CONTENTS 1. Introduction.......................................................................................1 2. Stakeholders And Participation ....................................................13 3. Situation And Options Analysis ....................................................25 4.

The Logframe Matrix And Hierarchy Of Objectives.....................32 5. Risk Analysis And Management ...................................................46 6. Performance Assessment .............................................................59 7. Work Plans, Budgets And Terms Of Reference...........................75 8. Proposals, Projects And Programmes .........................................82

Appendix A: Glossary Of Key Logframe Terms................................93 Appendix B: Examples Of Stakeholder Analyses.............................97 Appendix C: Checklists For Reviewing A Logframe ......................110 Appendix D: Examples Of Logframes .............................................113 Appendix E: Strengths And Weaknesses Of The Logframe Approach ......................................................................125 Appendix F: Key References ............................................................130 Appendix G: The Chimbe Case Study .............................................132 Appendix H: Policy Shifts In Development .....................................135 Appendix I: The Elaborated Project Concept Note........................137

1.

INTRODUCTION

The purpose and scope of these notes

These notes are about project planning within the development context. They focus in particular on the logical framework approach which includes an array of principles and processes, tools and techniques, used in development work across all sectors including social development. As such the notes do NOT begin to cover all the necessary aspects of project management (or project cycle management, PCM, as it is often called). Effective management depends on a multitude of factors including and beyond planning; most important are the inter-personal elements such as leadership, communication, facilitation, negotiation, motivation, coaching etc. So this workshop aims to improve your skills as a planner, and it may improve your management capability, but it will not be enough to make you a good manager.

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 budget1. Another definition of a project might be a temporary organisation that is needed to produce a unique and defined outcome or result at a prespecified time using predetermined resources.2 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

EU (2004) Aid Delivery Methods. Volume 1 Project Cycle Management Guidelines available at ec.europa.eu/comm/europeaid/reports/pcm_guidelines_2004_en.pdf 2 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

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 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 timeframes and involving multiple partners. The term is sometimes also used for the development of an element of policy. These notes are 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 2

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.

Aid funding approaches and instruments

The evolving aid effectiveness agenda3 is leading to fundamental changes in the nature of projects and the ways in which they are funded. There is a multitude of ways in which overseas development assistance can be provided. Figure 1.1 illustrates three key approaches (there are many others) in public sector development work; in each, the accountability, structures, systems and procedures of projects are very different. a) Projects With projects, funding is earmarked to a discrete set of activities in order to achieve specific objectives. The project may be a donor project with a project implementation unit using donor systems and procedures (less common these days). Or it may be implemented through another executive agency - a multilateral agency, an NGO or private sector organisation. Or it may fit within a government programme specifically earmarked to a particular project, use government systems and procedures and be reflected in the government budget. b) Programme Aid Programme aid is channelled directly to a partner government; it uses their systems and procedures but is not earmarked to specific projects. Some forms of programme aid include: i. Budget support Funding given to a government programme and budgetary framework. The aid may be general to the central exchequer in support of the national development programme (often the poverty reduction plan) with no earmarking to specific expenditures. Or the aid may be sector support to a particular sector but, beyond that, not earmarked to specific projects. With general budget support, any conditionality4 will focus on policy measures related to overall budget priorities and systems. With sector budget support, any conditionality will relate to the policies and systems of the earmarked sector.

A key document here is OECD (2005) Paris Declaration on Aid Effectiveness www.oecd.org/dataoecd/11/41/34428351.pdf with key commitments in the five areas of Ownership, Alignment, Harmonisation, Managing for Results, and Mutual Accountability. 4 A condition is an action, circumstance or situation which is required for committed aid to be disbursed. If the condition is not fulfilled it will generally lead to aid being interrupted or suspended. For more on conditionality see DFID (2005) Partnerships for Poverty Reduction: rethinking conditionality www.dfid.gov.uk/pubs/files/conditionality.pdf. Also DFID (2006) Draft How To Note: Implementing DFIDs Conditionality Policy www.dfid.gov.uk/pubs/files/draftimplementing-conditionality.pdf

Figure 1.1 Some examples of funding mechanisms in public sector development work
Funding Mechanism Description
Donors fund separate standalone projects probably with a Project Implementation Unit using its own procedures and systems.

Projects
Central exchequer

Ministry of Environment and Forestry

AUS AID

EC

GTZ

Etc

Forestry sector expenditure

Stand alone projects

A form of sector wide approach (SWAp)

Central exchequer

Ministry of Environment and Forestry

Sector support from some donors

e.g. EC

e.g. SDC

e.g. GTZ

Forestry Sector Expenditure

Project in a SWAp

Stand alone projects

Forestry Sector Plan

A form of Sector Wide Approach (SWAp) is in place with a comprehensive forestry sector plan and expenditure programme. Some donors are providing sector-level budget support and agreeing to use government systems and procedures. One donor, in this example the EC, is supporting the sector plan but is earmarking its funding to a specific government-managed project that is mainly using government systems and procedures. Two donors are providing support through standalone projects. A form of General Budget Support is in place with some donors providing non-earmarked funding to the central treasury. The treasury is allocating funding (now untraceable as to whether it is from in-country or donor sources) to the forestry sector plan. Other donors are providing project support as above.

A form of general budget support

Central exchequer
General budget support from some donors

Ministry of Environment and Forestry

e.g. EC

e.g. SDC

e.g. GTZ

Forestry Sector Expenditure

Project in a SWAp

Stand alone projects

Forestry Sector Plan

ii.

Sector Wide Approaches (SWAps) A SWAp is a form of financing that supports a single sector policy and expenditure programme with government coordination, harmonised partners and partial or full use of government systems and procedures. The financing typically includes sector budget support, technical assistance and project aid.

In terms of democratic accountability, the evolving aid approaches acknowledge that the primary concern is not accountability by the developing country to the donor. See Figure 1.1 Figure 1.2 Changes in Accountability5

Traditional Accountability for Development

Donor agency Project agency

New Accountability for Development

External Partners BS or SWAP Programme or Project Developing Country Government Citizens / Service Consumers

Developing Country Government

Citizens / Service Consumers

Donor Government / Taxpayers

Donor Government / Taxpayers

When are projects appropriate?

Projects may remain appropriate in a range of circumstances including:6 Where projects can play a complementary role to other instruments such SWAps and budget support (e.g. many SWAps include projects) In short-term humanitarian assistance, e.g. emergency and post-crisis, where partner governments do not have the capacity to meet needs, where governments have requested project assistance or where effective government does not exist What is fiduciary risk? Where the fiduciary .the risk that funds: risks7 (see box) are are not properly accounted for unacceptably high are not used for the intended purposes Where there is no clear do not represent value for money. national and/or sectoral development strategy These risks can apply to all forms of financial aid. And they can apply to all partner If a partner government government funds not just funds provided by does not need budget donors. support or sector approaches and asks for project support

Schacter, M 2001. Sector Wide Approaches, Accountability and CIDA: Issues and Recommendations Institute on Governance. www.schacterconsulting.com/publications.html 6 Adapted from EU (2004) op cit 7 DFID (2004) Managing Fiduciary Risk When Providing Poverty Reduction Budget Support: Briefing www.dfid.gov.uk/aboutdfid/organisation/pfma/pfma-fiduciary-briefing.pdf

Providing technical assistance to build capacity Work with non-public partners; with NGOs, and private sector groups Doing the risky and innovative; for lesson learning, running pilots, doing research Projects can be important for building relationships.

Results Based Management

In the last decade the international development system has agreed as never before on a common set of results, the Millennium Development Goals, to which they are working and against which their collective performance can be judged. Much emphasis has been given in recent years (and the Paris Declaration8 adds weight to this) to the need to get away from a focus on inputs and activities, and to replace it with a focus on results through results based management systems. But what is meant by the terms results and results based management ? What are results? Results as changes in a state or condition which derive from a cause-and-effect relationship changes set in motion by a development intervention its output, outcome and impact. 9 This interprets it as a broad generic term (as opposed, for example to the EC which restricts results to outputs, the deliverables from the completion of a development intervention). (See the glossary in Appendix A for further definitions). What is Results-based Management (RBM)? Results-based management is A management strategy by which an organisation ensures that its processes, products and services contribute to the achievement of desired results (outputs, outcomes and impacts).10 RBM is not the same as performance management. RBM focuses just on results, whereas performance management also includes measures of process and efficiency.11 Central to RBM are the notions of causality and attribution. Changes are usually shown in the form of a results chain or results framework; for example, activities to outputs to outcome to impact. Results should represent attributable change resulting from a cause and effect relationship. There should be a strong credible linkage between the specific outcome achieved by a project
A key document here is OECD (2005) Paris Declaration on Aid Effectiveness www.oecd.org/dataoecd/11/41/34428351.pdf with key commitments in the five areas of Ownership, Alignment, Harmonisation, Managing for Results, and Mutual Accountability. 9 Glossary of key terms in evaluation and results based management. OECD DAC (2002) available at www.oecd.org/dataoecd/29/21/2754804.pdf. 10 OECD DAC (2002) op cit 11 Flint M (2003). Easier said than done: A review of Results-Based Management in Multilateral Development Institutions. Available at www.parcinfo.org/documents/Results Based Management/Review of RBM in Multilateral Development Institutions - 2003.doc
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or agency and the resources used, activities done and outputs delivered. If no attribution is possible, it is not a result.12 Figure 1.3 The Results Chain13

Impact

u es

lt s
Outcomes

Hope to see Long-term improvements in society

Outputs

l mp

e em

on a ti t n
Activities

Want to see Immediate effects on clients

Expect to see The end products or deliverables of the activities; within team control Actions undertaken to transform inputs into outputs

Inputs
Financial human and material resources

A number of tools or logic models have been developed for summarising relevant results information related to development assistance programme or project. The model usually takes the form of a matrix or framework, a logical framework, or logframe. Many variants of the logframe have emerged over the years; much of the rest of these notes is about the logical framework approach, the most widely used approach in the development field. Key Principles of Results Based Management a. Management for results, not by results Managing for results looks forward, focusing on what needs to be achieved using information on progress intelligently to assess what can be done to achieve the results. Managing by results looks backwards, rewards past performance without necessarily analysing factors underlying performance. b. Keep the results reporting system as simple, cost-effective and user-friendly as possible So systems need as much as possible: to be harmonised to minimise transaction costs and facilitate comparative analysis; to rely on country systems supporting capacity building; to promote learning as well as accountability.
12 13

Flint M op cit Adapted from EU (2004) op cit

c. At all stages focus on results Do not focus on inputs and activities; not even on outputs except where they are a necessary routemap to outcomes and impact. d. Align programming, monitoring and evaluation with agreed expected results Programming must directly support higher objectives, typically defined in national or sector development plans and/ or institutional mandates and strategic plans.

Introducing the Project Cycle

Projects have a natural cycle of development. Figure 1.4 gives a typical project cycle. The cycle begins with identification where an initial focus of a project is decided that includes geographical location, technical focus (eg. forestry; health care; education; environment; social development; infrastructure), and intended beneficiaries. Identification is of course not happening in a vacuum; it is taking place within a policy environment set by government, by partner organisations and your own organisations overall objectives, usually with clear alignment with national plans and priorities often in the form of a national sustainable development plan or poverty reduction strategy paper. Many processes will have happened prior to identification and the products of those processes will include key secondary data that inform this stage. Figure 1.5 Data and processes available to inform project identification and planning

Looking back - data at hand?

Participatory Poverty Assessment Common Country Assessment Comprehensive Development Framework Public Expenditure Review Medium Term Expenditure Framework Other donors country plans
Change Forecast Donor Country Assistance Plan

Poverty Reduction Strategy Plan Force field analysis

UN Development Assistance Framework Lessons from previous initiatives

Related papers

Joint Sector Reviews and Appraisals

Scoping Missions Environmental screening

Project Concept Note

At this stage a limited amount of resources are devoted to the preparation of a project concept note, which is usually a document of about 2-4 pages that outlines the purpose of the project, the beneficiaries, the likely costs and some consideration of the risks.

Figure 1.4 A typical Project Cycle with associated tools / actions

External macro issues National Development Plan / Poverty Reduction Strategy Millennium Dev Goals Commitments Partnerships Internal macro issues Strategic Objectives Policy and Resources Obligations Requests

IDENTIFICATION
Evaluation Studies Pre-Appraisal Project Concept Notes

EVALUATION

CLEARANCE
Stakeholder Analysis Problem Analysis Risk Analysis Logical Framework

POST COMPLETION

Completion Reports

The logical framework approach

DESIGN

Work Plans/ Budgets Terms of Reference Project Submission Format

COMPLETION
APPROVAL
Purpose Reviews

INCEPTION

IMPLEMENTATION

Participatory Management Monitoring Reporting

The concept note is used to secure permission to spend more significant resources to work up a detailed project proposal. This agreement is indicated by the term clearance (though different organisations may use different terms). A team is identified (usually multidisciplinary) who are to undertake a thorough analysis and preparation of a project memorandum, proposal or submission document. This team will undertake a variety of appraisals as appropriate to the context, for example Institutional Analysis, Economic and Financial Analysis, Social and Stakeholder Analyses, Problem Analysis, Risk Analysis and Environmental Analysis.

The results of the analyses will inform the next phase in the project cycle, which is termed design. During this phase a project document is prepared based upon the earlier analyses, which is often summarised in some form of design and monitoring framework, a logical framework or logframe. The team should show an openness of mind that allows the focus of the project to change from that outlined in the concept note, where the situational analysis indicates that this is necessary. Figure 1.6 Further data and processes needed to inform planning

Project Concept Note Participatory learning and action field work Livelihoods analysis Strengths, weaknesses, opportunities, threats

And now?
Stakeholder analysis Stakeholder workshops & meetings Technical appraisal

Impact analysis Institutional appraisal

What data and processes are needed now to analyse the Poverty Social situation?

Gender appraisal

Environmental appraisal Problem analysis

Economic appraisal

Force field analysis Fiduciary Risk Assessment

Objectives analysis

Alternatives analysis Risk analysis

Logframe analysis

Project Submission

This project document is then subject to approval by the relevant funding agency or internal officer with delegated authority, which is its agreement to resource the project. This is followed by the identification of the agency that will manage and conduct the work (often through a process of open tender), which leads to implementation. This is usually based upon work plans, detailed budgets and terms of reference for those involved, worked up as part of the bid and often refined during an inception phase. The process of implementation is managed by frequent monitoring of progress against indicators, and periodic reviews. Regular reports are produced to communicate progress to stakeholders and these usually use a format that is linked back to the logical framework. Completion represents the end of activities to promote the project objectives and is marked by a report that comments on the achievement of the purpose of the project, and its impact. It also signals the onset of terminal evaluation of both the achievements and the process. An outcome of these last two phases may be the modification of the policy and programme environment that will in turn lead to the identification of new initiatives. 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
10

activities, indicators of success, appreciation of risks and the focus of achievements and feeding into future policy, strategy and project identification.

The Logical Framework Approach (LFA)

We have seen that there is a vital need to get away from a focus on inputs and activities, and to replace it with a focus on results. Results-based management systems have been developed over the last few decades to address this need; and within the development field, the logical framework (logframe) approach (LFA) has become a key element in this. The LFA has become very widely employed and highly 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. The LFA is a process and tool (more accurately a basket of tools) for use throughout the project and programme cycle14 to help strengthen analysis and design during formulation, implementation, evaluation and audit. It involves identifying strategic elements (activities, outputs, outcome 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. Distinction needs to made 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 in some contexts. The process of developing a logframe for a project includes the development with key partners of thorough and clear plans. 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 LFA of course has its opponents as well as proponents. A paper discussing the strengths and weaknesses of the approach is included in Appendix D. In the meantime, reserve judgement, work through the process and, at the same time, reflect on its effectiveness and limitations.

14

The LFA can be applied at different levels with small projects, a higher-level programme or indeed a whole organisation.

11

The logframe approach divides into two phases of analysis and design: Figure 1.7 The Logical Framework 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

Put it another way, the logical framework process helps guide the planning of a journey from where we are now, HERE, to where we want to go, THERE. It asks 7 core questions. These notes will take you through this process. Figure 1.8 The Key Questions; steps in the project planning process

HERE

1 - Who are we?

Who has an interest? Who should be involved?

2 - Where are we now?

What are the problems? What 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 weve got there?

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

THERE

7 What do we need to get there?

What detailed activities and resources are needed?

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2.

STAKEHOLDERS AND PARTICIPATION15

Stakeholders
Stakeholders are: people affected by the impact of an activity people who can influence the impact. Stakeholders can be individuals, or groups, a community or an institution. They will include: 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. Some Stakeholders could belong to both user groups and interest groups. Another way of thinking about Stakeholders is to divide them into two main groups: primary stakeholders are generally vulnerable. They relate to the Millennium Development Goals. They are the reason why the development assistance is being planned. They are those who benefit from or are adversely affected by an activity such as a development initiative. This term describes people who may be wholly dependent on a resource or service or area (e.g. a forest) for their wellbeing. Usually they live in or very near the resources in question. They often have few options when faced with change so they have difficulty adapting secondary stakeholders 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.

15

Adapted from DFID (1998) Stakeholder Participation and Analysis

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Stakeholder groups share a common interest: the local government department, the project management, the clergy, the consultancy company, the villagers the 'community'. But such groups are often highly varied containing many sub-groups. So grouping villagers or the community together in one group may be meaningless; some people in a community may have totally different interests from others in the same community, according to status, age, gender, wealth, ethnicity etc. Similarly the Government may include sub-groups with completely different interests; for example ministries of finance, water, energy, forests, agriculture and rural development may have very conflicting opinions about a development proposal. Remember, it is far less important to correctly classify people than to include them in your collective thinking.

Stakeholder participation
Participation means different things to different people in different situations. For example, someone may be said to participate by: attending a meeting even though they do not say anything being actively involved in building a clinic by supplying sand and their labour providing information and opinions in a survey being responsible for achieving objectives in the implementation or management of a initiative controlling the design of an initiative.

A spectrum of stakeholder participation

Participation can sometimes involve local people taking part in other peoples initiatives; outsiders set the agenda and control the process with locals being manipulated. Real participation we said involves primary stakeholders playing an active role in decision making. Obtaining primary stakeholder participation requires conscious and informed effort when designing and implementing a initiative; it wont work simply by wishing it. See the separate diagram of Levels of Participation. Participation is essential in development work. But in practice it is a concept that has been misused; much that has been called participation has in fact not actively involved stakeholders (especially primary stakeholders) in decisionmaking and its consequent activities.

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Why stakeholder participation is important.

Stakeholder participation is likely to result in: improved effectiveness. There is 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 initiative 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. 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. So participation is likely to have many benefits. But it is not a guarantee of success. Achieving participation is not easy. There will conflicting interests that come to the surface; managing conflict can be difficult. 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.

Stakeholder analysis
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 helps 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 initiative improve the initiatives sensitivity to perceived needs of those affected

15

 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 recognise the roles of women as well as men stimulate participation in the development process disaggregate groups in our thinking Stakeholder analysis needs to be done when possible initiatives are identified. But it needs to be repeated also at later stages of the project cycle to assess whether the original situation has changed and whether the involvement of groups is being adequately addressed. It needs to be done with a variety of stakeholders to explore perceptions and verify them by cross-reference. An example showing how to do a stakeholder analysis is given on the separate handout (see code.).

Risks and pitfalls of Stakeholder Analysis

Stakeholder Analysis can go wrong. Just because you use this tool does not mean you are guaranteed success: the jargon can be threatening to many the analysis is only as good as the information collected and used; GIGO garbage in garbage out matrices can oversimplify complex situations judgement in placing stakeholders in a matrix or table is mainly subjective; several opinions from different sources are needed to give confirmation team working can be damaged if differences rather than common ground are over-emphasised trying to describe winners and losers and to predict hidden conflicts and interests can alienate powerful groups.

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Figure 2.1 Levels of Participation

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Carrying out a Stakeholder Analysis

There are many, many different tools to help us to analyse stakeholders. Which ones you use depends on the questions that need to be addressed. Here we will look at three commonly used tools which in one form or another can be used in every context. There are many other stakeholder analysis tools; see the references in Appendix E for some suggestions. a) The Stakeholder Table (Figures 2.2 and 2.5) i. 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, Non-timber product or the Youth Service ii. Distinguish Primary from Secondary stakeholders. iii. Identify, as thoroughly as possible, each stakeholders interests (hidden or open) in relation to the potential project. Note some stakeholder may have several interests. (See Figure 2.5). iv. 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 ?). Figure 2.2 Stakeholder Table
In t e r e s t s a n d e x p e c ta t io n s P r im a r y s t a k e h o ld e r s L ik e ly im p a c t

S e c o n d a r y s ta k e h o ld e r s

b) The Influence and Importance Matrix (Figures 2.3 and 2.6) i. Assess the Influence and Importance of Stakeholders. Key stakeholders can influence or are important to the success of a project. influence is the power which stakeholders have over the project. How much can stakeholders (whether individual, group or organisation) persuade or coerce others into making decisions or doing things?

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importance is the priority given by the project to satisfying the needs and interest of each stakeholder.

ii. Combine influence and importance on a matrix. Position stakeholders in relative terms by using the matrix. It can help doing this a team exercise. Figure 2.3 Influence / Importance Matrix
High Importance
A B

Low Importance Low Influence High Influence

Quadrants A, B and C are the key stakeholders of the project - those who can significantly influence the project or are most important if project objectives are to be met. Quadrant A Stakeholders of high importance to the project, but with low influence. They require special initiatives if their interests are to be protected. Quadrant B Stakeholders of high importance to the project, but who are also of high importance for its success. Project managers and donors will need to construct good working relationships with these stakeholders to ensure an effective coalition of support for the project. Quadrant C Stakeholders with high influence, who can therefore affect the project outcomes, but whose interests are not the target of the project. These stakeholders may be a source of risk; relationships will be important and will need careful monitoring. These stakeholders may be able to block the project, and if this is probable, the risk may constitute a killer assumption, i.e. one that means it is too risky to go ahead with the project at all. Quadrant D Stakeholders in this box are of low priority but may need limited monitoring and evaluation. They are unlikely to be the subject of project activities and management.

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c) The Summary Participation Matrix (Figures 2.4 and 2.7) i. Decide which stakeholder groups should participate at what level and when during the project cycle. Remember you cannot work with all groups all of the time. Complete participation can lead to complete inertia! Figure 2.4 Summary Participation Matrix
T yp e o f p articip atio n In fo rm C o n su lt P artn ersh ip C o n tro l

S tag e in p ro je ct

Id en tificatio n P lan n in g Im p lem e n tin g & M o n ito rin g E valu atio n

A note on the Participatory Forest Management (PFM) case study Figures 2.5, 2.6 and 2.7 give an example of a Stakeholder Analysis. Throughout these notes we have used one case study to illustrate the stages in the logframe approach. This will help you to see how the tools link together. The Participatory Forest Management (PFM) case study is based on a typical project in Central Africa. 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 Nkonia and the province Chimbe. The PFM project involves the Government of Nkonia working with donor support to develop innovative and sustainable mechanisms by which forest resources can be managed and the livelihoods of poor forestdependent communities sustained and improved. Collaborative institutions include community based organisations, local councils and landing site committees, sub-county and district local governments and national level agencies.

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Figure 2.5 Example of an initial Stakeholder Table for the Participatory Forest Management project
Stakeholders Primary stakeholders 1 Landless farmers living inside forest reserve Interests Improved livelihoods through increased access to forest resources and income generating opportunities; arable land; cultural value of the forest Improved livelihoods; access to construction materials fuelwood; bush meat; cultural value of the forest Access to raw materials; market outlets for mats, baskets, rope, fruit Access to raw materials; market outlets Water extraction rights for irrigation; available casual labour Regular supplies of forest materials; charcoal, poles, bamboo, artefacts Access to commercial timber in forest reserve; weak governance Access to budget and capacity building; support in decentralised planning Long-term job prospects; Opportunities for skills development Delivery on objectives; extra revenue, resources and support Concerns about devolved power and budget commitments but Opportunity to address inter-district forest management issues Addressing current community disregard for regulations Biodiversity conservation; revenue; new opportunities for ecotourism Achievement of project objectives; better use of existing infrastructure and resources; better trained staff; control of habitat degradation Improved resourcing; training opportunities for staff Achievement of decentralisation objectives Capacity building; brokering stakeholder cooperation; income Achievement of objectives; disbursement of funds Impact (+,-, ?) +

Farmers living adjacent to the forest reserve

Women non-timber product users 4 Charcoal producers Secondary stakeholders 5 Commercial tobacco farmers 6 7 8 9 10 11 Traders dealing in forest products Commercial timber logging companies Parish Development Committees (PDCs) Assistant Forest Officers (AFOs) District and sub-county Chief Admin Officers (CAOs) District Forest Officers (DFOs)

+ +/+/+ +/? + -/? ? + ?/+ + +

12

Provincial and National Wildlife Authority

13

Department of Forestry (within Ministry of Natural Resources and Environmental Affairs) College of Forestry & Wildlife Ministry of Local Government (MoLG) Technical assistance contractor to project Donor

14 15 16 17

+ +/? + +

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Figure 2.6 Influence / Importance Matrix for the PFM project

HIGH IMPORTANCE/LOW INFLUENCE HIGH IMPORTANCE/INFLUENCE

1 2 3 13 15 8 4 5 12 17 9 16 10 11

14

LOW IMPORTANCE/INFLUENCE

LOW IMPORTANCE/HIGH INFLUENCE

STAKEHOLDERS 1. Landless farmers living inside forest reserve 2. Farmers living adjacent to the forest reserve 3. Women non-timber product users 4. Charcoal producers 5. Commercial tobacco farmers 6. Traders dealing in forest products 7. Commercial timber logging companies 8. Parish Development Committees (PDCs) 9. Assistant Forest Officers (AFOs)

10. District and sub-county Chief Admin Officers (CAOs) 11. District Forest Officers (DFOs) 12. Provincial and National Wildlife Authority 13. Department of Forestry (within Ministry of Natural Resources and Environmental Affairs) 14. College of Forestry & Wildlife 15. Ministry of Local Government (MoLG) 16. Technical assistance contractor to project 17. Donor

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Figure 2.7 Initial Summary Participation Matrix for the PFM project
Participation level Project Stage Identification Ministry of Local Government District Forest Officers Planning Media Assistant Forest Officers Parish Development Committees College of Forestry and Wildlife Traders dealing in Forest products Implementing and Monitoring Donor Media National Wildlife Authority Ministry of Local Government Traders dealing in forest products Women NTP users Charcoal producers Commercial tobacco farmers National Wildlife Authority District Chief Admin Officers Donor National & Provincial Wildlife Authority Chief Admin Officers District Forest Officers District and SC Chief Admin Officers District Forest Officers Assistant Forest Officers Provincial Wildlife Authority College of Forestry and Wildlife Evaluation Donor Media College of Forestry and Wildlife TA contractor Others as necessary Project Steering Committee Chief Admin Officers District Forest Officers Poor forest-dependent farmer representatives Ministry of Local Government Donor Department of Forestry and Project Implementation Unit (PIU) within DoF Poor forest-dependent farmer representatives Parish Development Committees TA contractor Poor forest-dependent farmer representatives National & Provincial Wildlife Authority PIU Department of Forestry Project Steering Committee Department of Forestry Department of Forestry (DOF) Inform Consult Partnership Manage/Control

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Stakeholder Analysis for Advocacy

As with any form of stakeholder analysis, it is a snapshot in time. Stakeholders and their interests will change, so the tool needs to be revisited. Used at the start of the process, it will help reveal gaps in knowledge. For some stakeholders, you may not know whether they are, for example, Opponent or Ally; perhaps put them temporarily in an extra box Other. As a result of a deliberate course of action during advocacy work, you may move a stakeholder from one box to another e.g. from being an Opponent to being an Ally. Constituents Allies Who is directly affected by the current injustice? Who cares enough to take part in the cause?
How will they take part in decision-making? What will they gain if they win? What power or influence do they have? Do they want support in advocacy? What are the risks for them? What their motives? What power or influence do they have? What can they contribute to the effort? How will they take part in decisionmaking? What will they gain if they win? What are the risks for them? How can they best be supported and coordinated?

Audience Primary Audience Who has the authority or power to grant you what you want?
What influences the primary and secondary audience? What influence do you or your allies have with them? How best might they be influenced?

Secondary Audience Who has influence over the primary audience? Who are the gatekeepers?

Internal Stakeholders Who currently within your organisation or coalition could help? Who is familiar with the issue? Who has experience of advocacy in other contexts?
What are your motives for wanting to do advocacy? What competence do you have? legitimacy, credibility, accountability, power, passion, skills and knowledge? What are the risks and benefits involved?

Adversaries / Opponents Who wants to stop you? Who has power to stop you?
What are their strengths and weaknesses? What are their resources? What will your victory cost them? What will they do or spend to oppose? Misinformation? Force? Tricks? What risks do they represent to you and your allies? How can their power or influence be reduced?

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3.

SITUATION AND OPTIONS ANALYSIS

We have seen that Stakeholder Analysis is an iterative tool; one that needs regularly to be revisited and updated. The process will help to identify who needs to be involved, how and when in the design phase. With the right stakeholders on board, focus now turns to analysing the situation and prioritising the way forward. Situation and Option analysis is a process and basket of tools central to the design of any initiative. They add to the overall mechanisms for filtering embryonic concepts, gaining a better understanding, building stakeholder ownership, and refining and ultimately rejecting proposals that, for whatever reason, are inappropriate. Figure 3.1 The Filter Process

The filter process

Clearance
Concepts
Appraisal
Stakeholder Analysis Situation & Options Analysis

Design
Risk and Logframe Analysis

Approval

Initiatives implemented

Situation and Option analysis help in: Gaining a better understanding of the context and underlying issues Building stakeholder ownership and consensus Ensuring fit with macro policies and objectives in the PRSP and CAP Identifying and analysing the size and real causes and effects of a problem Establishing and prioritising the options and the way forward Helping establish an effective coalition of implementers.

The process includes a series of steps and a basket of various tools; judge for yourself the best route to fit the context. The sequence given here may not always apply; steps may overlap or be repeated iteratively.

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Step: 1 Review of previous analytical work A first stage is to review the process and output of relevant analytical work that has already happened. See Figure 1.5 for some examples of processes and data to draw on. Step 2: Appraisal activities Previous work is unlikely to tell the full story, or give the participation and ownership needed. Depending on the concept being considered, appraisal activities carried out or commissioned may include (see also Figure 1.6): Research PLA participatory learning and action fieldwork Initial stakeholder meetings or workshops Livelihoods analysis Social and gender appraisals Institutional appraisal Economic and Financial appraisals Technical appraisal Environmental appraisal SWOT analysis - strengths, weaknesses, opportunities and threats

At this point, a common response is a groan at the length of the list (itself by no means comprehensive) and the time involved; at so-called analysis paralysis. The purpose is not to know everything but optimal precision. To carry out all these activities extensively would be time-consuming, expensive, probably pointless, possibly harmful (e.g. by raising expectations inappropriately) and unlikely to result in collective learning by the right stakeholders. Most initiatives, once approved, include an Inception Phase when many of these and other planning activities can happen involving a wider spectrum of stakeholders, building capacity and ownership in the process. At this pre-approval stage, the purpose of appraisal 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. Step 3: Problem analysis Developing a Problem Tree is one way of doing problem analysis. Whichever way is chosen, some key initial questions are:

26

Whose problem is it? Who is involved in the analysis? Whose perception of the problem is being represented?

This is an exercise that usually needs to be repeated with different stakeholder groups; often very different pictures of the situation emerge. Figure 3.2 The Problem Tree

Addressing the effects identifies the indicators

EFFECTS

Focal Problem

Turning the problem into a positive statement gives the purpose or goal for the intervention Addressing the causes of the problem identifies outputs and activities

CAUSES

Start with a blank sheet of flip chart paper, pens and 2x2 post-its (or small card and tape). Two methods: 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 Defining a Problem unidentified. Each issue is recorded on a separate post-it. A problem is not an existing the absence of a Dont stop and think or negative state solution but. question, just scatter the postits on the flipchart. When ideas for issue dry up and stop, Identify and agree the focal problem. It is probably there No pesticides Crops infested with on the flipchart, but may need available pests 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.

27

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 relationships. See the top half of Figure 3.3 for a problem tree for the Participatory Forest Management project. Step 4: Objectives analysis Reformulate the elements of the problem tree into positive desirable conditions. What was the focal problem now becomes a key objective for addressing the problem. (In logframe terms it may be the Goal or Purpose; discussed further later). Below what was the focal problem, are related objectives for addressing the problem. 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. See Figure 3.3. Some facilitators and participants prefer to skip Step 3 the Problem Tree and move directly on to an Objectives or Vision Tree. Instead of looking back, look forward; rather than thinking in terms of negatives and obstacles, think of existing positives and strengths. 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, for example, in a post-conflict context where participants find analysis of the problem painful.16
Visioning belongs to what is sometimes called the Appreciative Enquiry (AE) approach that has its origins in organisational development. It seeks to make change management in whatever context, an affirming exercise exploring and creating possibilities through constructive and collaborative dialogue. It moves away from deficit language into an appreciation of what works well, taking what is as a platform for what might be. It rejects a problem-solving approach of identifying weaknesses, which often fosters a culture of blame, concentrating rather on what works rather than whats wrong. The Sustainable Livelihoods approach is build on appreciative enquiry principles. It starts not with peoples problems but with their multifarious assets; human, social, physical, financial and natural. For more on Visioning see Chapter 4 of DFID (2002) Tools for Development www.dfid.gov.uk/pubs/files/toolsfordevelopment.pdf). Also SIDA (2006) Logical Framework Approach with an appreciative approach www.sida.se/shared/jsp/download.jsp?f=SIDA28355en_LFA_web.pdf&a=23355
16

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Figure 3.3 An example of Problem and Objectives Trees for the PFM project
Conflict within forest dependent communities

Worsening livelihood indices

Declining product status

Low morale amongst forestry staff

A problem tree
Stakeholder indifference
Declining political profile of forestry

Fewer livelihood options for poor and vulnerable

Illegal harvesting

Decline in biodiversity

Little access for the marginalised to forest resources

Unsustainable forest product harvesting practices

Lost opportunities e.g. in tourism

Little revenue from forestry

EFFECTS

Degrading forests resources

Unregulated hunting of fauna

Weak institutional framework

Forestdependent communities feel no ownership

Weak planning and low investment

No fora for wide stakeholder representation

Limited capacity of community and local government

No coherent multi-district plan

National policy not evidencebased

CAUSES
Illegal commercial timber extraction
Weak regulation and enforcement

Forestry and other government staff lack competence

Low priority in planning and budgets

Lack of dialogue between district LGAs

Lack of knowledge on forest status and resource utilisation

Compare the problem and objectives trees to see how they relate together.
Conflict resolution within forest dependent communities

Improving livelihood indices

Improving forest product status

Strong morale amongst forestry staff

An objectives tree
Increasing political profile of forestry

More livelihood options for poor and vulnerable

Legal harvesting

Stable or improving in biodiversity

Stakeholder involvement

Access for the marginalised to forest resources

Sustainable forest product harvesting practices

Opportunities taken e.g. in tourism

Possible INDICATORS

More revenue from forestry

Effective participatory forest management

Regulated hunting of fauna

Effective institutional framework

Forest dependent communities feel ownership

Strengthened capacity of community and local government

Coherent multi-district plan in place

Evidencebased national policy

No illegal commercial timber extraction

Possible OBJECTIVES

Improved planning and investment

Fora for wide stakeholder representation

Competent forestry and other government staff

High priority in planning and budgets

Dialogue between district LGAs

Sound knowledge on forest status and resource utilisation

Active regulation and enforcement

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Step 5: Options analysis The objectives immediately below the Focal Objective of the Objective Tree in effect summarise the Options Figure 3.4 Options Analysis

Use objective criteria to analyse which objectives root to prioritise

Degree of fit with higher plans What are others doing? Experience and comparative advantage? Costs? Who carries them? Benefits to whom? Poverty focus? Risks and assumptions? Who is at risk?

Feasibility? Social criteria Technical Institutional Economic & Financial Environmental

Effective participatory forest management

Regulated hunting of fauna Effective institutional framework Forest dependent communities feel ownership Strengthened capacity of community and local government Competent forestry and other government staff Coherent multi-district plan in place Evidencebased national policy No illegal commercial timber extraction

Improved planning and investment Fora for wide stakeholder representation

High priority in planning and budgets

Dialogue between district LGAs

Sound knowledge on forest status and resource utilisation

Active regulation and enforcement

Agree with participants the criteria for assessing the various options. Key factors here could include17:
17

Degree of fit with PRSP and CAP What other stakeholders are doing The experience and comparative advantage of your organisation, donor and partners What are the expected benefits? To whom? What degree of poverty focus? What is the feasibility and probability of success? Risks and assumptions? Who is carrying the risk? Social criteria costs and benefits, gender issues, socio-cultural constraints; who carries social costs Environmental criteria what 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

Based on Sartorius, R. (Social Impact) in DFID Tools for Development

30

Financial criteria costs, cashflows, financial sustainability, foreign exchange needs.

It can be useful at this or an earlier later stage to repeat Steps 3 and 4. It may be that first time the focal problem was pitched at a high, general level. In which case, try doing another problem tree taking the most likely option; for Increased demand for in farm use. What then happens to options which you decide NOT to address? (In the example in Figure 3.4, it has been decided, for whatever reason, not to focus on unregulated hunting of fauna and illegal commercial timber extraction.) 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. Step 6: Later - Link into the Logframe This step is premature; the reason for showing it here is that the Option Tree links with the first column of the logframe. More on this later. For example: Figure 3.5 Linking with the logframe objectives

Improved livelihoods of poor forest dependent communities

Impact / Goal
Improved livelihoods of poor forest dependent communities

Outcome / Purpose
Effective participatory forest management Effective participatory forest management

Outputs
Evidence based national policies 1. Effective institutional framework 2. Improved capacities 3. PFM plan in place 4. Evidence based national policies

Effective Improved institutional capacities framework

PFM plan in place and operation

Activities

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4.

THE LOGFRAME MATRIX AND HIERARCHY OF OBJECTIVES

Origins and variants of the logframe

The logical framework was developed in the late 1960s; since then its use quickly spread in development work and in private and public organisations. Today it is used by almost all international development organisations; including multilaterals (such as the UN agencies, international financial institutions and European Union), bilateral donors and international and national non-governmental organisations (NGOs). Inevitably many variants have emerged of the tool and how it is used; there is variation within and between agencies in aspects such as: terminology the format of the framework itself the degree of completeness required of a logframe at different stages of the project cycle; concept, approval, inception whether its use is mandatory in the design and approval process and if so: - at what commitment value level - for all or only some aid types (development? humanitarian/ emergency?) - for whom it is mandatory (for agency staff?; for outsiders applying to grants funds? etc) how the framework is used in reporting and whether it is used in performance scoring.

This variation has been the cause of considerable confusion and frustration; and ultimately to disharmony and aid ineffectiveness. There has however been a significant shift in recent years towards harmonisation of approach, format and application. Progress in harmonisation is particularly apparent since the Paris Declaration on Aid Effectiveness in March 2005 as partners seek to fulfil their Paris commitments. An example of this is the OECD/DAC MDBs Joint Venture on Managing for Development Results18. A much more harmonised approach to the use of the logframe and to project design as a whole is emerging.

The basic structure of the logframe

The logframe is in effect a series of 16 questions asked in a logical sequence. Remember that in some contexts it may be entirely appropriate to throw away the matrix itself and simply use the 16 questions to facilitate a stakeholder group through designing a plan. Thus a plan could be developed with an
18

See OECD (2006) Emerging Good Practice in Managing for Development Results. www.mfdr.org/

32

illiterate primary stakeholder group which then subsequently could be captured in narrative and / or logframe form. Figure 4.1 shows the essential logframe structure of 4 columns and 4 rows. Two columns, Columns 1 and 4, cover the main aspects of Project Design; the remaining two columns, Columns 2 and 3, cover Monitoring Review and Evaluation. We shall be examining each column in detail; but for now to introduce in turn: Figure 4.1 The structure of the logframe matrix

PROJECT DESIGN Hierarchy of Objectives

MONITORING, REVIEW & EVALUATION Indicators/ Targets Data Sources

PROJECT DESIGN

Assumptions

Impact/Goal

IMPACT

THE PROJECT

Outcome/ Purpose

OUTCOME

Outputs

PROJECT

Activities

CONTEXT

Sequence: 1st

3rd

4th

2nd

The Columns Column 1 is the Hierarchy of Objectives; sometimes called the Narrative Summary, or the Design Summary Column 4 is the Assumptions the conditions needed to achieve the objectives. Sometimes (and less logically) this is headed Risks; worse Risks and Assumptions are mixed

33

Column 2 is the Indicators / Targets the measures of progress in achieving the objectives. Sometimes this column is called the Objectively Verifiable Indicators or Performance Indicators. Column 3 is the Data Sources that specify where (usually in the form of documents), the data relating to the indicators will be found. Sometimes this is headed Means of Verification or Evidence.

The Sequence The order above is deliberate (columns 1, 4, 2 and 3) for this is the sequence in which the logframe is drafted. The Rows The matrix usually includes 4 rows which relate to the various levels of Objective: Row 1, the Impact or Goal Row 2, the Outcome or Purpose Row 3, the Outputs Row 4, the Activities.

Sometimes you sometimes see a higher row at the top for SuperGoal. Sometimes there is a lower row at the bottom for Inputs. This is best avoided. It over-complicates the logframe. A separate budget itemising inputs and costs will be appended as a separate document. Three parts to the logframe The bottom left corner or quadrant of the logframe captures the Project itself, what the project team will be doing (the Activities), what those activities will deliver (the Outputs) and the measures by which activities and outputs will be judged (the Indicators / Targets at Activity and Output levels). This quadrant, in effect, summarises the Terms of Reference of the Project Team and specifically the Project Manager. This quadrant represents the limits or boundaries of the Project in the sense the Manager has power and management control over everything inside it. The top left quadrant summarises the benefits, the beneficial change that the project is seeking to bring about. The immediate change is the Outcome, the wider, long-term change is the Impact. Both the project and the benefits of the project are happening within a context, an external environment (financial, political, institutional, natural, social, cultural etc.) which can affect success or failure. These issues are summarised in the right half of the logframe.

34

It is a key principle of the logframe that Outputs are deliverable; and Outcome and Impact are not.

A summary of the logframe process

Figure 4.2 summarises the process of drafting a logical framework. This will be a key document for project planning. Refer to this summary as you work through the various steps in drafting a logframe matrix.

Linking analysis with hypothesis in the hierarchy of objectives

We start with the Hierarchy of Objectives. In the previous chapter we examined Situation Analysis, Objectives Analysis and Options Analysis. A typical sequence of tools would be to analyse a problem using a Problem Tree (see Figure 3.3); this in turn can inform the drafting of an Objectives Tree (also Figure 3.3), presenting a series of possible solutions to address the original problem. Possible solutions then need to be interrogated or prioritised using objective criteria in the process called Options Analysis (see Figure 3.4). This results in the identification of prioritised draft objectives which need to developed further in design. In effect these draft objectives now inform Column 1 of the logframe; refer to Figure 3.5. As was emphasised previously, it does not always work as neatly as this! But the sequence of tool documents will provide clear ideas for what now needs to go into Column 1 and at what level. The Hierarchy of Objectives is a results-chain (see Figure 1.3) that depends on a hypothesis, a prediction about a cause and effect relationship involving uncertainty. Thus: If I get up at 7am Then I will get to the 9am meeting on time

But in making this hypothesis I am making assumptions: that the bus will be on time, that there isnt unusual traffic congestion etc.

35

Figure 4.2: Summary of the Logical Framework process

Prior Steps Use appropriate and
proportionate processes before starting on the logframe itself e.g stakeholder, problem, objectives and options analyses.
Objectives Indicators/ targets Data Sources Assumptions

Step 7 Re-check the design logic e.g if the

conditions are in place and we do the activities, will we deliver the Outputs? And so on up columns 1 and 4. Move on to Step 8 overleaf.

Step 1 Define the Goal / Impact

What is the wider sector or programme impact you want to contribute to? What overall need or problem are you trying to address? The goal does not change. It is affected by other factors outside the project. A group of projects may share a common goal.

Goal / Impact

Overall goal hypothesis

Step 6e
What conditions are needed to sustain benefits at Impact / Goal level?

Do a robust risk analysis.

At each level, identify risks by asking what can stop success. For each risk, evaluate its seriousness and probability; and identify mitigatory measures. Manage the risks by adding mitigatory measures planned within the project to Column 1 (mainly as Activities, possibly as an Output). The conditions that remain are the Assumptions in Column 4. Avoid mixing Assumptions and Risks.

Step 2 Define the Purpose / Outcome

What is the rationale for what is planned? What outcome do you hope to achieve? How will development conditions improve on completion of the Outputs? The purpose often relates to how outputs will be used or implemented? Limit the Purpose / Outcome to one succinct statement.

Purpose / Outcome

Purpose assumptions

Step 6d
With the Outcome achieved, what conditions are needed to contribute to the Impact / Goal?

Step 3 Define the Outputs

What will be the measurable end results of the planned activities? What results will the project be directly responsible for? Given the necessary resources, the project team will be directly accountable for the outputs.

Outputs

Output assumptions

Step 6c
With the Outputs delivered, what conditions are needed to achieve the Purpose / Outcome?

Step 4 Define the Activities

What will actually be done to achieve the outputs? This is a summary presentation showing what needs to be done to accomplish each output.

Activities

Activity assumptions

Step 6b
With the Activities completed, what conditions are needed to deliver the Outputs?

Step 5 Check the vertical logic

Use the If/then test to check cause and effect. If the given activities are carried out, will the stated output result? And so on up Column 1.

Critical conditions

Step 6a
What conditions need to hold for Activities to be done?

Step 6 Define the assumptions at each level

Do a robust risk analysis to determine the Assumptions in the project design.

36

Figure 4.2 continued

Step 8 Define the Performance Indicators and Data Sources / Evidence
Complete both columns together Indicators are means; Targets are ends. Start by defining Indicators; only set Targets when there is enough baseline data and stakeholder ownership. Set Indicators and Targets in terms of Quality, Quantity and Time. Evidence is usually in the form of documents, outputs from data collection. Some reliable sources may already be available. Include data collection planned and resourced in the project as Activities in Column 1.

Objectives

Indicators / Targets

Data Sources

Assumptions

Goal/ Impact

Step 8a Impact indicators / targets

What will indicate the impact changes that are happening / will happen to which the project has contributed? Include changes that will happen during the lifetime of the project, even if only early signs.

Step 8a Impact data sources

What evidence will be used to report on Impact changes? Who will collect it and when?

Purpose/ Outcome

Step 8b Outcome indicators / targets

At the end of the project, what will indicate whether the Purpose/Outcome has been achieved? This is the key box when the project is evaluated on completion.

Step 8b Outcome data sources

What evidence will be used to report on Outcome changes? Who will collect it and when?

Outputs

Step 8c Output indicators / targets

What will indicate whether the Outputs have been delivered? What will show whether completed Outputs are beginning to achieve the Outcome? These indicators / targets define the terms of reference for the project.

Step 8c Output data sources

What evidence will be used to report on Output delivery? Who will collect it and when?

Activities

Step 8d Activity indicators / targets

What will indicate whether the activities have been successful? What milestones could show whether successful Activities are delivering the Outputs? A summary of the project inputs and budget will also be one(but not the only) entry here?

Step 8d Activity data sources

What evidence will be used to report on the completion of Activities? Who will collect it and when? A summary of the project accounts will be 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 37

Drafting the hierarchy of objectives

Figure 4.3 The Hierarchy of Objectives Objectives Impact / Goal: The higher mid-to long-term beneficial change to which the project contributes The Greater Why? Outcome / Purpose: The specific and immediate beneficial change the project will achieve 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? Indicators / targets Data Sources Assumptions

Step 1 - Define the Impact or Goal

Goal is synonymous with positive Impact; you see either term used in logframes. The Goal is the higher order Figure 4.4 Asking the right objective, the longer term development objective or beneficial change that the project will contribute to. Use Greater W HY Im pact/Goal only one Impact / Goal statement. Some progress towards the Goal W HY Purpose/Outcom e should be measurable during the lifetime of the project. The Goal defines the overall big picture need or problem being W HAT W HAT W HAT Outputs addressed; it expresses the justification, the Greater WHY, of what is HOW HOW HOW HOW HOW planned. E.g. Improved Activities livelihoods of forest dependent people.

38

Step 2 - Define the Outcome or Purpose Purpose is more or less synonymous with Outcome except you can have a positive or negative outcome; a purpose can only be positive. The Purpose or Outcome is the immediate change in development conditions on completion of the Outputs; typically it describes the change of behaviour resulting from the uptake or use or implementation by others outside the project team (often the beneficiaries) of the Outputs. The Purpose (together with its associated indicators) describes the specific and immediate outcome of the project. The Purpose is 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. The integrated management of Chimbes forest resources. Have only one succinct Outcome / Purpose. If you think you have more, then you may need more than one logframe; or your multiple purposes are in fact outcome indicators of a single purpose as yet unphrased; or they are lower order outputs. The Outcome or Purpose should not be entirely deliverable, i.e. fully within the project managers 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 projects Outputs; hence it cannot be fully within managerial control. You can take a horse to water, but you cant 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 Outcome / 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. Dont have the Purpose unrealistically remote from the Outputs; conversely, dont set them so close when, in reality, more could be achieved. The Purpose / Outcome is not simply a reformulation of the Outputs. 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 Purpose 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 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, 39

Awareness. E.g. a). Effective institutional framework; b). Capacities in local government and communities improved; c) Integrated forest management plan in place and operation etc. This is discussed further in Table 4.1. 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 Outcome/Purpose will be achieved If the purpose is achieved then this will contribute to the Impact/Goal.

Figure 4.5 Checking the IF-THEN

IM P A C T / G O A L

Then
If

C ontribute

O U T C O M E

Then
If

A chieve
O U T P U T S

D eliver Then The IF/THEN logic can be further tested by applying whats sometimes called the Necessary A C T IV IT IE S If 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.

A simple example: Building a playground swing

Figure 4.6 gives the first column for a project to build a playground swing. The overall Goal is an Integrated community with happy kids and adults. To contribute to this Goal the project aims to achieve Kids having fun being busy and safe.

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In order to achieve this the project team will take direct responsibility for Building the capacity within the community to manage the building and maintenance of the swing and the building of A safe, well-built swing. To deliver these outputs, 2 sets of cross-referenced activities are planned.

Figure 4.6 Hierarchy of Objectives for Building a playground swing

Objectives Goal/Impact Integrated community with happy kids and adults Purpose/Outcome Kids have fun, are busy and safe Outputs 1. Capacity within community to manage the building and longterm maintenance of the swing 2. A safe, well-built swing Activities 1.1 Establish community committee and undertake lobbying required 1.2 Set budget 1.3 Raise funds 1.4 Set up systems for maintenance 2.1 Consult kids 2.2 Design it 2.3 Get planning permission 2.4 Commission builder 2.5 Build it 2.6 Test it 2.7 Safety inspection on completion 2.8 Carry out user survey and participatory evaluation with the kids Contribute

Achieve

Deliver

Note the language: Outputs are delivered; the team has control and responsibility over Activities and Outputs The Purpose / Outcome is achieved; the team does not have managerial control at this level but the designers are responsible for there being a strong casual link between Output and Purpose/Outcome levels. The project contributes to the Goal/Impact; the objective at this level may be shared with other projects and programmes. Note also the boundary of the project between Output and Purpose/Outcome levels. Remember the proverb You can take a horse to water but you cant force it to drink. In logframe terms a project may providing water facilities for a horse as an Output within project managers control. But whether or not the horse drinks is

41

outside the managers control; there is the assumption that if water is provided the horse will drink; the causal link is strong. Likewise with the process Output (#1. The Capacity) and the product Output (#2. The Swing) are within the managers control; the children using the swing (the Purpose/Outcome) is not. The logic of the design relies on the causal link between the two levels.

A second example; Participatory Forest Management in Chimbe

Study Figure 4.7 which is for the same Participatory Forest Management case study started in Chapter 2. Note how this interlinks with the Problem and Objective Trees (Figure 3.3) and Options Analysis (Figs 3.4 & 3.5). Figure 4.7 Hierarchy of Objectives for Participatory Forest Management
Objectives Impact / Goal: The livelihoods of poor forest dependent communities sustained and improved Outcome / Purpose: Effective participatory management of forest resources in Chimbe Province Outputs: 1. Effective national and district institutional and operational framework for PFM established. 2. Capacities of communities and government improved to participate in participatory forest planning and management. 3. Provincial participatory forest management plan developed and agreed by stakeholders at all levels and in operation. 4. Evidence based national and district policies. Activities: 1.1 Collect baseline data. 1.2 Awareness raising. 1.3 Establish Institutional Development Working Group. 1.4 Establish partnerships with existing institutions. 1.5 Review current policies. 1.6 Review funding mechanisms. 1.7 Identify service providers. 2.1 Carry out Training Needs Assessment. 2.2 Develop and implement a training programme for key stakeholders 3.1 Develop community action plans. 3.2 Develop criteria for PFM support. 3.3 Develop overall PFM plan. 3.4 Implement following agreed plan and process 4.1 Establish joint data taskforce and Strategy. 4.2 Conduct baseline studies

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Key points in drafting the objectives

Logframes often show weaknesses in the first column design. Some key points: i. Start at the top, not at the bottom Begin with the big picture at Goal / Impact level, NOT at Activity level. Starting with Activities will lead to stale thinking, to business as usual, continuing what has always been done. Start with the Impact / Goal.

ii. Express objectives in general terms Do not at this stage make objectives SMART (Specific, Measurable, Achievable, Relevant, Time-bound). Leave the specifics to the indicators; in effect at a later stage, Column 2 will make Column 1 SMART. iii. Each objective should be at one level and one level only Remember to avoid phrases like: in order to; through; so that; to; by etc. As you will recognise, these contaminate your objective; in effect you are adding a supplementary objective (or indicator); you are putting 2 levels into one box. Dont discard your ideas, but see if there is a place for them as objectives or indicators up or down the hierarchy. Contamination of Objectives This is particularly a problem at Purpose / Outcome level. For example,: Assets of rural communities enhanced through more equitable, efficient and sustainable use of forest resources. The sentence includes two objectives at different levels linked by the word through. It includes both means (more equitable, efficient and sustainable use of forest resources) and ends (assets of rural communities enhanced). In this example the former may be a possible Purpose/Outcome, the latter a possible Goal/Impact. iv. Remember to limit the Purpose / Outcome to one succinct statement. v. Express results (outputs, outcomes and impact) in Change language rather than Action language19 Use Change rather than Action language Action language expresses from the providers perspective: e.g. To promote child survival, physical and psychological development Change ge language describes changes in the development conditions: e.g. Young children are alive, healthy, well nourished and active learners.

Adapted from UNICEF (2005) Understanding Results-based Programme Planning and Management

19

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vi. Ensure that the gap in logic of cause and effect between the levels of your objectives is not too great (or small!) a leap of faith. This is most important between Output and Purpose/Outcome levels. Remember this gap represents your ambition, the difference between what you are planning to put in place and the benefit that will result. vii. Make sure that whoever owns the logframe has the sovereignty to deliver the Outputs. For example laws are the prerogative of government; strategy of the management board. The Outputs should not be outside the owners control. Similarly the Purpose / Outcome should not be within the owners control; if it is, then its an Output. viii. Make sure that your Outputs really sound like the things that the team is guaranteeing to put in place and that (hopefully) will remain after the initiative is finished.

Categories of Outputs
Outputs describe WHAT the project team will put in place in order to achieve the Purpose/Outcome. They are like promises; the Terms of Reference of the manager over which the manager has power and control. There are a number of categories that Outputs generally fall into: Table 4.1 Categories of Outputs Human Capacity of specific individual or groups to Facilitate Research Human Resource Management Management Procedures and guidelines Monitoring and Evaluation Procurement and Contracting Lessons learned Policy initiatives Clinics Computers Systems for Infrastructure Classrooms Rural roads Administration Managing Information Research Reporting Promotion and dissemination Research findings Good practice Identify needs Develop policy

Knowledge and Information

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Materials Extension materials Training materials / curricula Documented procedures Users Secondary Stakeholders Voters and taxpayers Research publications Broadcasts and film Databases and websites Policy makers Donor community Researchers

Awareness and consensus of

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5.

RISK ANALYSIS AND MANAGEMENT

Definitions and concepts

A risk can be defined as a potential event or occurrence that could adversely affect achievement of the desired objectives. Every project involves risk. Risk is not inherently undesirable; risks can present positive opportunities for securing substantial benefits in a project. Some organisations have a high risk appetite or tolerance; in the right circumstances they are prepared to take risks because, in so doing, they judge that the gains may be great. An assumption on the other hand is a necessary condition for the achievement of objectives at different levels. Assumptions describe the conditions which need to exist for the cause and effect relationship between the different objective levels to behave as expected. As such, they are the "glue" that binds together the hierarchy of objectives in the matrix and the if-then cause and effect relationships between them. They provide the detail and indeed the credibility to the overall logframe design. The important point is not necessarily to avoid risks but to plan for them by identifying and assessing them and allocating time and resources to manage them for example by monitoring and mitigation. Risk management provides the opportunity to anticipate and specify reasons why a project may not work out as intended. Ultimately the rigour and robustness of the risk plan will be the foundation for the recommendation to approve the proposal and invest in a project. So it is essential that risks are identified in planning and that a risk management plan is built into the overall design process and implementation management.

Creating an organisational risk culture

Development organisations are placing considerable emphasis on creating a risk culture; an awareness and competence in risk management and a willingness to take risks where the circumstances are appropriate. There are a number of common perceptions blocking progress; and responses that can move forward good practice. Table 5.1 gives some of the obstacles to fostering a healthy risk culture. Often these revolve around the perceptions of staff, which in turn result in poor practice. Table 5.1 Perceptions and response in risk management Perceptions blocking progress Responses Poor practice Good practice

Risk analysis is seen as an addon; its done mechanically because its a mandatory procedure.

It should be an integral core of what we do. It should serve as a challenge function to interrogate our thinking.

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Its seen as too difficult.

Its not difficult. It involves just a few basic questions. Strong analysis is needed to identify the few, key mission critical risks. And then to design effective mitigatory measures. It needs regular tracking and review. Potentially its a key tool for broader project ownership and political buy-in.

A long list of risks will impress.

Once the Risk Analysis is done, its done and never revisited. Its just done internally.

The key questions

So what are these few basic questions? Table 5.2 Key questions to ask in risk analysis
What is / are the: IMPORTANCE? What is the importance of the risk? This in turn depends on:

What is the HAZARD itself? Scale? Seriousness? What is the VULNERABILITY to the hazard? of the poor? of the project?

PROBABILITY? What is the likelihood of it happening. What data is there? How reliability is the data? COSTS? What are the likely 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?

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Components of Risk Management

Risk management includes two distinct phases: Risk Assessment and Risk Planning. Figure 5.1 The risk management process

Transfer
Identification

Tolerate
Estimation

Treat
Evaluation

Monitoring Mitigating Controlling Resourcing

Terminate
RISK PLANNING

RISK ASSESSMENT
Firstly, risk assessment which involves

the systematic identification of risks. What are the risks? Many of the analysis processes and tools already carried out will inform this; for example o The stakeholder analysis may identify a powerful stakeholder whose interests are not being met and who may be negatively impacted on by a project o A poverty and social impact analysis may suggest social risks that need to be factored into the design o A feasibility study may highlight technical and economic risks o An institutional analysis may suggest structural, process or capacity risks in partners o The problem and objectives analyses probably revealed issues that it was decided then through option analysis process would not be addressed in the project; do they remain as a risk? (Thus in Figure 3.4 it was decided not to address Illegal commercial timber extraction.)

the estimation of the probability of the risk, the likelihood it will happen

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the evaluation of the importance; the hazard, vulnerability, costs, benefits.

Secondly, risk planning which could involve simply monitoring the risk; or it may require mitigatory measures to be included in the project design that reduce the probability or importance; or indeed may control the risk completely in the sense of removing it altogether. These actions will require resourcing. The four main responses in risk planning are: to transfer the risk. The most common way in which we transfer risk is through insurance; we pay a premium in order to transfer the risk on to an insurance company. Alternatively there may be another stakeholder willing and able to accept the risk to the project and/or address it through certain actions. to tolerate the risk. It may be decided to do nothing other than monitor the risk; the decision is made to proceed because the benefits are such that the risk is worth taking. The willing to tolerate risk depends on the appetite for risk. to treat the risk; in other words to put in place in the project design mitigatory measures that will reduce the risk. Most risks are treatable in one way or another. Few, if any, risks are truly uncontrollable in the sense that nothing can be done to reduce the risk; nearly always something can be done to reduce the probability or the vulnerability or costs; or increase the benefits. Thus hyper- inflation may seem to be an uncontrollable risk; but measures may be possible to reduce the projects vulnerability to it e.g. keeping reserves in hard currency; or speeding purchase processes to minimize time when funds are in vulnerable form. to terminate. The decision may be made not to approve the project in the light of the risk analysis.

A contingency plan and budget is likely to be an integral part of a project proposal; a plan, and associated budget for implementation, with details of the measures to be taken if a defined risk should occur. This is distinct from resourcing the preventative mitigation of a risk.

Categories of risk
Table 5.3 gives a list of common risk categories and some possible effects. It is not intended to be comprehensive. Risk will vary with project type and context.

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Table 5.3 Categories of Risks20 External Infrastructure: transport for staff, power supply, suppliers, business relationships with partners, dependency on inter-net and email Economics: interest rates, exchange rates, inflation Legal and regulatory: e.g. health and safety legislation Environmental: fuel consumption, pollution Political: e.g. change of policies, change of government, change of key individuals in partner organisations. Market: competition and supply of goods and services Act of God: fire, flood, earthquake

Financial Budgetary: availability and allocation of resources Fraud or theft: unproductive loss of resources Insurable: potential areas of loss that can be insured against Capital investment: making appropriate investment decisions Liability: the right to sue or be sued in certain circumstances

Activity Policy: appropriateness and quality of policy decisions Operational: procedures employed to achieve particular objectives Information: adequacy of information used for decision making Reputational: public reputation of the organisation and consequent effects Transferable: risks that may be transferred, or transfer of risks at inappropriate cost Technological: use of technology to achieve objectives Project: project planning and management procedures Innovation: exploitation of opportunities to make gains

Human resources Personnel: availability and retention of suitable staff Health and safety: well being of people

Based on Cabinet Office and HM Treasury (2000).Your delivery strategy: a practical look at business planning and risk. Available at www.civilservice.gov.uk/archive/civil_service_reform/busplan/WORD/Yds.doc

20

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Undertaking a risk analysis using a logframe

Step 1 Identify the risks. Start with the logframe, with the draft Hierarchy of Objectives (Column 1). i.
Narrative Summary Indicators

Taking all the activities needed for Output 1, ask the question:
Assumptions
Birth rate continues Safe recreation leads to happiness and community integration Facilities dont create conflict People see the benefit of it Easy m aintenance

Data sources

G: P: O:

Integrated comm unity with happy kids and adults Kids ability to have fun, be busy and safe enhanced

1. Capacity within community to manage the building and longterm maintenance of the swing 2. A safe, well-built swing

No vandalism Kids like and use it Kids dont fight Enthusiasm and participation m aintained Low inflation Sufficient funds raised

A:

1.1 Establish community committee 1.2 Set budget 1.3 Raise funds 1.4 Set up systems for maintenance 2.1 Consult kids 2.2 Design it 2.3 Get planning permission 2.4 Commission builder 2.5 Build it 2.6 Test it 2.7 Safety inspection on com pletion 2.8 Conduct user survey & evaluation with kids

Permission given Building firm re liable and capable

if we complete these Activities successfully, then what can stop us delivering Output 1?

These are phrased as risks. Write each risk on a separate postit and place them alongside the first set of Activities in column 4, here. Repeat for all the other Outputs taking each Output and its associated activities in turn. ii. Taking all the Outputs together, ask the question:
Narrative S ummary Indicators Data sources Assumptions
Birth rate continues

G: P: O:

Integrated comm unity with happy kids and adults Kids ability to have fun, be busy and safe enhanced

Safe recreation leads to happiness and community integration Facilities dont create conflict People see the be nefit of it Easy m aintenance

1. Capacity within community to manage the building and longterm maintenance of the swing 2. A safe, well-built swing

No vandalism Kids like and use it Kids dont fight Enthusiasm and participation maintained Low inflation Sufficient funds ra ised

A:

1.1 Establish community committee 1.2 Set budget 1.3 Raise funds 1.4 Set up systems for maintenance 2.1 Consult kids 2.2 Design it 2.3 Get planning permission 2.4 Commission builder 2.5 Build it 2.6 Test it 2.7 Safety inspection on com pletion 2.8 Conduct user survey & evaluation with kids

if we deliver all these Outputs successfully, then what can stop us achieving our Purpose/Outcome?

Permission given Building firm relia ble and capable

Write each risk on a separate post-it and place them alongside the Outputs in column 4, here. iii. Now ask the question:
Nar rative Summary Indicators Data sources Assumptions
Birth rate continues

G: P: O:

Integrated comm unity with happy kids and adults Kids ability to have fu n, be busy and safe enhanced

Safe recreation leads to happiness and community integration Facilities dont create conflict People see the benefit of it Easy m aintenance

1. Capacity within community to man age the building and longterm maintenance of the swing 2. A safe, well-built s wing

No vandalism Kids like and use it Kids dont fight Enthusiasm and participation maintained Low inflation Sufficient funds ra ised

A:

1.1 Establish commu nity committee 1.2 Set budget 1.3 Raise funds 1.4 Set up systems for maintenance 2.1 Consult kids 2.2 Design it 2.3 Get planning permission 2.4 Commission builder 2.5 Build it 2.6 Test it 2.7 Safety inspection on com pletion 2.8 Conduct user survey & evaluation with kids

if we are achieve our Purpose/ Outcome successfully, then what can stop us contributing to the Impact / Goal?

Permission given Building firm relia ble and capable

Write each risk on a separate post-it and place them alongside the Purpose in column 4, here. iv. Now ask the question: if we successfully contribute to the goal what can stop this impact being sustained in the long-term?

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or if you have a Supergoal above the goal ask if we successfully contribute to the goal what can stop us also contributing to the Supergoal? Write each risk on a separate post-it and place them alongside the Goal in column 4 top box. v. On a separate sheet on flipchart paper draw the table in Figure 5.2 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 discuss each risk in turn:

What is its likely importance (Im)? Write H, M or L; high, medium or low. See Table 5.4. What is its likely probability (Pr)? Write H, M or L. You may at this point decide to hereafter disregard insignificant risks; those that are Low Low. Discuss and agree possible mitigatory measures; record these on the chart. In a few cases there wont be any but even with so-called uncontrollable risks, some degree of mitigation is usually possible. Even if mitigatory measures are successful, it is unlikely you can remove the risk completely. What residual assumptions are you left with? Record these.

Table 5.4 Rating risks for their importance and probability21: Importance can be rated as follows: Low Medium High
Risk factor may lead to tolerable delay in the achievement of objectives or minor reduction in Quality/Quantity and/or an increase in cost. Risk factor may lead to some delay, and/or loss of quality/quantity and/or and increase in cost. 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.

Probability can be rated as follows: Low Medium High

Unlikely to occur or the risk is fully manageable by the project. Could go either way and the project can have some influence in managing the risk but cannot control it completely. Very likely to occur and the projects ability to actively manage the risk is limited.

21

Adapted from DFID (2004) Guidance on scoring projects and programmes.

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An example of a risk, mitigation and an assumption

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 Importance 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 5.2 Risk analysis table (with example)
Risks Im22 Pr23 Mitigation Assumptions

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

Do these transfer to Column 1 and become extra activities?

Transfer these to Column 4 of the logframe

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 the important conditions that need to hold for the objectives to be achieved. They are what remain after the mitigatory measures have been put in place.

Also as a summary of the whole process, refer to Step 6a-e in Figure 4.2.

22 23

Importance Probability

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Figure 5.3 Risk analysis table e. g . Participatory Forest Management (Table incomplete; for illustration only)
Risks G/I 1. Deterioration of security situation disrupts project outcomes and impact 2. Benefits of PFM are captured by elites at community and household levels. 3. Catastrophic environmental impacts e.g. forest fires, hurricanes, climate change. 4. Incidence of HIV/AIDS at all levels worse than anticipated. Im Pr Mitigation Ensure liaison with District Chiefs and Chairs. M L Assumptions 1. No deterioration of security which disrupts project outcomes and impact. 2. Benefits of PFM accrue to the poor at community and household levels. 3. No catastrophic environmental impacts e.g. forest fires, hurricanes climate change. 4. HIV/AIDS rates stable or improving.

P/O

Ensure institutional

representation of disadvantaged groups.

Offer research

support to Ministry. L L

Mainstream

HIV/AIDS into community work and LGA dialogue. L Liaison with separate HIV/AIDS program.
Thorough

5. Delays in implementation by appropriate bodies of legislative, H policy and institutional change outside project control. 6. Key species frequencies fall below level from M which recovery is possible. 7. District authorities do not prioritise staff inputs to participate in PFM activities.

stakeholder involvement and ownership. M Implement communication strategy.

Introduce effective

5. Timely implementation by appropriate bodies of legislative, policy and institutional change outside project control. 6. Key species frequencies remain at a level from which recovery is possible.

inventory / status assessment data collection systems.

Thorough

stakeholder involvement at all levels in Inception L Phase and thereafter. Provide capacity building support.

7. District authorities allocate sufficient time for political and technical personnel at district and subcounty level to participate in PFM activities.

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By adding assumptions, our logic is extended so that: Once Activities have been carried out, and if the Assumptions at this level hold true, Outputs will be delivered. Once Outputs are delivered and if the Assumptions at this level hold, the Project Purpose / Outcome will be achieved. Once the Purpose has been achieved and if the assumptions at this level hold, the contribution to the overall Goal / Impact will have been made by the Project.

Figure 5.4 summarises the structure of Column 4. Figure 5.5 gives an example using the participatory forest management case study. Compare this example with Figure 4.7 the hierarchy of objectives, and Figure 5.3 the risk analysis table. Figure 5.4 The Assumptions Column Objectives Indicators Data / targets Sources Impact / Goal: Outcome / Purpose: Outputs:

Assumptions Important conditions for sustaining benefits in the long term Important conditions needed in order to contribute to the Goal / Impact Important conditions needed in order to achieve the Purpose / Outcome Important conditions needed to deliver the Outputs

Activities:

PRE-CONDITIONS
You sometimes see an extra box here for Pre-conditions or Critical assumptions needed to carry out the activities.

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Figure 5.5 Column 4 : The Assumptions. Example: Participatory Forest Management (Table incomplete; for illustration only)
Objectives Impact / Goal: The livelihoods of poor forest dependent communities sustained and improved Outcome / Purpose: Effective participatory management of forest resources in Chimbe Province Col Col 2 3 Assumptions No deterioration of security which disrupts project outcomes and impact Benefits of PFM accrue to the poor at community and household levels. No catastrophic environmental impacts e.g. climate change. HIV/AIDS rates stable or improving Timely implementation by appropriate bodies of legislative, policy and institutional change outside project control. Key species frequencies remain at a level from which recovery is possible. District authorities allocate sufficient time for political and technical personnel at district and sub-county level to participate in PFM activities. Change of local government personnel does not disrupt PFM activities. No deterioration of security which disrupts project activities

Outputs: 1. Effective national and district institutional and operational framework for PFM established. 2. Capacities of communities and government improved to participate in participatory forest planning and management. 3. Provincial participatory forest management plan developed and agreed by stakeholders at all levels and in operation. 4. Evidence based National and district policies. Activities: 1.1 Collect baseline data 1.2 Awareness raising. 1.3 Establish Institutional Development Working Group. 1.4 Establish partnerships with existing institutions. 1.5 Review current policies. 1.6 Review funding mechanisms. 1.7 Identify service providers. 2.1 Carry out Training Needs Assessment 2.2 Develop and implement a training programme for key stakeholders. 2.3 Support DPUs to facilitate development planning for lower levels of local government. 3.1 Develop community action plans. 3.2 Develop criteria for PFM support. 3.3 Develop overall PFM plan. 3.4 Implement following agreed plan and process 4.1 Establish joint data taskforce and Strategy. 4.2 Conduct baseline studies 4.3 Develop data systems from village to local government. 4.4 Recruit Communications and Policy Advocacy specialist 4.5 Develop and implement PFM Communication and Advocacy Strategies

Notice that some elements of Column 1 have changed to include risk mitigation. Compare with Figure 4.7.

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And finally re-check the logic of the project design using whats called the IF AND THEN test. (Step 7 in Figure 4.2) Figure 5.6 Checking the logic using the IF AND THEN test
Hierarchy of Objectives Goal / Impact Then we should contribute to this Impact Assumptions

Purpose / Outcome

If we achieve this Outcome. Then we should achieve this Outcome.

And these conditions hold

Outputs

If we deliver these Outputs. Then we will deliver these Outputs.

And these conditions hold

Activities

If we carry out these activities Then we will carry out these Activities.

And these conditions hold

START HERE If these Pre-conditions pertain

A word of warning here. There is some variation in the use of column 4. Some agencies apply the assumptions boxes one level higher; i.e. assumptions are conditions to achieve objectives at the same level. In these notes assumptions relate to objectives at the level above.

Assessing the project overall risk level

The type and scale of risks, and the overall risk level of a proposed project will depend on the country, sector, policy and institutional context. Projects in difficult, less predictable environments are likely to be higher risk. Project risk is also affected by the ambition of the project and by how innovative it is. The risk situation changes during the lifetime of the project so there needs to be a regular review, at least on an annual basis. The identification, evaluation and estimation of risks needs to be repeated: Have new risks emerged that should be added to the risk matrix? Has the probability of the risk occurring changed? Has the importance of the risk changed? 57

 Should any changes be made to plans or management strategies to address risks? Are any actions required on the part of the project team to monitor or manage risks? Many organisations require that projects be given a single overall rating of High, Medium or Low risk. The risk matrix (Figure 5.7; sometimes called a risk profile) below shows how different levels of importance and probability can be combined to give a single overall risk rating. Ratings from the Risk Analysis Table (e.g. Fig. 5.3) for individual risks are entered into the matrix and the resulting distribution gives the overall rating. Should two or more risks fall into the red (dark) squares the project should be categorised as High Risk. If one or no risk falls into the red squares but one or more fall into the grey squares the project is Medium Risk. If all the risks are concentrated in the white squares the project is Low Risk. Using this system, the example below of the Participatory Forest Management project would be rate MEDIUM RISK. 24 Figure 5.7 Risk Matrix / Profile for the Participatory Forest Management project (refer to the Risk Analysis Table in Figure 5.3) PROBABILITY
Low Medium High

IMPORTANCE

High

Medium

1 4 7 3

2 6

Low

KEY TO OVERALL RISK

LOW

MEDIUM

HIGH

24

Adapted from DFID (2004) Guidance on scoring projects and programmes.

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6.

PERFORMANCE ASSESSMENT

Why assess performance?

We need to demonstrate performance in development work so that we can more effectively manage the outputs of what we do and direct our effort in the direction where it will have the greatest outcome and impact. 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. Figuire 6.1 outlines the key elements of performace assessment. Figure 6.1 A pyramid of performance assessment

MDGs Learning Why? Accountability Decision Making Projects and Programmes Of what? Strategies and Policies Partnerships How? Monitoring Review, Evaluation and Impact Assessment Evaluative exercises Capacity building for performance Areas of focus

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, funders 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 these 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: G Monitoring: the systematic collection and analysis on a regular basis of data P for checking performance. This is usually done internally to assess how inputs are being used, whether and how well O activities are being completed, and whether outputs are being delivered as planned. Monitoring focuses in particular on A efficiency, the use of resources. Key data sources will typically be 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 G basis, perhaps annually or at the end of a phase. It usually involves insiders working with outsiders; implementers with P administrators and other stakeholders. Review focuses in O particular on effectiveness, relevance and immediate impact. It assesses whether the activities have delivered the outputs A planned and the outcomes 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 yearly or annual reports, a report from a stakeholder participatory review event, data collection documents, consultants reports etc. Evaluation: G in many organisations is a general term used to include review. Other organisations use it in the more specific sense of a P systematic and comprehensive assessment of an on-going or completed initiative. Evaluations are usually carried out by O outsiders (to enhance objective accountability) but may involve insiders also (to enhance lesson learning). Evaluations focus on A 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. It is clear then that M, R &E reflect a continuum with no clear boundaries. With that caveat said, Table 6.1 summarises some general differences.

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Table 6.1 Essential differences between M, R and E

Monitoring When is it done? continuous throughout the life of an initiative to assess whether an initiative is on track and make adjustments Review occasional, midway or at the end of a phase or initiative to reflect on and explain performance; to learn and share lessons; to hold managers accountable Evaluation infrequent, during, at the end or beyond the end of an initiative to explain performance; to learn and share lessons, often at a programme, thematic or sector, rather than project level; to hold managers accountable; to assess impact in relation to external factors and contributions and attributions to change checks the efficiency, effectiveness, relevance, impact and sustainability of the work and the achievement of objectives. It examines with and without scenarios. usually involves outsiders but perhaps also insiders; often initiated by an Evaluation Office in the same agency or by another agency altogether both internal and external including review reports, consultants reports, national and international statistics, impact assessment reports etc.

Why is it done?

checks mainly What is measured? efficiency, the processes of the work - inputs, activities, outputs, conditions and assumptions Who is involved? generally only insiders involved

checks the effectiveness, relevance and immediate impact of the initiative and the achievement of purpose may involve outsiders and insiders; generally initiated by the project/ programme team both internal and external documents such as yearly reports, a report from a stakeholder review event, data collection documents, consultants reports etc. many people use the information e.g. managers, staff, donors, beneficiaries decision-making may result in changes in policies, strategy and future work

What sources of information are used?

typically internal documents such as monthly/quarterly reports, work and travel logs, training records, minutes of meetings etc.

Who uses the results?

managers and staff are the main users of the information gathered

many people use the information e.g. managers, staff, donors, beneficiaries and other audiences decision-making may result in major changes in policies, strategy and future work

decision-making How are the results results in minor used? corrective changes

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M,R & E criteria

It is crucial to plan an M,R&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 DAC25 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 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 outcomes and impacts be sustained after external support has ended? Will activities, outputs, structures and processes established be sustained?)

Performance indicators and targets

Performance indicators are used to measure impacts, outcomes, outputs and activities. They are based on the underlying logical framework for the initiative: they specify realistic targets (minimum and otherwise) for measuring or judging if the objectives have been achieved they provide the basis for monitoring, review and evaluation so feeding back into the management of the organisation or initiative and into lesson learning and planning for other subsequent work the process of setting indicators contributes to transparency, consensus and ownership of the overall objectives and plan. Before looking at how indicators are constructed, some important points: Who sets indicators is fundamental, not only to ownership and transparency but also to the effectiveness of the indicators chosen. Setting objectives and indicators should be a crucial opportunity for participatory management. A variety of indicator types is more likely to be effective; the demand for objective verification may mean that 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. A baseline is needed to identify a starting point and give a clear picture of the pre-existing situation. The reliability and validity of existing data
25

Development Assistance Committee of the Organisation for Economic Cooperation and Development

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may be in doubt and there may not be enough of it. In which case baseline studies will be needed. Collection of baseline data clearly has a cost; but so does the lack of baseline 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.

Indicators and targets

These two terms are often used synonymously. But there is a subtle difference; indicators are means by which change will be measured; targets are ends. So for example: Indicators increase in the proportion of girls achieving Grade 4 by month x the proportion of population below minimum level of dietary energy consumption Targets increase by 15% in girls achieving Grade 4 by month 36 halve, between 1990 and 2015, the proportion of people who suffer from hunger

Let indicators evolve into targets. In the early stages of an initiative, there may not be the baseline data or ownership needed to set targets. It is a fundamental mistake to pluck targets out of thin air without these essentials. Generally in a project proposal document or logframe, there will be mostly indicators rather than targets. Pre-initiative design activities may have yielded a few key draft targets upon which the recommendation to proceed is based. Once approval has been given and the initiative is under way, stakeholder meetings and data gathering during the Inception Phase will lead to targets evolving from indicators. Constructing indicators and targets Indicators are sometimes called Objectively Verifiable Indicators (OVIs) to emphasise that they are not just subjective judgements, rather they need to be constructed so that when different observers measure performance, they will come to the same conclusion. Indicators are more likely to be objective if they include elements of quantity, quality and time (QQT). Begin with the basic indicator. For example, for an Output Improved capacity of district forest committees: Step 1: Basic Indicator: Forest strategic plans developed Step 2: Add Quantity (either absolute numbers or proportions): % of district forest committees with documented strategic plans

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Step 3: Add Quality (standards, characteristics, abilities): % of district forest committees with documented strategic plans approved by key stakeholders inc. community representatives Step 4: Add Time (dates or time elapsed): % of district forest committees with documented strategic plans approved by key stakeholders inc. community representatives by the end of month x. In time, this could evolve into a specific target: Step 5: 75% of district forest committees with documented strategic plans approved by key stakeholders inc. community representatives by the end of month 24. It is not possible to QQT every indicator, but it is still useful in the process to try. Some indicators will be essentially qualitative, others quantitative; thats fine. The important thing is that the logframe includes indicators that measure both elements of change happening, the qualitative and the quantitative. Milestones Again, there can be confusion over terminology. Sometimes the term milestone is used to mean the same as OVIs. However, it is perhaps better used to mean key intermediate targets needed to achieve or deliver an objective within an agreed timeframe. Milestones are in effect targets used in monitoring and perhaps review, formative indicators; measures taken during an activity, phase or initiative to show whether progress is on track as opposed to summative indicators used at the conclusion and are used for review and evaluation. The characteristics of indicators To be useful, indicators need to have a number of characteristics. They need to be: relevant and substantial, i.e. they need to catch the core of a particular objective. This may mean for complex objectives, it is likely that more than one indicator will be needed. specific and measurable in terms for example of: quality quantity time location and target group or organisations. sensitive to the changes that will be happening as a result of the initiative or programme cost-effective; can be measured with reasonable cost and effort, proportionate with the scale of the initiative or programme verifiable and available; the information needs to be collectable at the time planned logical. The objectives, together with their indicators, need to be necessary and sufficient to achieve wider objectives. 64

Types of Indicators
There are many different types of indicators, some more common than others, some better than others, some easier to collect than others, some more widely recognised than others. The formulation of indicators has become a major field of development work, an indication itself that much of former and current practice may not be good practice. Direct and Indirect Indicators Direct indicators are used for objectives that relate to directly observable change resulting from your activities and outputs. A direct indicator is simply a more precise, comprehensive and operational restatement of the respective objective. Indirect or Proxy indicators may be used instead of, or in addition to direct indicators. They may be used if the achievement of objectives: is not directly observable like the quality of life, organisational development or institutional capacity is directly measurable only at high cost which is not justified is measurable only after long periods of time beyond the life span of the initiative. 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 initiative, but also the processes. Processes may be means but with an underpinning capacity building agenda, those means become ends in themselves. 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. Endusers and participants may be asked to verify them, but the means of verification may still be less than fully objective. Qualitative and Quantitative Indicators The QQT maxim for constructing an indicator generally works well. But its rigid application can result in performance and change that is difficult to quantify not being considered or given value. That a change may be difficult to quantify or that the analysis of qualitative data may not be straightforward, are not reasons to sweep them under the carpet. Special effort and attention needs to be given to 65

devising qualitative indicators. A balance of indicators is needed with some that focus on the quantitative and others on qualitative aspects. Quantitative indicators may relate to: the frequency of meetings, the number of people involved growth rates climate data yields, prices the up-take of initiative inputs; e.g. loans, school enrolment, seeds, visits to the clinic, children vaccinated the adoption/implementation of initiative outputs; e.g. technologies, manuals/newsletters/guidelines in use. Qualitative indicators may relate to: the level of participation of a stakeholder group stakeholder/consumer opinions; satisfaction aesthetic judgements; e.g. taste, texture, colour, size, shape, marketability decision-making ability attitudinal change particularly self-esteem and confidence the emergence of leadership the ability to self-monitor the development of groups and of solidarity access to political processes at micro, meso and macro levels behavioural changes evidence of consensus. It is generally easier to measure behaviour than feelings; behaviour can be observed. So if an objective is to increase peoples confidence in meetings, it may be appropriate to measure this by observing how often they speak and how others respond to them. Cross-Sector Indicators Sector based or technical indicators must be balanced by the inclusion of other more cross-sector indicators; for example relating to social issues, gender, the environment, and capacity building. Formative and Summative Indicators Formative indicators are set with a timeframe to be measured during a phase or initiative and hence are the same as milestones. Summative indicators are used to measure performance at the end. Examples of Basic Indicators (in need of QQT'ing) Economic Indicators Production Yield per hectare; litres per cow per year; production per unit of labour; land or investment

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Output

Eggs per day; livestock daily live-weight gain; output of handicraft items per month Income Average individual/household/village income Ownership Land area per household; cattle per household; ownership of plough team Access to capital Proportion with bank accounts; land tenure; water rights Access to credit Proportion with security to obtain loan Poverty Proportion above/below poverty line; proportion landless; seasonal migration rates Social Indicators Health Infant mortality rates; weight for age average; deaths from major causes Education Literacy rate; average years in formal schooling; numbers of students entering secondary education; increase in attainment in core subjects at Grade 6 Gender Proportion of women in formal education or receiving training; male/female wage differentials; gender and membership of a farm cooperative Leadership Number of local leaders; number or percentage of voters Equity Distribution of benefits and assets Participation Number or percentage attending meetings; representation of various ethnic or disadvantaged groups on committees; quality of access to decision making forums Environmental Indicators Sustainability Length of fallow in shifting cultivation; fish harvested per year Habitats Forest cleared each year; area of wetland drained; area of mangrove cut Soil condition Yield of crop per year; water availability in soil; nutrient status; presence or absence of erosion Waste Number of households with cesspits; households practicing composting Fuel Average time to collect firewood daily; average weight of fuel to boil water (to test stove efficiency) Capacity Development Indicators Awareness Willingness of parents to both pay increase in school fees and contribute labour in the construction of a new school building Influence Ability of regional authorities to mobilise political support and local resources to support its position with central authorities Systems Ability of the system to transfer funds between levels and to produce audited statements in 6 months of the fiscal year end Research Increased use of survey data in planning Oversight A functioning Management Committee that meets at least once a month and keeps pumps working 90% of the time.

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Data Sources / Means of Verification

An indicator can only be used and is only useful if the information can be collected when it is needed and at reasonable cost and effort. So it is important when setting each indicator to also consider how the data will be collected and by whom. If verification is not possible or if it will be too costly, then another indicator is needed that will be easier and/or cheaper to verify. In specifying our Data Sources (also called Means of Verification, MoVs) we need to consider: What evidence is needed? Where will the evidence be located? How will the data be collected to provide that evidence? 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?

The Data Sources will almost invariably be documents (or, less often, film or video or audiotape). 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

Indicators and data sources in the logframe

Return now to the half-complete logframe. The final element of developing the logframe is to decide what indicators/targets will be measured and and what

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appropraite sources of data will be used that capture this performance data. This is a vital stage of the initial planning that is often overlooked. Building in evidence sources at this stage will make the monitoring and evaluating of the project easier. Column 3 of the logframe relates to the verification. It should be considered as you formulate the indicators. So complete columns 2 and 3 at the same time. This is Step 8 in the summary of the logframe process Figure 4.2. Figure 6.2. Indicators and Data Sources in the logframe
Objectives Impact / Goal: Indicators / targets Measures of the longer term impact that the project contributed to. Measures of the immediate outcome achieved from delivering the outputs. Measures of the delivery of the outputs. These measures are often milestones and may be presented in more detail in the project work plan. Data Sources Sources of data needed to verify status of Goal level indicators Sources of data needed to verify status of the Purpose level indicators Sources of data needed to verify status of the Output level indicators Sources of data needed to verify status of the Activity level indicators Assumptions

Outcome / Purpose:

Outputs:

Activities:

You sometimes see logframes structured to show clearly indicators evolving into targets:
Objectives
Indicators Proportion of population below $1 per day

Indicators / targets
Baseline Targets Halve between 1990 and 2015 the proportion of people whose income is less than $1 per day

Data sources

Assumptions

56%

An example of a complete draft logframe

Figure 6.3 overleaf gives an example of a complete draft logframe, once again using the on-going case study of the Participatory Forest Managament project in Chimbe Province.

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Figure 6.3 The complete logframe Title: Participatory Forest Management (PFM) of Chimbe Province Timeframe: 3 years
Objectives Goal: The livelihoods of poor forest dependent communities sustained and improved 1

Allocation: $2.6 million

Indicators (by End of Project unless otherwise stated) Livelihood vulnerability of primary resource users reduced through increase in legally secured access to forests in Chimbe. At least 50% of PFM target group members attribute their livelihood improvement to the PFM approach. 10% increase in forest-derived income by primary resource users. PFM principles adopted beyond Chimbe. 20% representation by PFM target groups in community level organizations established for forest management. At least 3 poverty focused development interventions initiated by communities in each of eight villages. 50% increase over the baseline in revenue to subcounties and Districts in PFM operational areas. Increase in financial commitment by communities and local governments to sustain PFM Data sources District household survey reports Knowledge, Attitudes & Practice (KAP) reports Report on women workshops LGA26 and forestry reports Forest Management Unit application forms (FMU) Local government reports Local government records District Budget Papers; Forest Assembly minutes District and SC Development Plans CPFMO27 Constitution and quarterly reports IDWG28 meeting reports KAP survey reports CPFMO reports 5. Timely implementation by appropriate bodies of legislative, policy and institutional change outside project control. Full and effective integration of ENR29 into local government development Assumptions

1. No deterioration of security which disrupts project outcomes and impact

3 4 Purpose: The integrated management of Chimbes forest resources 1

2. Benefits of PFM accrue to the poor at community and household levels.

3. No catastrophic environmental impacts e.g. forest fires, hurricane. 4. HIV/AIDS rates stable or improving

Outputs: 1 Effective institutional and operational framework for PFM established in Chimbe. 2 Capacities of communities and government improved to participate in
26 27

1.1 Appropriate lines in 3 district and 4 subcounty budgets for PFM priorities by M24 1.2 CPFMO operational with equitable village level representation at three levels 1.3 Eight FMUs operational, with marginalized represented. 2.1 High levels of awareness of the need for PFM amongst stakeholders in 8 villages, 4 subcounties and 3 districts 2.2 Local people engaged in

6.

LGA Local Government Authority CPFMO Chimbe Participatory Forest Management Organisation 28 IDWG Institutional Development Working Group 29 ENR Environment and Natural Resources

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Objectives integrated forest planning and management.

3 Participatory forest management plan developed and agreed by stakeholders at all levels and in operation.

Indicators (by End of Project unless otherwise stated) equitable PFM processes 2.3 New linkages established with external institutions 2.4 Enhanced financial management systems at 3 district and 4 subcounty levels 2.5 Quarterly FMU self managed meetings at village level regarding resource planning and management 3.1 Planning process addresses needs of different community groups at 8 villages 3.2 Priorities ratified by CPFMO 3.3 Integrated management plan developed and approved by all stakeholder groups 3.4 District, sub-county and PFM project disbursements appropriately targeted to community-identified priorities 3.5 Quarterly meetings of FMUs and Executive Committee and annual CPFMO meetings to review and update CPFM plan 3.6 CPFMO Secretariat operational 3.7 Ordinances and bylaws relevant to PFM operational at District and Sub-county levels 3.8 Revenue from forest resources transparently used for PFM priorities 3.9 Mitigating action taken for 3 or more major environmental threats 3.10 At least 8 community projects addressing PFM priorities.

Data sources Quarterly reports 7.

Assumptions

planning. Key tree stocks remain at a level from which LG Devevlopment recovery is Plans possible. FMU performance 8. Stakeholders monitoring results interested and agree to a PFM plan. CPFMO minutes 9. Support to forest management organisations is forthcoming. CPFMO minutes CPFMP30; 10. GoC continues to support CPFMO minutes decentralisation. PDPs31; SDPs 11. Appropriate policy and legal and DDPs; PFM framework and annual reports institutional commitment to CPFMO minutes establish interFMC, FPBC32 and district body. EC33 minutes. CPFMO Quarterly Reports; CPFMO minutes CPFMO accounts and minutes DDPs; CPFMP PDPs and local government reports M&E strategy. M&E Task Force meeting reports FPBC meeting minutes CPFMO minutes

Evidence based National and district policies.

4.1 Participatory M&E strategy designed and agreed at all levels 4.2 Key indicators identified and agreed at all levels 4.3 Community based monitoring systems operational 4.4 Information from M&E systems CPFMO minutes

30 31

CPFMP Chimbe Participatory Forest Management Plan PDP Provincial Development Plan 32 FPBC Finance, Planning and Budgeting Committee 33 EC Executive Committee 34 PMA Plan for Modernisation of Agriculture 35 CWA Chimbe Wildlife Authority 36 MoLG Ministry of Local Government

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Objectives

Indicators (by End of Project unless otherwise stated) incorporated into planning and decision making at appropriate levels, including the CPFMO 4.5 Effective Communication strategy operational 4.6 Effective Policy Advocacy strategy operational 4.7 Local level PFM principles and priorities reflected in district and sub-county plans and implemented 4.8 PFM principles and practices incorporated into at least 3 other national policies e.g. PMA34, Fisheries, Wetlands, CWA35 and MoLG36.

Data sources

Assumptions

Strategy; Quarterly reports Strategy; Quarterly reports SDPs, DDPs and budget framework papers OPR reports; Quarterly reports

Indicative Activities: 1.1 Collect baseline data. 1.2 Awareness raising 1.3 Establish IDWG. 1.4 Establish partnerships with existing institutions. 1.5 Review current policies. 1.6 Review funding mechanisms. 1.7 Identify service providers. 2.1 Carry out TNA37. 2.2 Develop and implement a training programme for key stakeholders. 2.3 Support DPUs38 to facilitate development planning for lower levels of local government. 3.1 Develop community action plans. 3.2 Develop criteria for PFM support. 3.3 Develop overall PFM plan. 3.4 Implement following agreed plan and process

1.1 Completed by M6. 1.2. Main phase completed by M12 1.3 IDWG operational by M18 1.4 Completed by M9 1.5 Completed during Inception by M6 1.6 Completed during Inception by M6 1.7 Completed by M12. 2.1. Completed by M12. 2.2 Training plan in place by M12; training ongoing thereafter. 2.3 Target completion by M24 but ongoing as necessary

3.1 Plans in place by M18 3.2 Criteria established by M 12 3.3 Plan in place by M24. 3.4 Implementation targets as per plan.

Quarterly Reports 12. District authorities Quarterly Reports allocate IDWG minutes sufficient Quarterly Reports time for Inception Report political and technical Inception Report personnel at district and Annual Report sub-county level to TNA report participate in Training Plan and PFM reports activities. Quarterly Reports 13. Change of local government personnel does not Quarterly Reports disrupt PFM activities. Quarterly Reports 14. No deterioration PFM Plan of security Quarterly Reports which disrupts

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4.1 Establish joint data taskforce and Strategy. 4.2 Conduct baseline studies 4.3 Develop data systems from village to local government. 4.4 Recruit Communications and Policy Advocacy specialist 4.5 Develop and implement PFM Communication and Advocacy Strategies

4.1 Taskforce set up by M9. Strategy in place by M12. 4.2 Baseline studies in 6 key areas of fisheries information, poverty/livelihoods, revenue, environment, regulations, and KAP survey by M15. 4.3 Data systems in place by M18. 4.4 Specialist recruited by M18. 4.5 Implementation targets as per strategies.

Quarterly Reports Baseline reports

project activities

Quarterly Reports Quarterly Reports Quarterly Reports

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). Often the overall level of risk for the project is reviewed at the same time (see p72). 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 (in this case of DFID), using a scale of 1-5 that can be applied for each Output, overall at Output level and at Purpose level is: Table 6.2 A system for scoring performance
No. Descriptions 1 2 Likely to be completely achieved Likely to be largely achieved Achievement The outputs / purpose are well on the way to completion (or completed) There is good progress towards purpose completion and most outputs have been achieved, particularly the most important. Likely to be partly Only partial achievement of the purpose is likely and/or achieved achievement of some outputs. Only likely to be Purpose unlikely to be achieved but a few outputs likely achieved to a very to be achieved. limited extent Unlikely achieved to be No progress on outputs or purpose

3 4

37 38

TNA Training Needs Assessment DPU District Planning Unit

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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

Such a system can be used as one way to assess and manage performance across a programme or indeed whole organisation. This is discussed more in Chapter 8.

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7.

WORK PLANS, BUDGETS AND TERMS OF REFERENCE

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 agreed. 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 7.1 for an example. In a Gantt Chart each Output is listed together with its associated activities (subactivities 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.

Preparing a Project Budget

Now the full Budget needs to be prepared. Figure 7.2 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 7.1 Example of a work plan / Gantt Chart (partial) Participatory Forest Management project
MONTH

ACTIVITY
1.1 Collect baseline data. 1.2 Awareness raising 1.3 Establish Institutional Development Working Group; quarterly meetings. 1.4 Establish partnerships with existing institutions. 1.5 Review current policies. 1.6 Review funding mechanisms. 1.7 Identify service providers. 2.1 Carry out Training Needs Assessment. 2.2 Develop and implement a training programme for key stakeholders. 2.3 Support District Planning Units to facilitate development planning for lower levels of local government. 3.1 Develop community action plans. 3.2 Develop criteria for PFM support. 3.3 Develop overall PFM plan. 3.4 Implement following agreed plan and process

WHO?
RT TF PM PM PM PM PM TF TF/RT RT TF/PM PM PM PM

10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 etc.

Etc etc. KEY

Development Implement Self-review Annual Review

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Figure 7.2: A typical project budget (partial) based on a PFM logframe

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

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You may need to use a set of standard categories to meet the requirements of the funding agency. The Budget does not form part of the logframe, but is an essential document that is attached to the logframe. Remember that the cost requirements defined in the Budget will be used for analysing the costeffectiveness of the project by comparing the budget with the Indicators at Purpose level.

Preparing Terms of Reference

Project proposal documents commonly include in the Appendices, the Terms of Reference of key personnel and / or agencies; for example for the Project Manager, for a Project Steering Committee or for a Contractor. What are Terms of Reference (ToRs) ToRs define the task required of an individual, team or contractor. They set out the background and objectives, results/outputs, job description, budget and timetable and may specify in addition aspects of process, the planned activities and expected inputs. ToRs may be needed for: Feasibility studies Appraisal and deisgn missions Implementation contrcats for specicifc actvities or outputs or indeed the whole project Review, evaluation and audit studies Technical advice anfd other support work. Input and Output ToRs39 Your partner might give you their terms of reference for decorating a room in your house whilst they are away. These might range from: Paint the room while I am away and be sure to be finished by the time I get back. to Paint, using StiffHair paintbrushes, the walls bright pink. Then paint, using SilkLine brushes, a straight clear line at 27.5 cm high going around all four walls, at a thickness of 78.75 cm. The doors should be stripped back to the bare wood, using PaintOff stripper. A 50% (in size) reproduction of an image of Madonna (the pop star) should be etched onto each door, with ebony EtchoMaster. The former of these two sets of ToR is Output based whilst the second (as well as being tasteless!) is Input based. An Input based set of ToRs; or indeed specification; is useful where you know exactly what it is you require and want to

39

Adapted from DFIDs in-house ToR training materials

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leave nothing to chance or the creativity or professional knowledge which the person doing the work might possess. Output based ToR are used where we know what we want in broad terms, but not how we are going to achieve it. For example you might give a professional painter and decorator the following ToR: Paint the room in the colours and style you judge will not clash with adjoining rooms and will create a cheerful, warm and relaxing atmosphere. Why are Terms of Reference so important? ToRs may be a key contractual document against which the performance of contractors, consultants, staff members and/or other stakeholders can be judged.40 What is specified in the ToRs is what you get. If it is not specified, you will not get it. If the process details are essential, then Input-based ToRs are needed. If the end-outputs are the key element, no matter the means by which they are to be delivered, and if space is needed to allow for the professional judgement of the contractor, then Output-based ToRs are more appropriate. Remember unsuccessful work is often the fault of ineffective ToRs rather than ineffective implementers / contractors / consultants. What is a typical format for Terms of Reference? Whether Input or Output ToRs are appropriate, they need to be clear, comprehensive and coherent. A typical format is41: i. Objective the purpose of the task. Why is the task to be undertaken? A brief description of what is to be done set in the relevant context (i.e. essential details of project status, key partners and stakeholders, policy, programme). Recipient state clearly who is the recipient (partner Govt, NGO, village communities etc) of the services and what they will provide. Scope & Deliverables this section should specify in some detail what the individual consultant or team is expected to do in terms of the tasks and outputs required. Any limitations, e.g. geographical, political, administrative etc., should be set out. An indication should be given of the depth of analysis required in specific subject areas. Methodology in Input based ToRs, these will be very detailed telling the consultant exactly how the work should be carried out. Even in Output based ToRs, some mention will probably be made of methodology, although it may be expressed as the methodology used should include but not be limited to the following. Reporting in Output based ToRs, this section is vital specify exactly what is required and in what format (written, oral etc.) the outputs are required. Input based ToR will also require some form of reporting and this should be specified, perhaps in a more limited fashion.

ii. iii.

iv.

v.

40 41

EU (2004) Aid delivery Methods. Volume 1: Project Cycle Management Guidelines Adapted from DFIDs in-house ToR training materials

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vi. Timeframe both the general project timeframe within which the consultants work will apply and the specific timeframes applicable to the consultants work should be set out here. vii. Coordination make a clear statement as to who the consultant will be responsible to. If it is more than one individual, say so. If different parts of the work are for different people, again say so. Ensure that one name is given of the person who is the overall coordinator of the consultants work. viii. Background include here all relevant background material or sources. The more relevant information you provide the more relevant the consultants proposal and subsequent work will be. Typical mistakes to avoid: Cutting & pasting from similar ToRs without thorough needs analysis. Round-robin email consultation resulting in disjointed comments and analysis leading to a lack of coherence. This is common when drafts of the ToRs have been circulated widely. Loss of focus on the objective. Over stipulation of the requirement. Under stipulation of the requirement. No defined outputs. Over prescriptive leaving little or no room for innovation and professional judgement. No defined quality/ continuous improvement plan. No defined quality standard. Lack of Key Performance Indicators. Inclusion of anticipated input days. Inclusion of project/contract budget.

Box 7.1 gives a brief example of some ToRs. Are they clear and unambiguous? Are they sufficient for the task?

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Box 7.1 Example of Terms of Reference Terms of Reference

Purpose To design a one-day training course on the principles of forest co-management. The course is an activity within the Participatory Forest Management project. Scope The target audience is Province and District level staff who do not have a forestry or natural resource background but who are involved in decision making processes relating to the management of forest resources. The course will be written in consultation with the Outreach Team of the PFM project. Objectives, content and design will cover aspects to be agreed; the course will particularly focus on: key concepts of biodiversity, forest ecology and co-management essential attitudes and skills needed for participatory approaches sources of forest-related information and knowledge analysis of stakeholder interests, roles and support needs to fulfil those roles. Methodology Methodology is at the discretion of the training consultant but must be interactive and be supplemented by written handouts (including in CD format). It is expected the design team will make use of existing materials within project archives including real casework to provide a contextual grounding. The design phase will extend to delivery of 2 separate pilot courses to determine suitability of content and delivery. Subsequent delivery of the finalised course is not within the remit of this TOR. Reporting A brief report (no more than 4 pages excluding appendices) will be provided within 2 weeks of drafts being agreed by the PFM contact. All course materials including course outline, visual aids, trainer notes and handouts will be provided electronically. Timeframe Basic course outline is to be agreed with the PFM nominated contact within 3 weeks of start of contract. Dates for pilot courses to be agreed with the PFM project; to be delivered within 4 months of start of contract. Course design with trainer notes and delegate handouts should be completed within six months of start of contract. Coordination The PFM nominated contact is Robert Odhiambo, Head of Outreach in the PFM project team, to whom the training consultant will report. The consultant must also nominate a similar counterpart who will be available to discuss logistics and administrative details on all aspects of design and pilot course delivery and to provide verbal updates on progress. Background The Participatory Forestry Management project is a joint Government of Nkonia/GIDA initiative. The PFM project team lies within the Forestry Commission of Nkonia which is responsible for the regulation of utilization of forest and wildlife resources, the conservation and management of those resources and the coordination of policies related to them. The PFM team recently carried out a training needs assessment relating to the roles and functions of the institutional structures and processes needed to strengthen participatory approaches in forest management in Nkonia. The target audience above were identified because they are largely unfamiliar with key forest resource issues, they hold positions of power in decision-making and participatory approaches are generally alien to them.

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8.

PROPOSALS, PROJECTS AND PROGRAMMES

A typical project proposal format

We have nearly completed the project planning process. The aid effectiveness agenda is prompting moves amongst funding agencies towards harmonisation and simplification, including of submission procedures and formats. Good practice exists. Some funding agencies encourage the use of partner documents for submission and approval. Some agencies are less concerned about the format as long as the proposal content is robust and includes the necessary information. Nevertheless project proposal or submission procedures and formats used by different funding agencies still vary. Indeed different programmes within the same funding agency may have specific guidelines. You are very unlikely to be successful with a cold application for funding; i.e. one sent to headquarters or an in-country office and not part of an established programme inviting applicants to submit proposals. So a paramount message is to research the funding agency you are considering applying to: Does the proposed project fit the programme / country / agency strategy? (which in turn should be aligned with national priorities). Are projects a major instrument of fund disbursement (or are most funds allocated through programme aid? Is your proposal in response to an invitation to apply to a fund? In which case what are the objectives, criteria, guidelines and format for submitting applications? Beware the fine detail in guidelines which may for example limit a proposal to a certain word count (e.g. not more than 5000 words) or number of pages and font type and size (e.g. not more than 7 A4 pages using Arial font 11).

Table 8.1 gives and typical project proposal format. But it is emphasised, this is only typical. You must at the earliest stage do your research.

Logframes with the appropriate level of maturity

The point has been made several times (but it needs repeating here) that the LFA is an iterative process through which a product is developed. A logframe should evolve in phases as the project planning develops. Figure 8.1 illustrates this concept. A logframe should only be as mature (detailed, complete, final) as is appropriate. So a detailed, complete logframe presented at Concept Stage begs the question; How was it designed? Good design costs money; so a prematurely complete logframe suggests weak design. Alternatively the logframe could itself be an output of previous work and budget, in which case, fine. If not, has the design been carried out with insufficient process and stakeholder ownership? In general, a concept stage logframe should only be complete at Goal/Impact and Purpose/Outcome levels (for all 4 columns), with some draft Outputs. An 82

approval stage logframe should typically only be complete at Goal/Impact, Purpose/Outcome and Output levels (for all 4 columns), with some draft broad activity clusters. A logframe will not be complete (though it should continue to change during the lifetime of the project) until the end of an Inception stage. At risk of boring you, lets repeat the logframe should continue to change during the lifetime of the project. It is a living document. There should be the expectation that it will change particularly as each stage is reviewed; indeed this should be integrated into the reporting procedure and format. Activities and outputs, indicators and data sources and the underlining assumptions all need to be scrutinised for change. Clearly there are limits to change particularly if the logframe is a key document within a contractual agreement between funder and implementer. But there is nothing worse than activities being carried out (and precious resources being used) when those activities are out dated and no longer relevant or appropriate. Fig. 8.1 Three phases of project development and their associated logframes

Impact

Concept Stage

Outcome Outputs Activities

Draft

Permission to Design
Impact

Design Stage

Outcome Outputs Activities

Final Firm but could change Draft

Approval to Implement
Impact

Inception Stage

Outcome Outputs Activities

Final

Firm but could change

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Table 8.1 A typical project proposal format

1. 2. 3. 4. 5. 6. BASIC DATA SHEET / SUMMARY Name and address of applicant (the UK-based organisation) Name of project Country/(ies) and region(s) in which the project will take place Names of all local partner(s) Project Summary: a brief statement of project objectives, expected results and main activities; the main intended beneficiaries etc.: Project cost: total budget; amount sought from funder; amounts sought from other funders and the status of applications Project duration: length of project; anticipated start and end dates. PROJECT RATIONALE The problem the project addresses. Who identified the problem and how. The experience of you and your local partners in working on these issues or in the country / area? Lessons you have drawn on. The fit of this proposal with funding agency objectives. PROJECT APPROACH The goal, purpose, outputs and main activities of the project. The primary and other stakeholders. How they were identified. How the project was designed and by whom. The coverage of the project (e.g. the area to be covered; the numbers of people served out of the total population etc). Alternative ways the project objectives could be achieved. Why the current design was chosen. Sustainability and exit strategy issues. PROJECT MANAGEMENT AND IMPLMENTATION Project implementation and management arrangements. Resource requirements. Interaction with other agencies in the area including Government. Timeframe for the project. PROJECT MONITORING, LEARNING AND DISSEMINATION Monitor and review arrangements. Reporting and lesson learning. Experience sharing with others. Who and how? RISKS The main risks that could affect the projects success. Importance and probability. Mitigation

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Portfolios of logframes
In our journey through the logical framework process, we have mainly considered logframes in isolation. In reality projects, as we saw in Chapter 1, will usually be part of larger programmes, either within a single organisation as corporately it seeks to achieve its strategic objectives, or in a multi-stakeholder partnership where external assistance is being provided aligned with and in support of national goals. Except in the now-rare circumstances where a project really is an isolated, standalone effort, several logframes will relate to each other horizontally and vertically. They need to be developed in cognizance of, and communicating with, other related logframes. For example within a single organisation there may be dozens, even hundreds of logframes, a portfolio of logframes that summarises objectives and plans at different levels. Figure 8.2 illustrates this principle, though obviously in a large organisation there may be many more than the three layers shown. At the highest level there may be a logframe that captures the overarching corporate mandate, mission and strategic objectives. Within the organisation there may be Divisions or Departments each with their own programmes (and logframes) divided perhaps on a geographical or thematic or sectoral basis. And within each programme there may be a variety of projects each seeking to contribute to the higher programmatic goals. Figure 8.2 A portfolio of logframes

INSTITUTION Mandate Mission Objectives

PROGRAMMES Themes Sectors Regions

PROJECTS

The diagram reinforces a number of points: The logframe approach helps in standardising planning and design.

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It provides monitoring and evaluation information at all levels, information which can be used to manage and focus across a portfolio. Teams at different levels must communicate. Vertically, senior managers must bear in mind that changing corporate priorities will change fundamentally what happens at lower levels. And horizontally, each project (or programme) is in effect an assumption for others at the same level since they are all seeking to contribute to the same higher level objective. It helps individuals to see the whole to which they belong. This can be powerful in a large organisation where the individual may wonder how they are contributing to top level objectives like the Millennium Development Goals.

Nesting logframes
One way in which a portfolio of projects can relate is nesting where logframes share objectives horizontally and vertically. See Figure 8.3. Figure 8.3 shows the first columns (top 3 rows only) of four logframes. The highest level could be for a large development agency with a focus on support to crop agriculture. The second level is for a sector strategy, in this case Research. The third level is a research programme focusing on semi-arid systems. The fourth level is a research project into a particular crop weed called Striga.

Notice how the objectives relate to each other. Thus the Purpose/Outcome at sector level Research outputs disseminated and implemented is more or less the same as the first Output at Corporate level and the Goal/Impact at Programme level. Study the Figure for other cross-linkages.

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Figure 8.3 Nested logframes: Weed Research in semi-arid areas

Corporate level Goal/Impact Poverty reduced. Economic growth. National environmental problems mitigated. Purpose/Outcome Productive capacity of crop sector enhanced on economically and environmentally sustainable basis. Outputs 1. Research outputs disseminated and implemented. 2. Policy development strategy successfully implemented. 3. Successful operations strategy in place.

Sector strategy level e.g. Research strategy Goal/Impact Productive capacity of smallholder cropping sector enhanced on economically and environmentally sustainable basis. Purpose/Outcome Research outputs disseminated and implemented.

Programme level e.g. semi-arid systems programme Goal/Impact Research outputs relating to semi-arid systems disseminated and implemented.

Outputs 1. Key researchable constraints removed. 2. Research programmes successfully operational.

Purpose/Outcome Research programmes successfully operational.

Project level e.g. Control of Striga weed project Goal/Impact Research programmes relating to semi-arid systems successfully operational.

Outputs 1. Impact of weeds on the crop production cycle minimised. 2. Impact of pests on production of sorghum and millet based systems minimised. 3. Impact of pests on cotton production minimised. .

Purpose/Outcome Impact of Striga on the crop production cycle 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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Service logframes
Service logframes relate in a slightly different way. A service logframe is one that provides a service to another logframe by for example carrying out a monitoring and evaluation function or by addressing / mitigating a risk. See Figure 8.4. Figure 8.4 A service logframe
Parent logframe

Service logframe
abc pqr xyz

xyz

pqr

The outputs and activities of a service logframe may address the indicators and verification or assumptions of anoth er

An example of a portfolio of logframes: the UN Development Assistance Framework (UNDAF)

In a partner country the UN Country Team (all the represented agencies of the UN such as the Funds and Programmes e.g. UNDP, UNICEF, WFP and the specialised agencies e.g. WHO, FAO, ILO, UNESCO etc) develop a UN Development Assistance Framework every 3-4 years which aligns behind the partner countrys national priorities set out in the National Development Plan. Study Figures 8.5 and 8.6 which illustrate a hypothetical relationship within an UNDAF Results Framework. The diagrams show how the sum of the agencies contributions helps to achieve the UNDAF Outcome and ultimately the national objective. The UNDAF clarifies the responsibility for results within the partnership arrangement. It does not define the results chain right down to project and activity level. It may also identify areas where one or more agencies support may not be sufficient to achieve the intended result. In such a situation, either the scope of the expected results would have to be lowered, or other partners (e.g. donors, civil society, the private sector) need to commit to provide the necessary assistance. The framework also illustrates the difficulty in attributing the achievement of results to the work of single agencies. It however helps to clarify the contributions different agencies are expected to make to jointly achieve important results.
88

Figure 8.5 The relationship between project, programme and UNDAF results42
A typical UNDAF results area and UNDAF Outcome. Several agencies and outside partners have to provide significant inputs.

A typical programme result. Its achievement depends on the contributions of more than one partner.

A typical project result or output. Its achievement depends largely on the completions of activities.

Result
Result Result

Result

Result

Result

Result

Result

Result

Result

Result

Result

Result

Result

Result

Result

Figure 8.6 An example of programmes and project contributing to an UNDAF Outcome

Country Programme outcomes in the UNDAF UNDAF outcome supporting MDGs and national goals

25% reduction in new HIV infections by 2009

Conditions favoring risk-free behaviour

All large employers have policy and campaigns on HIV in workplace (ILO) National bodies exist that oversee implementation of AIDS prevention activities (UNDP)

Reliable HIV surveillance

Voluntary and confidential testing and advice available

Policy on VCT agreed among major stakeholders (WHO) Health workers able to conduct VCT (UNICEF)

90% of people know how to prevent HIV infection

High risk groups know how to prevent HIV (EU) 90% of young people 12-18 know how to protect themselves (UNICEF) Multi-media campaign messages reach 90% of all people (UNESCO)

Universal access to condoms

Policy on condoms agreed among major stakeholders (UNFPA)

HIV surveillance system set up (WHO)

Agency level outputs in the UNDAF

Supplies of condoms guaranteed (UNFPA)

42

UNICEF (2005) Understanding Results-Based Programme Planning and Management

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Attribution, contribution and aggregation

We discussed the notions of causality and attribution in the context of resultsbased management. The aid effectiveness and managing-for-results agenda has meant that the need to show results for accountability has rightly become a major driving-force in development work today. With discrete, stand-alone projects with their separate implementation units, demonstrating the outcome and impact of what you do is relatively straightforward (though even then far from easy!) With multi-partner programme work this is much more difficult; and yet the need and demand for accountability is just as strong. Attribution Attribution is the extent to which a result is caused by the activity, project, programme or agency. If there is no activity, how would the outcome have been different?43 In the present environment of programme level interventions, sector-wide approaches and budget support, attribution has become increasingly a thorny problem. Outcomes become much less tangible at country and global level and in multi-partner efforts. Attribution is very difficult in these circumstances with a clear tension between the benefits of an outcome focus and the need for results to be results in the proper sense (i.e. attributable change) . Long-term horizons and weak data exacerbate the problem. Attribution may be difficult but this does not mean that seeking credible linkages between outputs and outcomes is impossible or that resultsbased management is a non-starter for development agencies. Aiming for specific development outcomes and impacts remains a powerful and useful principle. Development agencies should manage for outcomes and support developing countries in measuring these44. Contribution Contribution is the extent to which an effort has supported a result. It looks at change from the other direction. Instead of looking downwards from the result to the effort, it looks upward from the effort to the result. You may think the distinction is pedantic; but it is easier to be confident about contribution than attribution. This involves making judgements about the interrelationships in a multiple-partner effort. To determine the precise degree of attribution may not be the priority, indeed it may be unknowable. What is more important in a review of contributions by partners, is that there is a credible linkage between effort and result. The better defined the results, the better

43

Flint M (2003) Easier said than done: A review of Results-Based Management in Multilateral Development Institutions. http://www.parcinfo.org/documents/Results Based Management/Review of RBM in Multilateral Development Institutions - 2003.doc 44 Flint M (2003) op cit

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monitored the progress and the better designed the intervention, the clearer this linkage will be.45 Aggregation Assessing performance results and then aggregating those assessments are associated problems. Aggregating actual diverse results is generally meaningless (e.g. decrease in maternal mortality rates and more girls at school). More feasible is the aggregation of performance ratings or scores. We discussed performance scoring for individual projects at Output and/or Outcome / Purpose levels. With care, scores can be aggregated across a portfolio of projects, at programme or country level. Ultimately such aggregations can be used by Senior Management as one means of monitoring corporate performance. Performance scoring and aggregation may be a rather blunt instrument for assessing and managing performance across a project portfolio. Nevertheless the increasing demand for accountability and visible results is prompting agencies to explore this path. It is however not without considerable pitfalls. Clearly any scoring system depends firstly on compliance (that staff will carry out and report on scoring; some agencies use a spending block in address non-compliance). Secondly it depends on the quality of scoring. Quality can be improved by involving partners in the exercise; but even then incentives may work against quality of scoring. Thirdly aggregation of scores can itself be done inappropriately leading to unjustifiable conclusions. The findings can take on a degree of statistical validity which does not face up to scrutiny.

UNDP (undated) Knowing the What and the How: RBM in UNDP, a Technical Note. http://www.undp.org/eo/documents/methodology/rbm/RBM-technical-note.doc

45

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92

APPENDICES APPENDIX A: GLOSSARY OF KEY LOGFRAME TERMS

The following are the key terms used in the log frame approach; notes are added were necessary for clarification. The definitions are drawn largely from 2 key documents: OECD DAC Glossary of Terms in Evaluation and Results Based Management (2002)46 in English, French and Spanish and UNDG Approved Harmonised Results-Based Management Terminology (2003)47.
Term Activities Definitions Actions taken or work performed through which inputs, such as funds, technical assistance and other types of resources are mobilised to produce specific outputs. Hypotheses about factors or risks which could affect the progress or success of development intervention. An analysis describing the situation prior to a development intervention against which progress can be assessed or comparisons made. A reference point or standard against which progress or achievements can be assessed. A benchmark refers to the 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. For example projects, programmes, budget support, sector wide approach etc. See Impact. Goal is synonymous with positive impact. These effects could be economic, socio-cultural, institutional, environmental, technological or of other types. Note that both Goal and Impact should relate to people, not solely to things e.g. an ecosystem. An assumption is a necessary condition for the achievement of results at different levels. See Risks. Notes

Assumptions

Baseline study

Benchmark

Development Intervention Goal

An instrument or approach for partner (donor or non-donor) support aimed to promote development The higher order objective to which a development intervention is intended to contribute. Positive and negative, long-term effects on identifiable population groups produced by a development intervention, directly or indirectly, intended or unintended.

Impact

Inputs

The financial, human, material technological and information resources

46 47

www.oecd.org/dataoecd/29/21/2754804.pdf www.undg.org/documents/2485-Results-Based_Management_Terminology_-_Final_version.doc

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Term

Definitions used for the development intervention.

Notes

Indicators Milestones

See Performance Indicators. Significant points in the lifetime of a project. Times by which certain progress should have been made. Hence the term may apply to a milestone indicator or target; synonymous with formative indicator or target in contrast with terminal at the end of a given period or intervention. Typically synonymous with Results Framework or Design and Monitoring Framework. Though most often used at project level, is also used at lower levels (e.g. an personal development plan) and at higher levels (e.g. programme, budget support, or country levels - such as an UNDAF Monitoring and Evaluation Framework). More or less synonymous with Evidence or Verification or Data Sources.

Logical Framework or Logframe

A management tool used to improve the design of interventions, most often at project level. It involves identifying strategic elements (inputs, outputs, outcomes and impact) and their causal relationships, indicators and the assumptions and risks that may influence success and failure. It thus facilitates planning, execution and evaluation of a development intervention. Data sources and reporting mechanisms that specify how indicator data will be collected, by whom and when. The inter-relationship of two or more Logical Frameworks to illustrate how they communicate and share objectives at different levels. A generic term referring to Activities, Outputs, Outcome and Impact.

Means of Verification (MoVs) Nesting

Objective

To avoid confusion it is best to only use this term generically. Avoid using it more narrowly e.g. Specific Objective, Intermediate Objective, Development Objective. Outcome has become synonymous with Purpose. Limit the Outcome to one succinct statement to ensure clarity and focus. Outcome statements typically describe the change of behaviour resulting from the uptake or use or implementation by others outside the project team (often beneficiaries) of the Outputs. Outputs are like promises; they are the deliverables, the term of reference of the project manager and team. The team has a high degree of control over the delivery of the outputs.

Outcome

The likely or achieved short-term and medium-term effects of an interventions outputs, usually requiring the collective effort of partners. Outcomes represent changes in development conditions which occur between the completion of outputs and the achievement of impact

Outputs

The products and services which result from the completion of Activities within a development intervention.

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Term Performance Indicator

Definitions A quantitative and/or qualitative variable that allows the verification of changes produced by a development intervention relative to what was planned.

Notes Synonymous with Indicators or Objectively Verifiable Indicators. See Target. An indicator is a means of measuring change; a target is a specific end point. Specify indicators and targets in terms of quantity, quality and time.

Problem Analysis Project

A structured investigation of the negative aspects of a situation in order to establish causes and effects. A series of activities aimed at bringing about clearly specified objectives within a defined time-period and with a defined budget. Confusingly the term is sometimes used more widely to include programmes and budget support; i.e. it is used synonymously with Development Intervention. Purpose has become synonymous with Outcome. Outcome is preferred in UNDG terminology. Result is best used as a generic term for output, outcome and impact at any or all levels. In contrast the EC uses the term narrowly, synonymous with Output.

Purpose

The publicly stated outcome of a project or programme.

Results

Results are changes in a state or condition which derive from a causeand-effect relationship. There are three types of such changes (intended or unintended, positive and/or negative) which can be set in motion by a development intervention its output, outcome and impact. A management strategy by which an organisation ensures that its processes, products and services contribute to the achievement of desired results (outputs, outcomes and impacts). The causal sequence for a development intervention that stipulates the necessary sequence to achieve desired objectives beginning with inputs, moving through activities and outputs, and culminating in outcomes, impacts and feedback. A potential event or occurrence could adversely affect achievement of the desired results.

Results Based Management

RBM rests on clearly defined accountability for results and requires monitoring and selfassessment of progress towards results, and reporting on performance. Based on a theory of change, including underlying assumptions.

Results chain

Risk

A risk should not be written as the negative of an assumption (e.g. Assumption = inflation remains at manageable level; Risk = Hyperinflation). It is useful to view assumptions as the conditions that remain after

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Term

Definitions

Notes mitigatory measures have been put in place. This includes intended beneficiaries and intermediaries, winners and losers, and those involved or excluded from the decision making process.

Stakeholder

Any person, group, organisation or institution that has an interest in an activity, project or programme.

Stakeholder Analysis

Identification of all stakeholders who can influence the intervention or are likely to be affected (either positively or negatively) by it. The continuation in the benefits produced by the intervention after it has ended. A specific level of performance that an intervention is projected to accomplish in a given time period. See Performance Indicator. Indicators are means, targets are 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. Let indicators evolve into targets during design and implementation as baseline data and stakeholder ownership improve.

Sustainability

Target

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APPENDIX B: EXAMPLES OF STAKEHOLDER ANALYSES Jamaica All-Age Schools Project

Stakeholder Table
No. Stakeholders Interests
Likely Impact of the Project Priority of Interest
48

1 2

PRIMARY Girl pupils from low income families Boy pupils from low income families

School achievement, a relevant interesting curriculum a job. A greater understanding of gender relations in school. Greater equality. School achievement, improved attendance, a relevant interesting curriculum, improved literacy. A practical focus to the curriculum, a job. Improved gender sensitivity. More understanding of male underachievement and of needs. Greater involvement in management of schools. Improved schooling. Opportunities to improve livelihoods. Reduction in levels of poverty. A greater say in the management of the school Improved opportunities for girls and boys. Increased involvement in school management. Improved opportunities for girls and boys. Enhanced capacity to manage school. Greater support from community. An improved school. More resources for the school. Better trained teachers. Greater capacity to do job effectively. Enhanced training opportunities. More accessible, flexible ITT. Possibility of training without giving up job. Qualification, improved salary. More training. Greater capacity to effectively manage school. Further decentralisation in decision-making. More equitable representation of community members. Poverty Reduction. Increased Access. Project effectiveness. Support for upgrading the most vulnerable schools. CEO: That he remains involved; greater decentralisation. PS: to retain overall control through Project Steering Committee. Improved statistics on training. Training and Study tours for officers. Guidance and Counselling teachers placed in project schools. G and C college tutors: increased recent and relevant experience through action research. Strengthen operation. To house project manager. Greater links with the Regions. Assistance in implementing new primary curriculum. Training for Language Arts and Maths teachers. Greater use of materials to support interactive. Teaching and Learning.

+ +

=1 =1

SECONDARY Community members

=2

4 5 6 7 8 9

Parents: mothers Parents: Fathers School Principals Teachers Untrained teachers School Boards

+ + + + + +

=2 =2 =3 =3 =3 =3

10 11 12

DFID The Ministry of Education: general Chief Education Officer/PS Planning Department Guidance and Counselling Unit

+ + + + + +

=4 =4 =4

13 14

=8 =7

15 16 17

Professional Development Unit Core Curriculum Unit Media Services Unit

+ + +

=5 =6 =7

48

Scale 1-10; 1 = Highest Priority

97

18 19 20 21 22 23 24 25 26

Special Education Unit Projects Unit Technical Services Unit: Buildings Joint Board of Teacher Education Jamaica Teachers Association National Assessment Programme National Council for Education Regional Education Offices Community Relations Officers Territorial Education Officers Teacher training Colleges MICO College Moneague College University of the West Indies Local businesses, industry Basic/Infant Schools - Early Childhood Education School Library Service Social Development Commission Social Investment Fund Reform of Secondary Education project (ROSE) Other Lead Donors: USAID /IDB/ World Bank UNICEF

Greater access for those needing remedial help. A more coherent approach to remedial education. Staff training. Co-ordination between this project and USAID New Horizons via reporting arrangements. To manage and implement minor works. Better physical infrastructure. To design the flexible ITT programme. More qualified members with increased salary. To be involved in project activity related to assessment. Assistance with training School Boards. Greater decentralisation. Strengthened capacity. More resources (for the two regional Offices Involved). Training. Greater understanding of their role. Assistance form ACREOs. Involvement in project activity. Training in School Development Planning. Improved school support. Increased expertise in training teams on adult learning strategies and distance/flexible learning. Possible use of study centres as assessment centre for pupils Specialist College for the development of reading. Involvement in Action Research. Better-educated workforce. Closer cooperation with Primary schools. Training for teachers in reading preparation skills. Better equipped libraries in schools. Close liaison and cooperation esp. with Parish Zonal Officers: For ACREOs to partner with Parish Zonal Officers. Greater assistance to project communities. To provide funds for community improvement. Liaison. Possible funds for project communities. Assistance with introducing National Curriculum into AllAge schools. Close cooperation between projects. Partnerships. Avoidance of duplication. The need to expand and develop early childhood education. Tthe need to ensure that agencies work together. The issue of remedial education is addressed cooperatively and coherently. An integrated approach to the development of the whole community.

+ + + +/+ + + + + + + +/+ + + + + + +

=6 =8 =6 =6 =8 =6 =6 =5 =5

27 28 29 30 31 32 33

=5 =6 =7 =7 =7 =9 =7

34 35

+ +

10 =7

36 37

+ +

=8 =6

38 39

+/+

=7 =7

40

UNESCO

=9

98

41

42 43 44

Jamaica Movement for the Advancement of Literacy (JAMAL) Churches Members of Parliament Other agencies working with communities such as Public Health, MIDA, RADA

Schools to provide facilities for adult literacy and other adult education provision. Support for their schools. Possible reduced control. Improvement in their constituency schools. Possible reduced control. Cooperation in community development.

=7

+/+/+

=8 10 =7

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JAASP Stakeholder Analysis: Relative Influence and Importance Matrix High Importance
A 1 2 5 3 4 44 28 35 18 39. 36. 29 30 33 34 22 D 40 C 13 41 32 38 37 16 24 23. 17. 21 20 1. 7 8 B 9 6. 26 27 25 10 11 15 12

18

31

14

1 Girl pupils from low income families 2 Boy pupils from low income families 3 Community members 4 Parents: mothers

12 Chief Education Officer/PS 13 Planning Department 14 Guidance and Counselling 15 Professional Development Unit 16 Core Curriculum Unit 17 Media Services Unit 18 Special Education Unit 19 Projects Unit

23 National Assessment Programme 24 National Council for Education 25 Regional Education Offices 26 Community Relations Officers 27 Territorial Education Officers 28 Teacher training Colleges 29 MICO College 30 Moneague College 31 University of the West Indies 32 Local businesses, industry 33 Basic/Infant Schools - Early Childhood Education

34 School Library Service 35 Social Development Commission 36 Social Investment Fund 37 Reform of Secondary Education project (ROSE) 38 Other Lead Donors: USAID /IDB/ World Bank 39 UNICEF 40 UNESCO 41 Jamaica Movement for the Advancement of Literacy (JAMAL) 42 Churches

5 Parents: Fathers

6 School Principals 7 Teachers 8 Untrained teachers

43

9 School Boards
42

10 DFID 11 The Ministry of Education: general

20 Technical Services Unit: Buildings 21 Joint Board of Teacher Education 22 Jamaica Teachers Association

43 Members of Parliament 44 Other agencies working with communities such as Public Health, MIDA, RADA

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JAASP Stakeholder Analysis: Summary Participation Matrix

TYPE OF PARTICIPATION STAGE IN PROJECT Identification Planning Inform Consult Partnership Control

Churches MPs Local Bus. Other community agencies/ NGOs

Girl Pupils Boy Pupils Parents Community School Board Teachers Untrained teachers JBTE NAP JTA NAP NCE Planning Dept. School Library Serv. Churches Girl and Boy Pupils UNICEF

Early Childhood TTCs MICO College UWI Social Development C. JSIF Other Lead Donors UNICEF UNESCO JAMAL ROSE JAMAL Other community agencies/ NGOs

DFID MOEC Principals CEO/PS Planning Dept. Guidance and C. PDU CCU

Media Services Projects Unit Tech. Services: Build. Regional Offices CREOs TEOs Moneague College School Library Serv.

Implementation

MPs JTA JSIF Other Lead Donors UNESCO Local Bus.

Principals School Board Community Parents Teachers Untrained teachers PDU CCU Regional Offices CREOs TEOs Guidance and C. Special Ed. Unit Principals School Board Community Parents Teachers Untrained teachers CREOs TEOs Girl and Boy Pupils

Tech. S.: Build Media Projects Unit JBTE Early childhood TTCs Moneague MICO NCE NAP UWI SDC ROSE Early childhood TTCs

DFID (TAs) /MOEC (Project Man.) CEO/PS (Steering Committee)

Monitoring and Evaluation

DFID MPs JTA JSIF Other Lead Donors UNESCO ROSE CEO/PS (Steering Committee)

Local Bus. Planning Dept. School Library Serv. Churches

Regional Offices PDU CCU JAMAL Other community agencies/ NGOs Guidance and C. Special Ed. Unit

Tech. S.: Build Media Projects Unit JBTE Moneague MICO NCE NAP UWI SDC

LINK Institution/TAs External Consultants?

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Zambia Health Sector Wide Approach (Swap)

A. Primary Stakeholders
stakeholder group 1. The Zambian public, especially poor people (A heterogeneous group including urban and rural people, women, children, people living with chronic illness (especially AIDS), people suffering from seasonal diseases, and disabled people.) interest improved health status how support affects particular interest (+) significantly increasing the resources available through basket funding is the best way we know to improve services at the health centre and health post level, where most poor people receive care (+) essential drugs will be available (+) enhanced funding for drugs and supplies may influence morale of health centre staff; improved training and more supportive supervision methods should also help (+) study of and support for participatory structures (together with Central Board of Health (CBoH), Zambia Integrated Health Programme (ZIHP and others) will strengthen capacity of community-based structures such as Neighbourhood Health Committees (NHC). (+) action-oriented studies will identify major barriers to access for women and the poor. These studies will influence policy decisions and resource allocation vis a vis gender, user fees, etc. priority of interest (1-4)* 1

affordable, accessible health care & medicines better treatment of the public from health centre staff

more powerful public voice in operations of locallevel health services

more appropriate services offered to vulnerable groups

B. Secondary Stakeholders
stakeholder group 2. Zambian health workers (formal sector) interest better working conditions, better equipment potential that there will be an increase in public expectations, and a sustained pressure to perform to a high standard through empowered NHCs and District Health Boards (DHBs) how support affects particular interest (+) (-) priority of interest (1-4) 2

Key: Relative priority; range 1=high, 4=low

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3. CBoH/ MoH managers & administrators

more resources means more capacity to realise the National Health Strategic Plan (NHSP). but more CP resources also means increased CP leverage and influence on policy and spending through the Health Sector Support Steering Committee (HSSSC)

(+)

(-)

4. DFID

helping poor people to realise their right to basic health care achieving the health MDGs (MMR, IMR, reproductive health, gender equality) less control over the detail of expenditure of UK more influence over policy and resource allocation

(+) (+) (-) (-) (+)

5. Other cooperating partners (CPs (primarily Danida, Netherlands, EU) 6. Health sector governing bodies such as DHBs and NHCs 7. Churches Medical Association of Zambia (CMAN) 8. Pro-poor advocacy and rights groups such as OxfamZ and Equinet 9. Health service delivery NGOs

significant investment in an improving health system

control over more resources to improve local health outcomes

(+)

funding from CPs, capacity to provide a higher standard of care to more people more resources to improve local health outcomes, with an emphasis on equity

(+)

(+)

gradual loss of direct CP support to the NGO sector overall but some NGOs will continue to benefit

(-) (+)

4 10. Private sector service delivery: pharmacists, private practitioners, traditional healers 11. Political parties coordination and involvement through strengthened DHBs income from customers/clients claiming credit for improvements in the health system; scape goating other parties for system failures; party manifestoes may form the basis for health policy (as with 1990 reforms) (+) (-) (+) for the ruling party if the sector flourishes; (-) for opposition parties if the sector 4

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flounders 12. Drug and supply companies 13. International NGOs with an interest in social and economic rights in Zambia (Oxfam UK/I) winning contracts; making money improving all Zambians access to social services (+) (+) 4 4

Matrix classification of stakeholders according to relative influence on, and importance to, Zambia health SWAp High importance A 1 2 6 4, 5 C 12 9 11 8 10 13 Low importance Low power ..High power 7 D

B 3

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APPENDIX C: CHECKLISTS FOR REVIEWING A LOGFRAME A checklist for reviewing the hierarchy of objectives
A simple checklist for checking the objectives in column 1. i. Do they answer Goal / Impact Outcome / Purpose Outputs Activities Greater Why? Why? What? How?

ii. 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?)

iii. Is there only one Outcome / Purpose? iv. Is the Outcome / Purpose clearly stated, avoiding phrases like by, in order to, through and so that. v. Is the Outcome / Purpose too remote from the Outputs? vi. Is the Outcome / Purpose more than just a reformulation of the Outputs? vii. Does the gap between Outcome / Purpose and Outputs show realistic ambition? Is it assessable? Is the causal link strong? viii. Are the Outputs deliverable? ix. Do we see Process as well as Product objectives? x. Are the Outputs and Activities linked /cross-numbered?

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A checklist for reviewing the Risks and Assumptions

A simple checklist for checking the assumptions in column 4. i. Have all the important risks been identified? e.g. from the Stakeholder analysis? e.g from the Problem trees? Etc.

ii. Are the risks specific and clear? Or too vague? iii. Where risks are manageable, have they been managed? iv. Where possible, have mitigatory measures been included as Activities and Outputs? i.e. moved into Column 1? v. Are the Assumptions at the right level? vi. Does the logic work? Check the diagonal logic for Columns 1 and 4 THEN

IF

AND these assumptions hold

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

vii. 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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A checklist for reviewing Indicators and Data Sources

A simple checklist for checking columns 2 and 3. i. Are the Indicators described in terms of Quality, Quantity and Time (QQT)? Relevant Valid / Reliable Measurable / verifiable Cost-effective / proportionate? ii. Are the Indicators and Data Sources:

iii. Are the Indicators necessary and sufficient? Do they provide enough triangulation (cross checking)? iv. Are the Indicators varied enough? Product and Process Direct and Indirect Formative, Summative and beyond Qualitative and Quantitative Cross-sectoral?

v. Who has set / will set the Indicators? How will indicators be owned? vi. Are the Data Sources Already available Set up where necessary within the project? vii. Is there adequate baseline data? Is further baseline measurement needed?

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APPENDIX D: EXAMPLES OF LOGFRAMES

These are not intended as model logframes; merely ones that are useful in a workshop for reviewing.

Community recreation facilities for kids

Narrative Summary
Goal: Integrated community with happy kids and adults Kids ability to have fun, be busy and safe enhanced

Objectively Verifiable Indicators

Number of stressed families decreases by 50% Other communities adopt similar ideas 75% of local young kids use the swing at least once a month Kids opinion on life in the village improved

Means of Verification
Reports from village clinic and counsellors Newspaper articles User survey Participatory evaluation with the kids

Assumptions
Birth rate continues

Purpose:

Outputs:

1. Capacity within community to manage the building and long-term maintenance of the swing 2. A safe, well-built swing

6-monthly meetings after Minutes of meetings completion with > 5 members. Swing maintained and in use Maintenance and annual over minimum 5 year period safety inspection records

Safe recreation leads to happiness and community integration Facilities dont create conflict People see the benefit of it Easy maintenance

Activities: 1.1 Establish community committee 1.2 Set budget 1.3 Raise funds 1.4 Set up systems for maintenance 2.1 Consult kids 2.2 Design it 2.3 Get planning permission 2.4 Commission builder 2.5 Build it 2.6 Test it 2.7 Safety inspection on completion 2.8 Conduct user survey & evaluation with kids

Swing completed and in use Safety certificate on in 12 months completion Minimal number of accidents Accident records; bruises, minor cuts & hospitalisation Few repairs needed Maintenance log Planning team set up by x Minutes of meetings Committee chosen by x Monthly meetings during Attendance records planning & building phase with > 8 members Budget Accounts Enough money raised by x Income/receipts Rota agreed amongst parents to maintain swing by x Ideas generated and incorporated in design Designed by x Planning permission by x Tenders issued by x Contract awarded by x Completion by x Tested by builders by x Inspection by x Survey carried out by x Quarterly rota pinned on library notice board Plan discussed with designers Design in hand Permit in hand Documentation Documentation Verbal report Certificate in hand Findings displayed in public library

No vandalism Kids like and use it Kids dont fight

Enthusiasm and participation maintained Low inflation Sufficient funds raised

Permission given Building firm reliable and capable

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Jamaica All-Age Schools Project

Narrative Summary Goal: Improved lifetime opportunities for poorer children Indicators Means of Verification Tracer Studies of pupils from programme schemes GoJ School Profile Document. Risks and Assumptions

Increased number of children from poor communities finding employment or accessing higher levels of education

15. Jamaican economy provides employment opportunities

16. Places available a nearby full secondary schools

Purpose: Better education for children from poor communities

By EOP 5 10% increase in the number of pupils reading at, or above, expected reading age at Grade 4 6 10% increase in attainment in core subjects at Grade 6 and Grade 7 and 9 tests. 7 10% increase in the number of pupils progressing to secondary education 8 School attendance at 85% 1.4 80% of school boards and PTAs operating effectively with representation from all groups in the community by Y2. 1.5 50% reduction in school vandalism by Y3 1.6 50% reduction in boys and 25% reduction in girls absenteeism by Y3 2.6 School Development plan prepared in all project schools by Y1 2.7 School Development Plans implemented in all schools by Y2. 3.11 Programme designed and accredited by Y1 3.12 120 teachers from project schools enrolled in training programme by Y1

NAP assessment data Student Assessment Unit data

17. GoJ remains committed to poverty reduction through investment in education

Outputs:

Increased community participation in the management of schools

Minutes of meetings Empanelment reports Logbooks and attendance records Community profile conducted by CREOs Plans submitted to Project manager. REO records and reports TEO Monitoring reports Programme documentation Course registers and records

18. Co-operation from other agencies. 19. Interest of community members.

2 Improved school management

20. Training and support is sufficient to enable schools to formulate and implement plans 21. JBTE approves programme 22. Officers and college staff sufficiently competent to make distance

3 Distance learning established to provide initial training for unqualified teachers.

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4 Regional and national systems strengthened to provide training and support for improved learning.

4.1

Systematic REO plans for INSET provision to remote schools effectively implemented by Y2
School based staff development in all schools by Y2 All teachers using interactive teaching with focus on literacy by Y2 Effective learning support in all schools by Y2 One teacher from each feeder Basic school trained in the Reading Readiness Programme by Y2 40% more children score higher in the NAP entry assessment by Y3 Effective guidance and counselling in every project school by Y2 50% of teachers of Grades 7-9 trained in ROSE curriculum and methodology by Y3 Improved data collection and processing in REOs (MIS) by Y3

Reports to project steering committee Staff development plans in SDPs Course register TEO monitoring Course registers

model effective 23. There are sufficient untrained teachers with entry qualifications 24. Training overload of teachers, especially those in small schools. 25. Early drop-out by untrained teachers from programme

4.2 4.3

4.4 4.5

NAP data Programme documentation NAP data 26. Sufficient capacity in Ministry to fund employment and training of Guidance Counsellors 27. ROSE training teams available to the project

4.6

4.7 4.8

TEO reports

4.9

5 Appropriate levels of learning resources provided to meet curriculum needs 6 Minor rehabilitation works identified and carried out through school development plan process 7 Phase 2 designed

5.1 Books and equipment being used effectively by Y2 6.1 Completed work by Y3

Observation reports by TEOs

28. Efficient procurement and delivery system 29. Time taken to complete work

7.1 Action research taking place by Y1 7.2 Appraisal and design process by Y2 7.3 Project memorandum completed by Y2

Baseline data and research reports

Monitoring reports from Project Manager

30. A culture of learning will develop

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Activities: 1.1 Sensitisation of communities and formalisation of community representation. 1.2 Establish partnerships with SDC and other agencies e.g. Peace Corps, RADA, Public Health, UNICEF, JAMAL to target other forms of community development and job creation. 2.1 Training for Principals/School Boards/TEOs in School Development planning. 2.2 Training for Principals in Instructional Leadership/School Management. 5 days pa 3.1 Develop a programme to meet the needs of untrained teachers in remote rural all age schools (to include a gender component) 3.2 Inset for College staff 3.3 Contract with Teacher Training Colleges for implementation and monitoring programmes 4.1 Preparation of REO Development Plan to include INSET delivery 4.2 Strengthen literacy and learning support training for Moneague college staff/MOEC officers at regional level. 4.3 College staff to train literacy resource teachers 4.4 Literacy training is provided for project school teachers 4.5 Training of teachers in assessing and addressing special needs 4.6 Create a focus on literacy in the community 4.7 Provide Reading Readiness Programme to feeder Basic Schools 4.8 Group of teachers to conduct action research on gender and boys achievement in school 4.9 Training for College tutors of Guidance Counsellors and MOEC officials using action research model 4.10 Study visits for MOEC officers 4.11 Capacity of Regional Office to support remote rural schools strengthened including MIS 5.1 Project menu of materials and equipment established 5.2 Schools Needs Assessment carried out as part of School Development Planning Training in use of materials and equipment 6.1 Minor works which will enhance the quality of teaching and learning identified through School Development Plan 7.1 Baseline study undertaken 7.2 Action Research on specific aspects of the project 7.3 Appraisal and design of Phase II

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International Programme For The Elimination Of Child Labour Andhra Pradesh State Based Project
Narrative Summary
Goal
To reduce and prevent child labour in India

Objectively Verifiable Indicators

The GoI and of other states show interest in the Andhra Pradesh state strategy and in replicating its elements. ILO takes elements of approach into other areas of IPEC. Progress towards ratification of ILO C138 & C182. Progress towards compliance with UN CRC targets. Achievement of GoI targets.

Means of Verification
GoI and State documents.

Assumptions

IPEC documents. ILO documents. GoI report to UN. ILO documents.

Purpose

Replicable pilot interventions which contribute to the progressive elimination of child labour in Andhra Pradesh developed.

Govt has a strategy to end CL in the state.

State expands measures towards universalising elementary education into additional mandals with focus on child labour. Increase in enrolment and retention of children including hardest-toreach especially girls in schools by end of project. CL in slate industry in Markapur is eliminated by the end of the project.

State Govt records, District records.

DPEP records, NCLP records.

Annual statistical reports of Dept. of Education, DPEP. Reports of implementing agency and of monitoring agency.

1.Nation wide commitment to Universal Elementary Education. 2.Lack of appropriate national legislation does not impede. 3.Government commitment to the International Labour Standards. 4.Willingness to implement National legislation.

Outputs

1. ILO-IPEC contribution to the development and implementation of the States strategy to end child labour in AP.

1.1 Plan for contribution developed by end Sept 2001. 1.2. Forum for consultation on CL initiated by December 2001. 2.1 Six Action Programmes developed in collaboration with primary stakeholders by Sept 2001 and implemented by end of project. 2.2 Number of working children reduced in pilot area by end of project.

1.1 Report. 1.2 Report of consultation.

2. Strategy implemented for the prevention and elimination of child labour in pilot areas of AP.

2.1 ILO IPEC records Action Programme documents

2.2 Implementing agency records Govt records

5 Government continued focus on Child Labour. 6.Lack of adequate and appropriate AP legislation does not impede the process of elimination of child labour. 7.No disruption due to political uncertainty and the Telangana movement. 8.States fiscal position does not impact on allocations for UEE and CL. 9.AP Dept of Education and DPEP respond to

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needs of UEE. 3. ILO social partners (including Trade Unions, employers) mobilised. 3.1 Trade Unions include child labour in their agenda and policies on labour issues. 3.2 Trade Unions influence government to initiate measures to end CL. 3.3 Employers Associations advocate elimination of CL. 3.4 Collective agreements between unions and employers include a clause on CL; long-term settlement U/S 12(3) and 18(1) of ID Act. 4.1 CSOs from at least 16 districts become members of the network by end March 2002. 4.2 CSO network agenda of action agreed by June 2002 and implemented by end of project. 4.3 Number of state and district level meetings on CL by CSO network. 5.1 Strategy developed by December 2001 5.2 Baseline information on GCL in pilot areas by December 2001. 5.3 Methodology developed for collecting baseline information on the hardest-to-reach available by end of project. 6.1 x documents in a wide range of forms developed. 6.2 Requests from within and outside AP for information, lessons, papers etc. 3.1 and 3.2 Collation of TU records (minutes, resolutions, complaints, agreements). 10.Limited focus on enforcement does not jeopardise reduction in CL. 11.Increased resources are allocated for UEE. 3.3 and 3.4 Collation of minutes of meetings of employers associations. Press reports of employers action.

4. Network of civil
society organisations with common agenda addressing child labour established.

4.1 Network records.

4.2 Reports and discussion papers prepared by CSOs

Media reports on CSO activity on CL.

4.3 Minutes and

reports.
5. Strategies for addressing the hardest-to-reach child labour, including girl CL, piloted. 5.1 Strategy document. 5.2 Implementing agency reports. 5.3 Implementing agency reports and project documents.

6. Lessons and best practice identified, documented and disseminated.

6.1 Documents on file 6.2 Record of requests Press reports

Activities49

1.1 Draw up an action plan for contributing to scaling up50 strategy. A, possibly B

12.There are no further delays in start-up. 13.Implementing agencies perform effectively.

ILO Categorisation of activities A Activities that are done by the central project team; limited expenditure B Mini-programmes of expenditure of less than $5000 or external collaboration contracts; require implementing agency C Action Programme of expenditure more than $5000; requires implementing agency possibly with elements sub-contracted to an executing agency(ies)

49

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1.2 Establish a continuous dialogue with government on CL policy and implementation. A/B 1.3 Conduct studies on Government policy on CL and feed in outcomes into Government policy and implementation. B 2.1 Develop and implement a strategy to target young children (4-8 years) at risk of joining the workforce, enrol them in schools and retain them. C 2.2 Develop and implement a strategy for creating community level awareness on CL C 2.3 Sensitisation and capacity building of key government agencies and civil society partners. C 2.4 Support additional income opportunities to families of CL. C 2.5 Develop and pilot a model PM & E system. C 2.6 Develop exit strategy and conclude activities of IASP in Markapur including TECs C 3.1 Implement the Trade Union Action Programme against CL as approved by the Steering Committee 30/4/01. C 3.2 Develop and implement an Action Programme for mobilising 3 categories of employers against CL. C 4.1 Draw up a plan for networking CSO. A 4.2 Networked CSOs agree to a common position and plan. B or C 4.3 Ensure regular flow of information amongst the CSOs on CL initiatives. B or C (with 4.2)

14.If natural disasters occur, they have a minimal impact on the project. 15.Willingness to draw on the expertise of CSOs. 16.Key individuals trained are retained. 17.CL employers response will not be such that it impedes the project. 18.Proper PM&E systems can be developed. 19.Hidden CL can be identified with reasonable accuracy.

5.1 Develop and implement programme for Girl Child Labour (10-15 age group) in pilot areas. B
5.2 Support the on-going Integrated Girl Child Labour Programme of Govt of AP. C 5.3 Research and develop strategies to address the problem of the hardest-toreach CL in AP. B Scaling-up here implies an influencing of others in policy development and implementation, such that lessons and processes learned are applied on a larger and wider scale outside pilot areas. It does not imply the repetition on a wider scale by the project of interventions used by the project in pilot areas.
50

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5.4 Influence Govt policy to reach the hardest-to-reach groups. A 6.1 Early lessons prepared for contributing to dialogue at state level. A, or possibly B 6.2 Document lessons in format appropriate to a range of specified audiences. B 6.3 Disseminate lessons to audiences within and outside India. B/C 6.4 Conduct review event involving key stakeholders 10 months prior to the end of the project. B

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Pakistan National Health And Population Welfare Facility 64.5 Million DBS Over 4 Years
Narrative Summary Goal: To improve the health of poor people in Pakistan (in line with IPRSP priorities in health and population welfare) Objectively Verifiable Indicator Reduction in annual population growth rate from 2.1% to 1.9% in 2004 and 1.3% in 2020. (I-PRSP target) Reduction in infant mortality from 90/1,000 to 65 by 2004 and 55 by 2010. (I-PRSP area & NHP target) Reduction in child mortality from 110 per 1000 live births to 75 by 2007. (I-PRSP area) Reduction in total fertility rate from 4.8 to 4 in 2004 and to 2.1 (replacement level) in 2020. (I-PRSP target) Maternal mortality falls from 350/100,000 to 180/100,000 in 2010. (I-PRSP & NHP target) HIV prevalence remains below 5% among vulnerable groups in 2007. (NACP target) Reduction in TB prevalence from 400/100,000 to 240/100,000 by 2010. (NHP target) Reduction in annual parasite incidence (API) from 0.8 to less than 0.5/1000 population by 2010, with P. falciparum maintained below 40% of all malaria infections. (NHP Target) Elimination of neonatal tetanus by 2007 and eradication of polio by 2004. (modified EPI target) Increase in Contraceptive Prevalence Rate among 15-49 year old women from 28% in 2001 to 40% by 2005. (NPP target) Births attended by skilled professionals increased from 20% to x% (to be available in 1y) Increase in EPI coverage (12-23 months) from 45% to 90% by 2005. (NHP target) Condom use rate during last sex act among high-risk groups. 70% of smear positive TB detected and successful treatment of 85% of TB by 2010. (NTP target) Increased use of subsidised Insecticide Treated Nets (ITNs), especially for the protection of high-risk groups in highly endemic areas - from current zero coverage to protection of 1.2 million population by June 2006. Nutrition OVI to be determined in future Strategic Framework. Data sources PRH & FPS DHS DHS DHS PRH & FPS DHS NACP surveys NTP reports MCP reports Assumptions

EPI reports PRH & FPS DHS DHS EPI cluster surveys PRH & FPS NTP reports MCP Political stability Economic growth Effective implementation of devolution plans Improved literacy and education levels

Purpose: To increase utilisation particularly by poor people of services which benefit public health

Nutrition surveys

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Narrative Summary Outputs: 1 Supportive policies and multi-year strategies and plans linked to national targets and MTBF adopted

Objectively Verifiable Indicator 1.1 Medium term programme plans linked to national targets and to reliable indications of resource availability (LHW PC1 Jun 03, PW PC1 Jun 04) 1.2 Population sub-policy completed on [?contraceptive pricing, ? others] 1.3 Health Policy work completed on Private sector by 2004 Health financing by [2005]

Data sources Policy team reports to MoPW and MoH secretaries Revised strategic plans PC1s MTBF TA Reports

Assumptions Provincial and district plans and budgets for the programmes conform to and complement national plans and budgets

2 Improved annual budget process in terms of (2.1) preparation

HR by ? 1.4 National Nutrition Strategic Framework agreed by 2004 1.5 PRSP health and population programmes and targets reviewed/refined in light of emerging unit cost data 2.1.1Budget circular includes indicative, multiyear ceilings (Nov 03) 2.1.2 Improved budget submissions linked to PC1s and demonstrating need and latent capacity (Dec 03 for first draft, [Mar 04] for final draft) 2.1.3 Budget allocations reflect priority and absorptive capacity of national health programmes (Jun 04)

(2.2) implementation

2.2.1 Outturns as % of budgets increase for FY03/04. 2.2.2 Outturns are more even throughout the financial year and meet programme needs (by end-Nov 03 to 30-35% and to 70-75% by end April).

MTBF TA Reports Preliminary and Final Draft Budget Submissions (December and March) Discussions with GoP officials Available minutes of budget setting meetings. Budget documents and AGPR expenditure info. MTBF TA Reports Discussions with GoP Monitor with WB Auditor Generals office LHW data

(2.3) financial management

2.3.1 Review of procurement rules and regulations (by Jan. 04) 2.3.2 CFAA Action Plan approved (May 03) 3.1 LHW programme coverage increases from 40% in 2001 to 90% of the target population by 2005. (LHWP target) 3.2 Number of service delivery outputs with correct staffing. (PRSP indicator)

3 Improved quality of service delivery of federal health and population programmes

PRSP monitoring

Improved quality of services encourages greater utilisation. Recruitment to fill vacant positions

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Narrative Summary

Objectively Verifiable Indicator 3.3 X% of MoPW service providers received refresher training by end 2004, with annual CPD by 2007. 3.4 TB DOTS coverage in ?60 districts by 2004, ?80 districts in 2005, with complete coverage by 2006? 3.5 EPI services improved in poor performing districts (those with less than 40% coverage) exact OVI to be determined after current international review 3.6 Contraceptives available in all population and health outlets 3.7 Preventive and treatment services available for all high risk (to HIV/AIDS) populations 3.8 Vitamin A/micronutrient coverage (exact OVI to come out of strategic framework). 3.9 RBM strategy operational in all high malaria prevalence districts by June 2006. 4.1 Policy capacity in MoH established, staffed and functioning (Dec 03). 4.2 Sufficient public health and epidemiological expertise in all national programme (Jun 04). 4.3 Contracting of services (private sector and NGO arrangements in place for TB and NACP by? 4.4 TA Management functions progressively absorbed into MoH during 2005-2007. 4.5 BCC capacity strengthened in NACP, malaria, TB and nutrition. 4.6 Federal assistance provided to Provinces in development of provincial strategies for national programme delivery. 5.1 Policy capacity in MoPW established, staffed and functioning (Jun 04). 5.2 Sufficient public health/FP expertise in MoPW (Jun 04). 5.3 Support to district for preparation of district population plans. 5.4 Refresher training and continuing professional development system reestablished (Jun 04). 6.1 TV/radio programmes dedicated to health and nutrition in coordination with ministries and other authorities (NHP indicator). 6.2 Population programme undertaking communication initiatives with opinion leaders, men and youth/adolescent groups (National Population Policy).

Data sources MoPW data NTP data EPI cluster surveys and programme data Population and health facility surveys NACP Surveys (?which) MCP data

Assumptions allowed to go ahead.

4 Improved capacities within MoH and programmes a. Policy Capacities b. Technical capacities c. Organisational and System Capacities d. Support to Provinces and Districts

Complementarit y with other donor TA plans sustained.

5 Improved capacities within MoPW a. Technical Capacities b. Organisational System Capacities Federal Provincial and District 6 Improved delivery of information regarding programmes to the public

Complementarit y with other donor TA plans sustained.

Programme reports Discussions with service user through NGOs. Discussions with Programme managers. International reviews.

Information dissemination leads to increasing awareness of services and awareness to utilisation.

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Narrative Summary Activities:

Objectively Verifiable Indicator Data sources Financial aid in 6 monthly tranches provided and disbursed MoF release of funds MoH, MoPW and programmes utilise funds TA management agency set up TA ToR produced and consultants provided Six monthly reviews undertaken

Assumptions 60m

0.5m 3.5m 0.5m

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APPENDIX E: STRENGTHS AND WEAKNESSES OF THE LOGFRAME APPROACH

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 cycle51 to help strengthen analysis and design during formulation, implementation, evaluation and audit. It involves identifying strategic elements (activities, outputs, outcome 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 nongovernment 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 Declaration52 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 OECD53 and UNDG54 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;
51

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. 52 http://www.oecd.org/dataoecd/11/41/34428351.pdf 53 http://www.oecd.org/dataoecd/29/21/2754804.pdf 54 http://www.undg.org/documents/2485-Results-Based_Management_Terminology__Final_version.doc

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relate activities and investment to expected results; 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.

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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 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

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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. 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 boxfilling. This is a common abuse of the tool. The individual at their desk or in their hotel room mechanistically filling in the matrix because thats 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.

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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. 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 LFAs 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 F: KEY REFERENCES

Asian Development Bank (2006), Guidelines for Preparing a Design and Monitoring Framework (DMF) www.adb.org/Documents/guidelines/guidelines-preparingdmf/guidelines-preparing-dmf.pdf Asian Development Bank (2006), An Introduction to Results Management www.adb.org/Documents/Guidelines/MfDR/Introduction-to-Results-Management.pdf. Ausaid guides to project cycle management (PCM) www.ausaid.gov.au/ausguide/default.cfm Cabinet Office and HM Treasury (2000).Your delivery strategy: a practical look at business planning and risk. www.civilservice.gov.uk/archive/civil_service_reform/busplan/WORD/Yds.doc Chevalier, J http-server.carleton.ca/~jchevali/Frontengl.html an eccentric Canadian website mainly on stakeholder analysis DFID (2002) Tools for Development www.dfid.gov.uk/pubs/files/toolsfordevelopment.pdf DFID (2003) Promoting Institutional and Organisational Development www.dfid.gov.uk/pubs/files/prominstdevguide.pdf DFID (2003) Promoting Institutional and Organisational Development: A Source Book of Tools and Techniques www.dfid.gov.uk/pubs/files/prominstdevsourcebook.pdf EU (2005) Institutional Assessment and Capacity Building: Why, What? And How? ec.europa.eu/comm/europeaid/reports/concept_paper_final_051006_en.pdf EU (2004) Aid Delivery Methods: Volume 1 Project Cycle Management Guidelines. ec.europa.eu/comm/europeaid/reports/pcm_guidelines_2004_en.pdf Flint M (2003) Easier said than done: A review of Results-Based Management in Multilateral Development Institutions. http://www.parcinfo.org/documents/Results Based Management/Review of RBM in Multilateral Development Institutions - 2003.doc Gasper D (1999) Problems in the Logical Framework Approach and Challenges for Project Cycle Management www.unssc.org/web1/programmes/rcs/cca_undaf_training_material/teamrcs/file.asp?ID= 341 Grimble, R.(1998) Stakeholder Methodologies in Natural Resource Management. NRI www.nri.org/publications/bpg/bpg02.pdf See also www.policy-powertools.org/index.html JICA (2004) Guidelines for Project Evaluation www.jica.go.jp/english/evaluation/guides/guideline.html Nunberg, B and Green,A. (2004) Operationalising political analysis: the Expected Utility Stakeholder Model and governance reforms. PREM Notes, World Bank www1.worldbank.org/publicsector/anticorrupt/PoliticalEconomy/PREMNote95.pdf) OECD/DAC (2006) Emerging Good Practice in Managing for Development Results. Available at www.mfdr.org/Sourcebook.html

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OECD (2005) Paris Declaration on Aid Effectiveness www.oecd.org/dataoecd/11/41/34428351.pdf Schmeer, Kammi (1999) Guidelines for Conducting a Stakeholder analysis. Partnerships for health reform www.phrplus.org/Pubs/hts3.pdf Swedish SIDA PCM guide www.sida.se/shared/jsp/download.jsp?f=SIDA1489en_web.pdf&a=2379 SIDA (2006 Logical Framework Approach with an appreciative approach at www.sida.se/shared/jsp/download.jsp?f=SIDA28355en_LFA_web.pdf&a=23355 SIDA (2005) The Use and Abuse of the Logical Framework Approach www.sida.se/shared/jsp/download.jsp?f=LFA-review.pdf&a=21025 UNDP (2002) Handbook on Monitoring and Evaluation for Results (2002) stone.undp.org/undpweb/eo/evalnet/docstore3/yellowbook/documents/full_draft.pdf UNDP (undated) Knowing the What and the How: RBM in UNDP, a Technical Note. http://www.undp.org/eo/documents/methodology/rbm/RBM-technical-note.doc UNICEF (2005) Understanding Results-Based Programme Planning and Management www.unicef.org/evaluation/files/RBM_Guide_20September2003.pdf World Bank website and in particular the Poverty and Social Impact Analysis pages; enter by http://www.worldbank.org/psia. World Bank interesting guidelines for doing stakeholder analysis www1.worldbank.org/publicsector/politicaleconomy/November3Seminar/Stakehlder%20R eadings/SAGuidelines.pdf

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APPENDIX G: THE CHIMBE CASE STUDY55 Country Assistance Plan summarised The Challenge
Chimbe has among the lowest per capita income (at $230) in Africa. Poverty is chronic and widespread; c.65% of the population is classified as poor, 29% as extremely poor. Growth is disappointing; well below the 5-6 % needed to make a real dent in poverty. Social indicators continue to worsen. The average total fertility rate is 6.3 and annual population increase 2%. Life expectancy at birth has fallen from 48 to 38 in the past decade; mainly due to AIDS and malaria. The country has a young and largely dependent population. Chimbe has limited natural resources; agriculture currently provides what little growth there is, but production is beset by degraded soil, erratic weather conditions and a system of land ownership and inheritance that does not encourage investment. Beyond tobacco, Chimbe has not yet found a sector or activity of comparative advantage. Because the country is land-locked with poor international communications, much of Chimbes produce is uncompetitive for export purposes. While progress has been made since 1994 in primary education enrolment, there is a low ratio of qualified teachers to pupils (1:88), inadequate provision for teaching and learning materials, and too few classrooms. For every thousand pupils entering primary education, only two qualify for tertiary. The prevalence of AIDS in the economically active 15-49 age group is 16.4% and rising. Since1994, when Chimbe held its first multi-party elections, there has been considerable progress in establishing the institutions and systems of democracy, including a new constitution. However government have not dealt vigorously with critical issues such as land reform and corruption or restoring macroeconomic stability. Nor have they implemented past policy commitments. The challenge for the Government of Chimbe is to move beyond populist policies and make the hard social and economic choices necessary to advance pro-poor objectives articulated in the impressive Poverty Reduction Strategy Paper (PRSP). The government plans to bolster the agricultural sector by increasing utilisation of land, intensifying production and shifting to higher value crops. They also plan to develop micro-, small- and medium-scale enterprises (MSMEs) and improve the legal frame work within which they operate. It is hoped that key reforms in land and credit markets will allow growth in other areas: natural resources, manufacturing, tourism and small-scale mining. Success will depend on a number of factors, not least, improved governance.

55

Based on the DFIDMalawi CAP 2003

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Our Response
Through its Country Assistance Plan, we will support the Government to achieve its PRSP goals, to better equip it to deliver sustainable services to the poor and to help mitigate risks that threaten to derail these processes. A significant part of UK assistance will be aimed at improving services so that over time, government will be better equipped to deliver sustainable services to poor people. Our contribution will focus on three core areas over the CAP period: measures to enable sustainable growth and improve livelihoods better service delivery to the poor pro-poor governance. We hope to provide support through a variety of aid instruments. Budget support We intend to increase our support as part of the recently-formed joint donor mechanism, the Poverty Reduction Budget Support Group. We propose to link budget support to performance in key sectors, consistent with PRSP monitoring indicators. In parallel with this we will continue to work with government and other donors to improve standards of financial accountability. This will involve appropriate technical assistance including support for anti-corruption measures, progressing the Medium Term Expenditure Framework and conducting expenditure tracking studies. We and the EU are interested in drawing up a joint budget support agreement. Harmonised Sector Programmes We plan to rationalise our project portfolios within three main programmes; Health, Education and Livelihoods: Health We will provide strategic support to the Ministry within the framework of the National Sexual and Reproductive Health Programme (SRHP) and basketfunding of the National TB Programme. We will encourage more plural ways of working e.g. public-private partnerships. Education We will work towards whole school improvement through enhanced capacity of teachers and communities to implement a reformed national primary curriculum. We will collaborate at District level in the building, rehabilitation and resourcing of school classrooms, increased community responsibility and capacity to manage schools, combined with better district capacity to deliver education. We will support improved planning and management capacity at district and central government levels. Coordinated efforts are needed to support improved education service delivery via sector wide funding. Livelihoods We seek to support and influence land policy reform, the National Safety Nets Programme (NSNP), the Forestry Sector Support Programme (FSSP)

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and the Agricultural Sector Investment Programme (ASIP). Development of a rural livelihoods strategy will develop knowledge of how AIDS is deepening poverty in rural areas and of how best to respond, including through NSNP, FSSP and ASIP. Pro-poor governance programmes PRSP implementation / poverty monitoring We will work with Government and other partners (donors, civil society, private sector, media) to strengthen capacity to monitor and evaluate implementation of the PRSP. The Government is committed to developing a Poverty Monitoring Master Plan. Civil society organisations will be key partners in this process. Key steps will be in fostering peer review and lesson learning mechanisms. Public financial management Our programme will include well-targeted technical assistance to help strengthen public financial management systems including fiscal control. Voice, accountability and rights Chimbe is a young and developing democracy. Poor peoples voice and the capacity to question the state and press for change, remain undeveloped. An appropriate programme of ourselves with USAID and CIDA support is being developed. We will maintain its support to strengthen civil societys capacity to work with government at the policy level including through regional and centrally funded CS initiatives. Cross-cutting programmes HIV/AIDS We will support the implementation of an HIV/AIDS mainstreaming strategy to promote an effective multi-sectoral response covering prevention, care and impact mitigation. It will contribute to the implementation of the National Strategic Framework for HIV/AIDS through continued collaboration with sexual and reproductive health programmes and harmonised donor work with the National AIDS Commission. Environmental sustainability We will consider how best to work with other donors to ensure capacity development of Chimbian partners, environmental sustainability and poverty-environment linkages. Food Security We will help to ensure the spectre of food shortage is minimised. Beyond inputs for food production we will contribute to the longer term development of the National Food Security Strategy and continue to provide humanitarian assistance as needed.

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APPENDIX H:

POLICY SHIFTS IN DEVELOPMENT

This is a potted history of development over the last 50 years. It does not pretend to be complete and obviously the timings blur at the edges; some aspects of policy or context you may feel pertain to other decades as well. But what about current trends in policy and context; what would you highlight for the late 2000s? Period Development Policies International Context 1950s 60s Economic Growth through Rapid, aid-funded, post-war reconstruction as model of the modernisation based on state-led successful planned economy industrialisation, both Western models and state socialism Increase in influence of Bretton Woods system; IMF, WB, GATT Focus on GNP Cold War; competition for Green Revolution influence over Third World Trickle Down countries Infrastructure and capital aid The Vietnam war The decline of colonialism; independence of most former colonies The Population Bomb 1970s Collapse of international Continued reliance in import monetary system of fixed substituting industrialisation exchange rates Focus on basic needs and proemployment strategies. Expansion of international capital markets Integrated rural development Programmes Oil price shocks of 1973-74 and 1978-79 Appropriate technology Declining relative value of Transfer of technology commodities to manufactured Trade and aid; tied aid goods Food security Limits to Growth More Green Revolution Environment on the development agenda 1980s Continued dramatic success of Structural adjustment policies, several Asian economics and proreducing state control on market policies in western economies and opening up to countries international trade Deepening debt crisis Women in Development (WiD) programmes Growing rate and scale of environmental degradation Training for Development Growing power of trans-national More trade and aid; tied aid corporations Start of participatory approaches / PRA Sahelian droughts Live Aid Thatcher and Reagan Farming systems approaches Indigenous technical knowledge The Brundtland Report Our common future 1990s End of Cold War, redefining of Poverty moves to centre of roles with respect to governance development; explicit and and security multidimensional anti-poverty strategies 1990 First HD report

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Period

2000s

Development Policies Participation and empowerment Human rights Good Government HIV/AIDS Sustainable development and the environment Livelihoods approaches Shift from WiD to gender and development approaches Working with civil society and the private sector; redefining the role of government Decentralisation International Development Targets HIPC PRSPs and the PRSP process Away from projects; different aid instruments; SWAPs, PRBS Results based management NEPAD Monterrey, Rome and Paris; commitments in financing, harmonisation and aid effectiveness Commitments to spending in poorest countries; MICs & LICs Commission for Africa Doubling Aid; eg International Finance Facility Value for money objectives Risk mgt focus more than just risks to achievement of objectives ? ? ? ? ? ? ?

International Context 1992 Rio Earth Summit Globalisation Debt remission campaigns East Asian financial crisis focuses attention on role of international financial institutions 1997 Change of UK government 1999 Seattle WTO talks collapse

Doha Development Round 9/11, Bali, Madrid, London The War against Terror Afghanistan Iraq Cancun and Hong Tong trade talks Indian Ocean tsunami Millennium Project and Campaign Millennium Development Summit Global Warming Stern Report ? ?

? ? ? ? ? ?

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APPENDIX I: THE ELABORATED PROJECT CONCEPT NOTE

The purpose of a Concept Note is to present an idea and thereby seek clearance to proceed with and spend on design. (This is distinct from approval of a completed design to proceed with implementation). For our purposes the Elaborated Concept Note will be half way between a preliminary idea and a fully worked up submission The format will include: 1. 2. Project Title and name of Project Officer (you) Basic Information: Project objectives how do they relate to Millennium Development Goals and/or Poverty Reduction Strategy Plans overall objectives and those set in the Country Strategy Paper / Assistance Plan as appropriate rough cost principal programme/project partners and recipient institution(s) other donors (if any) The remaining sections should be completed as far as is relevant to the case being made. 3. 4. 5. 6. 7. 8. 9. Problem or Objectives Tree Stakeholder Analysis Statement (drawing on 2 & 4 above) of who it is planned will be consulted during design and appraisal (and how). Draft Logical Framework (at least to Goal, Purpose and Output level, with ideas for Indicators rather than Targets) Risk Analysis Projected timetable of steps to project approval. Significant Policy/Design/Implementation issues.

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