Logical Framework Analysis/Approach (LFA)

OBJECTIVES
1. Introduce Logical Framework Analysis/Approach (LFA) and its uses. 2. Familiarize with the main steps involved in conducting an LFA. 3. Give a concrete example. 4. Exercise on the Project Planning Matrix (?).

INTRODUCTION
LFA was first developed by Practical Concepts Inc. in 1969 for the U.S. Agency for International Development (USAID). It has since been widely adopted and adapted by the international donor community and is used for participatory project planning, as an analytic tool for project approval, or as a monitoring and evaluation framework.

What is LFA?
A designing approach that can be used for planning, implementing and evaluating projects or programmes.

Purpose of LFA
The purpose of LFA is to undertake participatory, objectives-oriented planning that spans the life of project or policy work to build stakeholder team commitment and capacity with a series of workshops. The technique requires stakeholders to come together in a series of workshops to set priorities and plan for implementation and monitoring.

The two terms Logical Framework (LF or Logframe) and the Logical Framework Approach (LFA) are sometimes confused. The LogFrame is a document, the Logical Framework Approach is a project design methodology. For most purposes the three terms; Logical Framework Approach, ZOPP and OOPP are terms for the same project design methodology or process. The terms OOPP and ZOPP mean respectively; Objectives Oriented Project Planning and in German Ziel Orientierte Projek Planung. All three terms refer to a structured meeting process which we will refer to as LFA.

Steps LFA
1. Situation Analysis Stakeholder Analysis Problem Analysis Objective Analysis 2. Strategy Analysis 3. Project Planning Matrix Matrix Assumptions Objective Indicators Verification 4. Implementation 5. Monitoring 6. Evaluation

The LFA approach begins by analyzing the existing situation and developing objectives for addressing real needs. A situation analysis has as its core task to find out the actual state of affairs with respect to an issue to be analyzed; it is focused by problems and an attempt to understand the system which determines the existence of the problems.

The analysis phase is the most critical, yet most difficult, phase of the logframe approach. The analysis phase consists of three stages:
1. Analysis of stakeholders 2. Analysis of problems 3. Analysis of objectives.

Stakeholders Analysis
In using the LFA approach, the stakeholder analysis is an analysis of the problems, fears, interests, expectations, restrictions and potentials of all: important groups organisations and institutions implementing agencies other projects and individuals who may have an influence on a situation/(intended) project or are themselves affected by it. Those analyzed in detail should be limited to those who are perceived to: be able to contribute to questions to be answered . be important with regard to decisions to be taken. They should constantly be referred to in developing the LFA.

Who are the stakeholders involved in the project and how are they affected?
Key questions to ask in preparation for developing the logframe are: 1. 2. 3. 4. Who will be involved in the logframe development? Where will the development be conducted? Who will facilitate the development of the logframe ? What background materials, papers and expertise may be needed? 5. What materials and logistics are required?

The Stakeholders
Stakeholders include those who directly benefit from or have a legitimate interest in the company's activities and all those who have an impact and/or are affected by the impact, due to the company's performance and actions. The corporate community and the wider community are all stakeholders. Corporate community includes the management, employees, shareholders, joint ventures/partnerships/subsidiaries, suppliers and contractors, customers and consumers. Wider community includes the ecosystem, the local government, the host communities and the indigenous communities. Foremost, the generations to come are indispensable stakeholders and must be taken into account in all corporate affairs. What we do or not do today will certainly impinge on the future generations.

Problem Analysis
The analysis phase usually begins with an analysis of problems. The problem analysis is undertaken by identifying the main problems and developing a 'problem tree' through an analysis of cause and effects. Key questions. 1. Which are the problems the project is addressing? 2. What are the root causes of those problems? 3. What is the larger picture in which those problems and their root causes exist? 4. What are the links between the problems?

Problem Tree
A main output of the problem analysis is the problem tree. The first procedure in problem analysis is brainstorming. Before the brainstorming exercise commences it is important that the facilitator explain the process and the group agrees on some rules for brainstorming.

Agreement and Consensus

If there is no agreement between participants on the statement of the problem, it is unlikely there will be agreement on the solution. This stage therefore seeks to get consensus on the detailed aspects of the problem.

Brainstorming
Brainstorming techniques can be used to identify the main problems. All participants are invited to write their problem ideas on small cards. (approximately 8 in by 4 in.) The participants may write as many cards as they wish. The participants then group the cards or look for cause-effect relationship between the themes on the cards by arranging the cards to form a problem tree.

Clustering
After all of the problems are displayed they should then be clustered into groups of similar issues

The problem tree is developed by: 1. moving problems from the clusters of problems 2. adding new problems that emerge 3. problems can be moved up or down the tree as required

Objective Analysis
A procedure for systematically 1. identifying 2. categorizing 3. specifying 4. balancing out objectives of all parties involved in a specific situation

Objective Tree
In this step the problem statements are converted into objective statements and if possible into an objective tree. 1. Problems are restated as objectives The problem tree is transformed into an objectives tree by restating the problems as objectives. 2. Positive mirror image of the problem tree The objectives tree can be viewed as the positive mirror image of the problem tree. It is usually necessary to reorder the position of objectives as you develop the tree.

Means and Ends

The objectives tree can be considered as an 'endsmeans' diagram. The top of the tree is the end that is desired and the lower levels are the means to achieving the end. Based on this objectives tree, certain means are feasible and some are perhaps outside the scope of the problem. Nonetheless, these means provide the foundation for developing programmes, projects or strategies to address the problems discussed earlier.

Just as the problem tree shows cause-effect relationships, the objective tree shows meansend relationships. The means-end relationships show the means by which the project can achieve the desired ends or future desirable conditions.
Frequently there are many possible areas that could be the focus of an "intervention" or development project. The next step addresses those choices.

Strategy Analysis
searching for and deciding on solutions follows the problems and objectives analysis prerequisite to designing action strategies Points to consider overall concepts, strategic plans, objectives people, target groups, organizations, agencies methods, procedures, processes technologies, services, products, outputs measures, actions, materials, inputs

Conducting a Strategy Analysis

1. ordering sequence of the problem and objective trees 2. clustering objectives 3. feasibility of different interventions 4. continuous task in project management

Alternatives Analysis
The objective tree usually shows the large number of possible strategies or means-end links that could contribute to a solution to the problem. Since there will be a limit to the resources that can be applied to the project, it is necessary for the participants to examine these alternatives and select the most promising strategy. After selection of the decision criteria, these are applied in order to select one or more means-end chains to become the set of objectives that will form the project strategy.

Project Planning Matrix

(1) Matrix (2) Assumptions (3) Objective Indicators (4) Verification

Narrative Summary

Objectively Verifiable Means of Verification External Factors Indicators - OVIs -MOVs (Assumptions)

Development Objective

Immediate Objective

Outputs (Results) 1. 2. 3. Activities 1. 2. 3. 4. Inputs 1.1 1.2 1.3 1.4

Column headings - definition of terms

Narrative Summary: This term used to describe the text that "narrates" the objectives. It could have been given the title "Hierarchy of Objectives", but this might be misleading because the bottom cell in the column is a summary of the activities.

Column headings - definition of terms

Objectively Verifiable Indicators (OVIs): These are the measures, direct or indirect that will verify to what extent the objectives have been fulfilled. The term "objectively" implies that if these should be specified in a way that is independent of possible bias of the observer.

Column headings - definition of terms

Means of Verification (MOVs): These statements specify source of the information for the measurements or verification specified in the indicators column. For example, will statistics from an external source be used for the verification or will project resources be used to gather the statistics.

Column headings - definition of terms

External Factors (Assumptions): These are important events, conditions, or decisions which are necessarily outside the control of the project, but which must remain favorable for the project objective to be attained. The implication here is the design team have an obligation to consider what might derail their efforts and to plan responsibly to reduce that risk of "derailment".

Row headings - definition of terms

Development Objective: The higher level objective that the project is expected to contribute to. The addition of the word "contribute' implies that this project alone is not expected to achieve the development objective. Other project's immediate objectives are expected to also contribute.

Row headings - definition of terms

Immediate Objective: The effect which is expected to be achieved as the result of the project delivering the planned outputs. There is a tendency for this to be expressed in terms of the "change in behavior" of a group, or institution and the project outputs are expected to facilitate this change.

Row headings - definition of terms

Outputs: These are the "deliverables" the tangible results that the project management team should be able to guarantee delivering. The objective statements should specify the group or organization that will benefit. Outputs are delivered, usually on a certain date or dates.

Row headings - definition of terms Activities: These are the activities that have to be undertaken by the project to produce the outputs. The activities take time to perform.

Row headings - definition of terms

Inputs: These are the resources that the project "consumes" in the course of undertaking the activities. Typically they will be human resources, money, materials, equipment, and time.

Vertical Logic
Vertical Logic: The vertical logic is the reasoning which "connects" the three levels of objectives in the matrix; the outputs, the purpose, and the goal. For example achievement of all the output level objectives should lead to achieving the purpose. Each of these links between the objectives is connected by a hypotheses. For example at the bottom level - the implementation hypotheses the implication is "we believe that in the environment of this project the planned outputs will produce the planned result. At this level, the hypotheses are usually supported by research or experience. The explanation of the hypotheses at the other levels is similar.

Horizontal Logic
The horizontal logic has similar features to the vertical logic. In this case, the links between the levels of objectives are the items in the External Factors column. For example, if the project is successful in implementing all of the planned activities, we ask ourselves, what circumstances or decisions (outside the project's control) could prevent the delivery of the project outputs.

Implementation
Operational phase of a project to achieve the expected outputs/results Plan of Operations 1. workplans / work schedules 2. project budget / resources plans 3. personnel plans 4. material and equipment plan / procurement plan / staff 5. training plans

Plan of Operations
Implementation should have a plan of operations i.e. the detailed plan for the implementation of project. It is established by the project team and will be documented as: workplans / work schedules project budget / resources plans personnel plans material and equipment plan / procurement plan / staff training plans. The work plan and the project budget constitute the core of the Plan of Operations.

Figure 5: Feedback Loops of Miarayon Problems

LACK OF PARTICIPATION IN THE POLITICAL ARENA

+ +
COMMUNICATION BARRIER BETWEEN TEACHERS & STUDENTS NEGATIVE ASPECTS OF CULTURE REMAINS LOSS OF INTEREST TO STUDY IPs POORLY EDUCATED

PEACE & ORDER PROBLEM

ABSENCES

+
CANNOT SEND CHILDREN TO SCHOOL

++
POOR BASIC EDUCATION

LOW PRODUCTIVITY OF PEOPLE / PLACE LOW REVENUE (LGU)

+
LIMITED CAPACITY FOR INTERVENTION

LOW INCOME

++

+
RESISTANCE TO TEACHERS COMING FROM OUTSIDE OF THE TRIBE

BAD ROADS SELL TO MIDDLEMEN

+ +
NO QUALIFIED IP TEACHER

+ +

LOW OPPORTUNITY FOR EMPLOYMENT / LIVELIHOOD

+ -

LIMITED ACCESS TO MARKET

Figure 6: Areas of Interventions

CARTWHEEL
GOVT NGOs
PRIVATE

LACK OF PARTICIPATION IN THE POLITICAL ARENA

CAP ABIL ITY BU

ILDI NG

/ ED UCA TION

+ +
IPs POORLY EDUCATED

PEACE & ORDER PROBLEM

+
COMMUNICATION BARRIER BETWEEN TEACHERS & STUDENTS NEGATIVE ASPECTS OF CULTURE REMAINS

LOSS OF INTEREST TO STUDY

ABSENCES

+
CANNOT SEND CHILDREN TO SCHOOL

++

EN TE RP RI SE

LOW PRODUCTIVITY OF PEOPLE / PLACE LOW REVENUE (LGU)

+
LIMITED CAPACITY FOR INTERVENTION

+
EN T

LOW INCOME

++

+
RESISTANCE TO TEACHERS COMING FROM OUTSIDE OF THE TRIBE

POOR BASIC EDUCATION

DE VE LO PM

BAD ROADS

+ +
NO QUALIFIED IP TEACHER

+ +

LOW OPPORTUNITY FOR EMPLOYMENT / LIVELIHOOD

+ -

SELL TO MIDDLEMEN

+
LIMITED ACCESS TO MARKET

SWOT Analysis S-W

Strengths Weaknesses

O-T
Opportunities S-O STRATEGY W-O STRATEGY

Threats

S-T STRATEGY W-T STRATEGY

Strengths
Scholarship program indicates high possibility of continuing demand High competence in the Adult Education Program Intervention through CADT giving sense of security to the IPs Innovative approaches to sourcing of funds Has established credibility among the donors; increasing interest of funders in Cartwheels programs Developed social capital within government agencies, other development organizations, and business organizations

Weaknesses
Low level of success in the Pre-School Program Mismatch of the products and services to real clients needs Some programs (medical/dental, etc.) not within their competence Heavily dependent on grants and donations Donations showing a downward trend

Opportunities
High demand in secondary, post-secondary education, & adult education CADT assures the IPs ownership and management of the lands they are tilling Availability of uncultivated land suitable for high yield vegetables & coffee Need for sustainable devt program demanded by ADSDPP as mandated by NCIP Available funding for sustainable and capacity-building program for IPs is one of the major coffee-producing regions have several export markets for coffee like , , , , etc.,

Threats
Issues and needs of the IPs not given significance / priority of the LGU Low educational attainment of the IPs Lack of access to secondary schools IPs lack the capacity to participate in the socio-political affairs of the municipality Volatile peace and order situation Farming is the primary source of income Limited access to market Disturbances caused by agitation of land claimants

S-O STRATEGY
Implementation of ADSDPP (political empowerment, peace and order, cultural preservation)
Capacity-building of IPs; expansion of Adult Education (education) Bridging market and community (economic benefit)

W-O STRATEGY
Shift program to adult / secondary / post-secondary education (education) development (economic benefits)

S-T STRATEGY
Capacity-building of IPs through education (education)
development (economic benefits)

W-T STRATEGY
Strengthening and expansion of scholarship program (education)

Support H/S (St. Therese of Miarayon) Building collaboration with government, NGOs (education) and the business sector (political & social development (economic benefits) capital, economic benefit)

Stakeholder MILALITTRA / Tribal Leaders

Interest on the Program Security of land tenure; productivity

Position on the Impact of the Program Program Support Capacity-building; political participation; livelihood opportunities

Influence on the Program High

Womens Group Help provide food for the family; additional income; education for the children
Fr. Kit Bautista - Miarayon becoming a pilgrimage site and a bridge CFI between the poorest of the poor and richest of the rich Parish Priest / Increased enrolment in high school; improved quality Principal of education; evangelization and preservation of culture Gina PreProvide equal access to quality education to as many School children in the country CFI Increase literacy rate and improve self-sufficiency of IPs Peace and order; improvement of income of IPs Promotion and protection of the rights of IPs; implementation of IPRA and ADSDPP Promotion of general welfare; local autonomy; delivery of basic services; agricultural productivity; peace and order More profit from trading activities Evangelization; promotion of education

Support
Support

Additional source of income; capacitybuilding; education of children

Realization of his dream; abridgement of social gaps between rich and poor

Moderate
High

Support

Increased enrolment; expansion of services; High improvement of educational facility Phasing-out of pre-school High

Potential opposition Support

Financial sustainability; focusing of High programs; matching services to needs of IPs Increased employment for the people; improved peace and order condition Increased performance of advocacy Increased trust for IPs capacity; improved peace and order condition; increased revenue Decreased income due to rerouting of products Increased enrolment; potential increase of the faithful Loss of rights to claim and use the land Moderate High High

Barangay Officials NCIP LGU Talakag

Support Support Support

Traders group Religious nuns

Potential opposition Support

Moderate High High

Land claimants Legitimization of claims on lands allegedly purchased Oppose from the IPs

Action Plan coffee project

Activities Planning Target Output Qty. One (1) year plan drafted Quality Specifications drafted Time Frame July 2005 In-Charge CFI Ex. Dir. & Consultant, BOD Resources Funds, data

Sourcing of funds

1 Project funded

Appropriate and ontime Suitable for coffee plantation Credible and reliable partners

July December 2005 July December 2005 Jan 2006 onwards

CFI

Project Proposal

Identification of coffee areas for rehabilitation Lending of Initial capital

1,000 hectares identified

CFI-MILALITTRA

Funds, staff

1,000 farmers entered into MOA through MILALITTRA

CFI

Project Funds, staff

Monitoring

1,000 hectares plantation monitored

Seasonal and regular

Planting: May-Dec of every year, 2006-2010

CFI staff

Transpo cost, supplies

Establishment of trading partners Buying and Trading

At least 2 partners identified (Figaro, Monks Blend) At 80% target volume attained

Medium term

Sept- Dec 2005

CFI

Communication

Medium term

2007

CFI

Project Funds

Activities Planning Phasing-out of Pre-schools

Target Output Qty. 1 Action Plan 2 pre-schools Quality Attainable Acceptable terms Acceptable terms Appropriate, attuned to indigenous culture

Time Frame August 2005 July 2005 May 2006 July 2005 May 2006

In-Charge CFI BOD, TESDA CFI CFI & Therese H/S

Resources Funds None None Supplies

Signing of MOA with St. Therese H/S 1 MOA signed Review / Reformulation of Adult Education modules 1 standard module developed

July 2005 May CFI staff, teachers, 2006 DepEd

Adult Literacy Program

450 IPs

Can read & write, learned spiritual, cultural, and social values Understandable & measurable

2006-2010

CFI staff and teachers

Rooms, teachers, teaching materials

TNA

At least 3 skills training identified; ex. Food processing, farming tech., etc.

2006-2010

CFI staff, TESDA & other agencies

Questionnaire

Drafting of ADSDPP IEC on Environmental Management Tribal Leaders Consultation 15-20 IP leaders informed 15-20 IP leaders consulted Appropriate & understandable participative July 2005 CFI, NCIP, MILALITTRA, & DENR CFI, NCIP, & MILALITTRA Funds, resource persons Funds, resource persons

Aug 2005

Narrative Summary
Goal Poverty reduction of IPs Objectives: Enterprise Development Capability-Building

Objectively Verifiable Means of Verification Indicators (OVI)

60% HH poverty reduction by year 2010 1,000 HH involved in livelihood activities MILALITTRA representation in the MDC by 2007 Actual implementation of ADSDPP by year 2008 NSO census of 2010; NEDA Report CFI Annual Report

Assumptions & Risks

ADSDPP completed and implemented LGU Annual Performance Report Funds accessed Training conducted CFI Report / MILALITTRA Report to NCIP

Output: Enterprise Development a. reduction of poverty incidence b. increased productivity Capability-Building a. conceptualization and implementation of ADSDPP b. increased literacy rate c. improved peace and order situation d. active participation in municipal / provincial affairs

60% increased family income

Municipal Treasurers Report

Funds are accessed from funding agency Training conducted

conceptualized by 2005; implemented by 2006 10% increase in literacy rate 10% reduction in crime rate

NCIP report LGU annual performance report LGU annual performance report

More visible increase in tribal MILALITTRA newsletters; activities in cultural celebrations Cartwheel report

Narrative Summary
Activities EMTERPRISE DEVELOPMENT Planning Sourcing of funds

Objectively Verifiable Means of Verification Indicators (OVI)

Assumptions & Risks

One (1) year plan drafted by July 2005 1 Project funded by January 2006

CFI Plan of Action Memomorandum of Agreement with funding agency

Funds are accessed from funding agency Collaboration with concerned agencies and business sector established

Identification of coffee areas for rehabilitation Lending of Initial capital Monitoring

1,000 hectares identified by 2005

Report of Project Director

1,000 farmers entered into MOA CFI Annual Report through MILALITTRA by 2006 1,000 hectares plantation monitored by 2010 Report of Project Director

Establishment of trading partners At least 2 partners identified MOA with Figaro and Monks (Figaro, Monks Blend) by 2005 Blend Buying and Trading 80% target volume of sales attained by 2007 CFI Sales Report

Objectively Verifiable Narrative Summary Means of Verification Indicators (OVI)

Activities CAPABILITY BUILDING Planning Phasing-out of Pre-schools Signing of MOA with St. Therese H/S Review / Reformulation of Adult Education modules Adult Literacy Program TNA 1 Action Plan drafted by August Action Plan document 2005 2 pre-schools phased-out by CFI Annual Report May 2006 1 MOA signed by May 2006 MOA with St. Therese

Assumptions & Risks

IEC on Environmental Management Tribal Leaders Consultation

1 standard module developed by May 2006 450 IPs trained by 2010 At least 3 skills training identified; ex. Food processing, farming tech., etc.; by 2010 15-20 IP leaders informed by July 2005 15-20 IP leaders consulted by August 2005

Written curriculum approved by DepEd CFI Annual Report CFI Annual Report and DepEd Promotion Report
Evaluation Report on Seminar Workshop ADSDPP Report / NCIP Report Precondition Cartwheel adopts this management plan Collaboration established with NCIP and other government agencies

How stakeholders are affected by the main problem?

Stakeholder 1. LGU 2. BLGU How is the stakeholder affected by the problem? Potential income is not realized Potential income is not realized Capacity / Motivation to participate in addressing the problem Fund sourcing Provide counterpart Relationship with other stakeholders Give directions to other stakeholder Sympathetic with the households and can be source of information Close coordination with the barangay Supervise and monitor the beneficiaries Dependent on government agencies and dependent only on available resources Coordinate with the LGU and other stakeholders

3. RHU 4. DAF

Additional workload Additional workload

Right agency to address the problem Responsible agency for farming technology Interest and willingness to participate in the program

5. Households Directly and most affected

6. HKI

Willing to address the problem

Maybe able to provide assistance to the program

7. Other donors

Willing to address the problem

Maybe able to provide assistance to the program

Coordinate with the LGU and other stakeholders

Expected effect of possible project interventions among stakeholders

Stakeholder

Stakeholders main objective Address the problem Address the problem Implement what is mandated by law

Positive impact/benefits

Negative impact/costs

Net Impact

1. LGU 2. BLGU 3. RHU 4. DAF 5. Households 6. HKI 7. Other donors

Improve health condition Help and assist project implementation

Reduce the incidence of malnutrition among children ages 5 and below

Slow realization of result

Long-term weight improve, decrease morbidity rate, availability of sources of nutritious food