Planning, monitoring
and evaluation
Formats & Project Cycle
Management (Logical Framework
Approach)
Koen De Koster – VLIR-UOS Programme Officer
Project Cycle Management
“Defines different phases in the project
(programme) life with a well-defined process of
involvement of different stakeholders,
management activities and decision making
procedures”
2
Identification (South Proposal) to
Formulation: Partner Programme (PP)
•
PP = critical document outlining all details for the first 5 year phase:
programme, projects, problem analyses, results frameworks, planning,
etc.
•
Guiding document? south concept notes
•
Developed during pre-partner programme
•
Key moment: formulation mission  Parallel project level workshops
with stakeholders
•
Preceded by LFA training
3
Partner Programme
document?
PARTNER PROGRAMME (PP)
FORMAT – Programme level
1.
2.
2.1.
2.2.
2.3.
2.4.
2.5.
Facts and Figures
IUC Phase I Partner Programme
Programme Objectives
Complementarity and synergy – external and internal
Sustainability strategy of the IUC cooperation
Transversal themes of the Belgian Development Cooperation
Programme level annexes
Programme level annexes to the proposed Phase I Partner Programme
Annex 1:
Partner Programme monitoring framework and budget
Annex 2:
Management manual including Partner Programme policies
Annex 3:
Strategic plan of the university
Annex 4:
The partner university organogram
PARTNER PROGRAMME (PP)
FORMAT – Project level
1. Project n°1: <Project title>
1.1
Presentation of the project partners
1.2
Problem analysis
1.3
Project strategy
1.4
Budget and operational planning for Phase I
…
7. Project n°7: <Project title>
8. Project level annexes
Project level annexes
Project Annex 1:
LFM - OP – RM
Project Annex 2:
Project budget overview for the entire Phase I
Project Annex 3:
Mobility for year 1 (cfr format, own formats allowed)
Project Annex 4:
Problem tree
Project Annex 5:
Participatory Assessment of academic unit (optional)
How to arrive at a PP?
How to?
•
VLIR-UOS mainly uses the Logical Framework Approach,
combined with some Theory of Change concepts.
•
Logical Framework Approach is a participatory P,M and E tool
and process, and is wider than the format itself
•
Ideally finalised during formulation
•
Preparation by local PL
& team + stakeholders
in preparation of
formulation phase
•
Typically in a workshop
setting (formulation
mission) with facilitation
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Planning, Monitoring &
Evaluation
Strategic evaluation:
- Mid-term evaluation
- Final Evaluation
Programming
Identification
& Selection
Evaluation
Problem Analysis
Strategic monitoring
Monitoring results
(both indicators and
programme theory)
Risk management
Operational monitoring
Activities
financial
Implementati
on
Formulation
Strategic planning
Programme Theory
Planning for monitoring
Risk management
Operational planning
Activities
Budget
12
Logical Framework Approach
during formulation
Analysis Phase
Planning Phase
1. Stakeholder Analysis 1. Logical framework
Map pathway of change
2. Problem analysis
(current situation)
3. Analysis of
objectives (Future
“improved” situation” ;
Identify domains of change)
Define monitoring, evaluation and
learning priorities and process
2. Activity scheduling
identifying key deliverables
3. Resource scheduling
4. Strategy analysis
Comparison of various
options and selection
(Identify strategic priorities)
13
1. Stakeholder Analysis
1. Identification: identify stakeholders  “individuals, groups
of people or organisations who have an interest (a stake)
in the (proposed) project and hence can have a positive or
negative influence or contribution”
2. Analysis:
1.
Analysing stakeholders interests/attitudes
2.
Analysing Stakeholder Power and Influence
3.
Take into account potential differences for men and women
 gender-sensitive analysis can unravel possible gender
inequalities
3. Defining stakeholder management
14
2. Problem Analysis
•
« identifies the negative aspects of an existing situation
and analyses the ‘cause and effect’ relationships
between the identified problems »
1. Definition of the initial scope
2. Identification of the major problems faced by target
groups and (in)direct beneficiaries
3. Visualise the problem analysis and the hierarchy of
problems (cause and effect relationships) using a
Problem Tree (other possible methods include: Mind Maps or
Rich Picture)
16
2. Problem Analysis –
problem tree
Decreasing
incomes of
artisanal
fisherfolk
Effects
Decreasing
fish stocks
Causes
Destruction of
coral &
mangrove
habitats
Illegal fishing
methods
applied
Low price received by artisanal
fisherfolk in the village
Processed fish
is of bad
quality
Limited access
to markets
19
Rich Picture
2. Problem Analysis –
problem tree
Insufficient
integration of
research methods in
education
Insufficient research
equipment
Know-how on the
organisation of
research is lacking
Absence of fully
fledged labs
…
Lack of central government
policies
Low FI in sector
Insufficient research capacity
Inadequate quality of HR in
sector
Insufficient evidence based
policy-making
Low income of households
…
Development
problem
3. Analysis of objectives
“Identifying domains of change”
• Key question: what needs to change in order to
achieve the desired change? Who and what
needs to change in order to achieve the desired
change?
• Output: identification of different domains of
change (different actors, different levels, etc.) 
“hierarchy of objectives”
• Most used method: objectives tree.
3. Analysis of objectives
Incomes of
artisanal fisherfolk
increased
Ends
Rate of decline in
fish stocks arrested
Means
Coral & man-grove
habitats conserved
Incidence of illegal
fishing reduced
Price received by artisanal
fisher-folk increased
Quality of fish
processing
improved
Access to markets
improved
24
4. Analysis of Strategies
Identifying strategic priorities
• Exploring and deciding on strategic priorities within
the domains of change towards the desired
change (defining final scope/priorities);
• … based on an assessment of the relevance, the
feasibility and the sustainability the objectives;
• … to concentrate on what is really important,
effective and feasible. What can you realistically
attain in the next 5 years?
26
4. Analysis Of Strategies
In
Incomes of
artisanal fisherfolk
increased
Out
Rate of decline in
fish stocks arrested
Coral & man-grove
habitats conserved
Incidence of illegal
fishing reduced
Price received by
artisanal fisher-folk
increased
Quality of fish
processing
improved
Access to
markets
improved
27
Sufficient, reliable and affordable
energy supplies for all Rwandans
Better management of
demand side
Adequate forecasting
of demand
Electricity Generation
performance
Electricity Transmission
and Distribution
Performance
Improved
Operations &
Maintenance
Better billing
Phasing of extensions
Working on adapted
tariffs to discourage
consumption during
peak hours
Construction of
Power Plants,
transmission lines,
distribution lines
(out of scope)
Better Commercial
performance
Rehabilitation of
Power Plants,
Transmission and
Distribution
infrastructure
Accessibility of
commercial services
for clients
Avoidance of nontechnical losses
Objectives
Deliverables related
to education
improvement
Research
deliverables
Strengthened
research or
education capacities
Infrastructure and
equipment
(functional)
Improved Research
practices
Improved Education
practices
New knowledge is created
through research + Uptake
of research results by
relevant stakeholders
Contribution to
development
change
Logical Framework Approach
during formulation
Analysis Phase
Planning Phase
1. Stakeholder Analysis 1. Logical framework
Map pathway of change
2. Problem analysis
(current situation)
3. Analysis of
objectives (Future
“improved” situation” ;
Identify domains of change)
Define monitoring, evaluation and
learning priorities and process
2. Activity scheduling
identifying key deliverables
3. Resource scheduling
4. Strategy analysis
Comparison of various
options and selection
(Identify strategic priorities)
30
Logical framework
Intervention Logic
Objectively Verifiable
Indicators OVI
Sources of
Verification SOV
Risks/Assumptions
GENERAL OBJECTVE
SPECIFIC OBJECTIVE(S)
INTERMEDIATE RESULTS
ACTIVITIES
31
1. Logical framework
Map pathway of change:
Define results at different
levels, reflect on their
internal logic, formulate
assumptions/risks
Define monitoring,
evaluation and learning
priorities and process:
developing indicators to
measure results (and
risks)
1. Logical framework: pathway of
change (programme theory)
1. Detail the pathway of change (causal pathway; cfr.
objectives tree):
2. Make implicit assumptions/ risks/ preconditions underlying
the intervention logic explicit
3. Do results work out differently for men/women?
4. Determine your intervention’s results at different results:
• General objective (Impact)
• Specific objective(s) (outcomes)
• Intermediate results (outputs)
5. You can now fill in the first column of the logical framework
Examples of
detailed
pathways of
change
Logical framework
Intervention Logic
Objectively Verifiable
Indicators OVI
Sources of
Verification SOV
GENERAL OBJECTVE
SPECIFIC OBJECTIVE(S)
INTERMEDIATE RESULTS
ACTIVITIES
37
1. Logical framework
Results
level
Level of
control
Outputs
IR’s
Specific objective(s)
(outcome level)
General objective
(impact level)
Sphere of control
Sphere of influence
Sphere of interest
Products or services
What?
Changes for
(can also include use of beneficiaries
outputs)
Contribution to a change
at level of society
Resulting
from…
Resulting from activities
Change resulting from
the use of outputs
Resulting from the
achievement of a
combination of (other)
outcomes
When?
Achieved during the
intervention
Achieved at the latest at
the end of an
intervention
Appears (mostly) after the
end of an intervention
Standard project
Outputs (intermediate results)
Deliverables related to
education improvement
Research deliverables
Outcome (Specific objective)

Changes
in
behaviour

Uptake
Infrastructure and
equipment (functional)
 Use
of
outputs
Sphere of control
Achieved during
intervention
 Results obligation
Uptake  Use
(application of
innovation)
Contribution to
development change
Improved Education practices
Strengthened research or
education capacities
…
Improved Research practices
Impact (general
objective)
New knowledge is created
through research + Uptake of
research results by relevant
stakeholders
Long-term effects
“effect of doing things
differently”
 Effects of
extension
Sphere of influence
Beneficiary
Why do we do
it?
Society
Achieved before end of intervention
 Best efforts obligation
Achieved after the
end of the
intervention
 Contribution
Logical framework : defining
M&E priorities
Indicators
• Objectively Verifiable Indicators:
•
•
•
… to demonstrate the achievement of results at
different levels (IR, SO, GO)
…to feed into the intervention’s learning process
(e.g. indicators related to
assumptions/hypotheses)
+ Next to unique indicators, pick indicators from
standard indicator list
•
Determine how indicators will be measured (Source of
Verification)
•
Disaggregate by sex when possible
Logical framework : defining
M&E priorities
Risks/assumptions  can negatively affect an
intervention
•
•
(Identification) Integrate assumptions/risks in the risk
management matrix + identify other risks (FIN, COM, OP,
STRAT, REP)
Analyse risks
•
Define risk responses
Risk Management Matrix
RISK MANAGEMENT MATRIX --> For instruction please see Annex document on Monitoring and Evaluation (pages 18-22)
PROJECT TITLE:
Identification
Date identifica Risks
tion
Assessment
Probability
Control
Potential Total risk
Response (incl. timing)
impact
level
0
0
0
0
0
0
0
0
0
Follow-up
Owner
Follow-up
Standard indicators
RESEARCH
1Number of articles in international peer reviewed journals
2Number of articles in national peer reviewed journals
3Number of conference proceedings (full paper)
4Number of chapters in books (based on peer review)
Number of books with international distribution (author or
5editor)
Number of working/technical papers/popularising
6literature/articles
7Number of Research protocols
EDUCATION
Number of new or substantially updated Bachelor
8programmes developed (curriculum)
9
Number of new Bachelor programmes accredited
Number of new or substantially updated Master programmes
10developed(curriculum)
11
Number of new Master programmes accredited
Number of new or substantially updated PhD programmes
12developed (curriculum)
13
Number of new PhD programmes accredited
14Number of new courses developed
Reach (number of students) of new courses (disaggregated
15by sex: male: - female: - total:)
16Number of syllabi/textbooks developed
E-Learning packages developed (distance learning, CD-rom
17etc.)
HR DEVELOPMENT
Number of Master students supported by the project that have
graduated during the reporting year (disaggregated by sex:
18male: - female: - total:)
Percentage of academic staff with a Master degree by
relevant institutional level (department or faculty level;
19disaggregated by sex: male: - female: - total:)
Number of PhD students supported by the project that have
graduated during the reporting year (disaggregated by sex:
20male: - female: - total:)
Percentage of academic staff with a PhD degree by relevant
institutional level (department or faculty level; disaggregated
21by sex: male: - female: - total:)
EXTENSION AND OUTREACH
22Number of presentations or workshops and reach
23Number of citations in local media
24Number of training modules package developed
25Number of audio visual extension materials
26Number of spin-offs/incubators
27Number of policy advice/papers
2.-3. From logframe to activity
and resource schedule (incl.
Phasing)
Operational Plan
Intermediate Result/Activity/Sub-activity
BUDGET (2)
R
500
500
10 000
M
A
1 2 3 4 5 6 7 8 9 10 11 12
AprM ayJunJulyAugSep Oct NovDec JanFebMarc
1.1 Hep vaccine in health care Workers
1.1.1
1.1.2
1.1.3
1.1.4
1,2
1.2.1
1.2.2
1.2.3
1.2.4
Survey all higher education institutions in SA regarding HBV vaccination policies and training
Survey all categories of HCWs for knowledge, attitudes and practices (KAP) regarding HBV vaccination
Perform serological and molecular tests on HCWs surveyed in 1.1.2
Link KAP survey data of 1.1.2 to data obtained from 1.1.3
Health problems, health risk behaviours and obesity in HCWs (later in staff and student HCWs)
Conduct baseline survey of health risk behaviors and health problems in 3 settings
Develop training packages for interventions
Set up intervention facilities i.e. exercise and group sessions venue
Conduct intervention research in various settings respectively (RCTs, Quasi experiments and PAR)
x x x x x x x x x
x x x x x x
x x x x x x
x x x
x x x
x x x
x x x
500
L
500
5 000
nil 48
What about the programme
level? PSU?
No full PCM approach, but…
•
•
•
•
An implicit programme theory
A results framework with overall objectives
A set of indicators
Operational plan
No full PCM approach, but…
• Risk management
• An operational plan and budget
IUC programme?
In targeted
departments
Standard project
(outputs)
Improved Research practices
Improved Education practices
Programme
Support Unit
Contributes
to
New knowledge is created through
research + Uptake of research
results by relevant stakeholders
More performant institutional
policies and/or services
Contribution
to different
developmen
t changes
University as a
development
actor
Institutional
capacities
improved
Programme level
framework
Transversal projects
Project perspective
Programme
perspective
Thank you for your attention
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