Pre-conditions Cost
  38. 3 Stages for Log Frame Matrix  STAGE ONE - Start at the top and work down  The objectives column - what is the project going to achieve?  STAGE TWO -Then think laterally  How can the progress of the project be measured against its objectives? (MEASURABLE INDICATORS AND MEANS OF VERIFICATION)  STAGE THREE -Then reflect back up  What assumptions are to be included and what are their implications?
  39. LogFRAME Intervention Logic Verifiable Indicators Means of Verification Assumptions Defines the project structure. It should distinguish between Goal; Purpose; Outputs; Inputs and Activities
  40. LogFrame Intervention Logic Verifiable Indicators Means of Verification Assumptions The emphasis is on the value not just the type of indicators of achievement. Any indicators should be susceptible to measurement or qualitative judgment or both.
  41. LogFrame Intervention Logic Verifiable Indicators Means of Verification Assumptions This column sets out how and from what sources of information, each indicators in V I column will be quantified or assessed. If some of the data may be unreliable the LogFrame should say so.
  42. LogFRAME Intervention Logic Verifiable Indicators Means of Verification Assumptions This column should record the important assumptions on which the success of the project depends and the risks that have been considered.
  43. Log Frame Intervention Logic Verifiable Indicators Means of Verification Assumptions Goal What is the overall broader objective to which the project will contribute? What are the quantitative ways of measuring or qualitative ways of judging whether these broad objectives are being achieved? (estimated time What sources of information exist, or can be provided cost-effectively? What external factors are necessary for sustaining objectives in the long run
  44. Log Frame Intervention Logic Verifiable Indicators Means of Verification Assumptions Project Purpose What are the specific objectives which the project shall achieve? What are the quantitative measures or qualitative evidence by which achievement and distribution of impacts and benefits can be judged (estimated time) What sources of information exist or can be provided cost-effectively? What are the methods required to get this information? What conditions external to the project not under the direct control of the project which are necessary to achieve the project’s purpose. What risks have to be considered
  45. Log Frame Intervention Logic Verifiable Indicators Means of Verification Assumptions Expected Results (Outputs) -What are the concrete outputs imagined to achieve the specific objectives? -What are the envisaged effects and benefits of the project? -What changes will be produced by the project? What kind and quantity of outputs and by when will they be produced? (quantity, quality, time) What are the sources of information for these indicators? What are the factors not within the control of the project which, if not present, are liable to restrict progress from outputs to achievements of project purpose?
  46. Log Frame Intervention Logic Verifiable Indicators Means of Verification Assumptions Activities What are the key activities to be carried out and in what sequence in order to produce the expected results? Means: What are the means required to implement these activities e.g. personnel, equipment, training, studies, supplies, operational facilities etc. (It is recommended that VI are included against all activities) What are the sources of information about project progress? What external factors must be realised to obtain planned outputs on schedule? What kind of decisions or actions outside the control of the project are necessary for the implementation of the planned activities?
  47. The if Logic if ACTIVITIES can be undertaken if MEANS are provided then RESULTS will be produced if RESULTS are produced then the PROJECT PURPOSE will be achieved if the PROJECT PURPOSE is achieved then the project will contribute towards the OVERALL OBJECTIVE then ACTIVITIES can be undertaken
  48. Assumptions  Describe necessary internal and external conditions in order to ensure that the activities will produce results  Assumptions are risks, which can jeopardize the success of the project  Are worded positively, i.e. they describe circumstances required to achieve certain objectives  Should be relevant and probable
  49. Assumptions  If an assumption is not important or almost certain: Do not include  If an assumption is unlikely to occur: Killer assumption – abandon project Example of Assumptions:  Adequate funds materials.  Skilled people – training needs.  Approvals & contracts – legal, administrative.  Participation of stakeholders.
  50. Assumption Algorithm Is the assumption important? Yes No Will it hold true? Almost certainly Do not include in LogFRAME Possible Include as an assumption Very unlikely is it possible to redesign the project in order to influence the Yes external factor? No Redesign the project by adding Activities or results; reformulate the project purpose if necessary The project may not be feasible
  51. Assumptions Goal Purpose Results Activities If activities are undertaken AND assumptions hold true, then results can be achieved Assumptions Assumptions Assumptions Inputs + + + Pre-conditions need to be met before resources are committed and activities initiated  The Narrative Summary describes the IF/THEN logic, that is the necessary conditions linking each level. Assumptions complete the picture by adding the if/AND/then logic.
  52. Objectively Verifiable Indicators The basic principle of the OVI column is that “if you can measure it, you can manage it”. The OVIs tell us not only what accomplishment is necessary, but also what will be sufficient performance to assure that we can reach the next level of objective (The necessary and Sufficient Test)
  53. Objectively Verifiable Indicators  Indicators must be valid, reliable, precise, cost-effective and stated independently from other levels.  Indicators should make clear how the target group will benefit from the realisation of outputs.  Indicators should be specific in terms of: Quality (what?) - Q Quantity (how much?) - Q Time (when, how long?) - T Target Group (who?) - T Place (where?) - P
  54. Objectively Verifiable Indicators The process of defining indicators forces us to clarify our objectives. A good indicator at this level is, a. Plausible- measuring what is important in the project b. Attributable -measuring changes caused by the project c. Cost-effective -involving data that may be collected and analyzed inexpensively d. Independent-not inherent to the project e. Targeted -how much.., what kind of.., by when f. Verifiable -to reach agreement
  55. Impact (Goal) Level Indicators Goal level indicators often describe the program objective to which this project and several others are directed Goal level indicators may include targets beyond the scope of this project
  56. Outcome (Purpose) level Indicators The project Purpose is the primary reason why you are doing the project. It is why you are producing Outputs.  Purpose level Indicators very often defines the change in behaviour of project beneficiaries, or the change in the way institutions function, as a result of the project’s Outputs.  During a cost/effectiveness assessment of a project design, it is the relationship between Outcome and costs that we look at, rather than simply Outputs and costs.
  57. Output Level Indicators These indicators define the deliverables for which the project team/contractor is accountable.
  58. Means of Verification In the Means of Verification (MOV) you describe the sources of information that will demonstrate what has been accomplished.
  59. Intervention Logic Verifiable Indicators Means of Verification Assumptions Goal To reduce population growth in a community The reduction of the number of live births per 1000 head of population National statistics Data from public health and ministry of health departments Project Purpose Within 5 years for those of reproductive age to have increased their uptake of Family Planning services by 30% The number of live births recorded per annum over a 5 year period (Increase in CPR) (Decrease in TFR) Data from hospitals/clinics within the project area Data from birth registration body No overt opposition from religious or anti-abortion groups. The community wants greater access to FP services Expected Results Those of reproductive Q age to use family planning methods effectively Number of attendees at FP clinic Number of pregnancy tests carried out Number using contraceptives Record number at FP clinic Number of requests for abortions Records are available for baseline data Activities To recruit and train staff To fully equip a FP clinic To increase the supply of contraceptives Recruitment and training of staff to be completed within 3 months Equipment and all supplies quantified and costed Numbers of staff trained and retained Number of contraceptives issued at FP clinic That trainers are available Equipment and supplies will be available at the start of the project
  60. The LogFRAME Monitoring & Evaluation LogFRAME hierarchy Type of monitoring & evaluation activity Level of information Goal Ex-post evaluation Outcomes/impact Purpose Evaluation at completion and ongoing review Outcomes/effectiven ess Component Objectives Ongoing review Effectiveness and sustainability Outputs Monitoring and review Output Activities Inputs Monitoring Inputs/Outputs
  61. LogFRAME Advantages: 1. Brings together in one place a statement of the key components of a project 2. It presents them in a concise and coherent way (clarifies and shows logic of how the project is expected to work) 3. It separates the various levels in the hierarchy of objectives (helps to avoid confusion of inputs and outputs)
  62. LogFRAME Advantages cont: 4. It clarifies the relationships which underlie judgments about likely efficiency and effectiveness of projects 5. It identifies the main factors related to the success of the project 6. It provides a basis for monitoring and evaluation by identifying indicators of success and means of quantification or assessment 7. It encourages a multidisciplinary approach to project preparation and supervision
  63. Limitations to the Logical Framework approach  It is not a substitute for other technical, economic, social and environmental analyses.  It cannot replace the use of professionally qualified and experienced staff.  Rigidity in project management may arise when objectives and external factors specified during design are over emphasized.
  64. Limitations to the Logical Framework approach  It requires a team process with good leadership and facilitation skills to be most effective. The process requires strong facilitation skills to ensure real participation by appropriate stakeholders. The whole culture of the Logical Framework can be alien.
  65. Limitations and Risks There are a number of risks involved when the LFA is applied improperly. In addition there are a few aspects that have been criticised as conceptual weaknesses or limitations of the LFA. In the following these risks in the application and conceptual limitations of the LFA are summarised under three key words 1. “Logic–less frames”: 2. “Lack-frames”: 3. “Lock-frames”:
  66. The LFA can be a “frame to help logical work” but it can’t substitute for that work or, as written in the Danida Manual on the LFA: “LFA is no wonder drug, which can substitute for experience, insight and reflexion”.
  67. REFERENCES  The LogFrame Handbook.A LFA to project Cycle, World Bank, USA.available at : 11332/811332_G3_log-framehandbook.pdf  INTRODUCTION TO LFA: pdf  GUIDE TO DEVELOPING LFA: p/2175972619/2012/07/15/developing-a-logical- framework-guide-cidt-pdf  Log frame approach by SIDA  Wikepedia/org