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Results-Based Management:

Logical Framework Approach

SIAP 2007

UNITED NATIONS STATISTICAL INSTITUTE FOR ASIA & THE PACIFIC

(SIAP)CHIBA, JAPAN

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Topics To Be CoveredTopics To Be Covered

What is Results-Based Management (RBM)?

Key Features of RBM Why is Results-Based Management

necessary? What is a Result? Key RBM Terms Logical Framework Approach (LFA)

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What is Results-Based What is Results-Based Management (RBM)?Management (RBM)?

RBM is a management approach RBM is a management approach aimed to improve management aimed to improve management effectiveness and accountability in effectiveness and accountability in achieving results. achieving results.

RBM is focused on chain results: RBM is focused on chain results: output, outcomes, and impact.output, outcomes, and impact.

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Key Features of RBM

Focus on:Analyzing problems and determining their causes;Identifying measurable changes (results) to be achieved based on problem analysis;Designing strategies and activities that will lead to these changes (results);Balancing expected results with the

resources available;

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Key Features of RBM

Monitoring progress regularly and adjusting activities to ensure

results are achievedEvaluating, documenting and incorporating lessons learned into next planning phase;Reporting on the results achieved and their contribution to achieving goals;

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Key Features of RBM….

Alternative Approaches to RBM :

InputsActivities Success is measured by expenditure

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Key Features of RBM….

Alternative Approaches to RBM :

InputsActivitiesSuccess is measured by the extent of goods/services delivered and the ratio of inputs to outputs.

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Why Results-Based Why Results-Based Management?Management? Resources are shrinking and increasing Resources are shrinking and increasing

demand for better quality results demand for better quality results (statistics).(statistics).

Increasing needs to improve efficiency and Increasing needs to improve efficiency and accountability for resultsaccountability for results

It is a global trend: using results-based It is a global trend: using results-based management to improve the efficiency of management to improve the efficiency of development programdevelopment program

NSOs need to improve statistical support NSOs need to improve statistical support for monitoring development goalsfor monitoring development goals

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What Is a Result?What Is a Result?

A result is a describable or A result is a describable or measurable change that derived measurable change that derived from a cause and effect relationship. from a cause and effect relationship.

RESULT = CHANGERESULT = CHANGE

CAUSE EFFECTCAUSE EFFECT

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Key RBM Terms (i)Key RBM Terms (i)

Activities Results

Inputs

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Definitions (i)Definitions (i)

InputInput: these are human, material, financial : these are human, material, financial and other resources that are required to and other resources that are required to undertake activities. undertake activities.

ActivitiesActivities: Actions taken or work : Actions taken or work performed to produce specific outputs performed to produce specific outputs through mobilizing inputs.through mobilizing inputs.

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Key RBM Terms (ii)Key RBM Terms (ii)

Outputs OutcomesActivities

Results

Impact

Inputs (human material financial other resources)

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Definitions (ii)Definitions (ii)

Output: Output: these are immediate results as a these are immediate results as a consequences of completed activitiesconsequences of completed activities

OutcomeOutcome: these are likely or achieved short-: these are likely or achieved short-term and medium-term effects of outputs.term and medium-term effects of outputs.

Impact:Impact: long-term effects that are the long-term effects that are the logical consequence of the achievement of logical consequence of the achievement of the outcomes.the outcomes.

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Key RBM Terms (iii)Key RBM Terms (iii)

Inputs

Activities

Outputs Outcomes Impact

How?

What we want? Why?

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Input? Activity? Output? Outcome? Impact?

Splash (cause)

Ripple(effect)

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Key RBM Terms (iv)Key RBM Terms (iv)

Inputs

Activities

Outputs Outcomes Impact

How?

What we want? Why?

Immediate results

End-of-project/ programme results

A long-termresult as a logical consequence of the outcomes

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Key RBM Terms (v)Key RBM Terms (v)

Inputs

Activities Short-term Outputs

Medium-term

Outcomes

Long-term Impact

NSO Intermediate users

Society End users

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The Core of RBM is the Results The Core of RBM is the Results ChainChain

The levels of results:The levels of results: short-term results or short-term results or outputsoutputs;; medium-term results or medium-term results or outcomesoutcomes; ;

and,and, longer-term results or longer-term results or impactimpact..

These are linked together into what These are linked together into what is referred to as a results chain.is referred to as a results chain.

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Example: SIAP training courses

SIAP Staff, budget, equipment, facilities etc.

Economic StatisticsSocial StatisticsMDGs etc.

Knowledge base for development policy

SIAP training

input

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Example of SIAP Training Example of SIAP Training Results ChainResults Chain

ImpactImpact Improved reliability, relevancy and timeliness of official statistics.

OutcomeOutcome Improved statistical capability of Improved statistical capability of NSO staffNSO staff

OutputOutput Improved knowledge and skills of participants

ActivityActivity Conducting training courses for participants from the countries of Asia and the Pacific

InputInput SIAP staff, funding, equipment, SIAP staff, funding, equipment, facilities facilities

… … etc.etc.

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Example of Improving Supply of Example of Improving Supply of Potable Water and Sanitation

FacilitiesImpactImpact Improved health and sanitary conditions

in targeted communities.

OutcomeOutcome Improved access to sustainable waterand sanitation services for target communities.

OutputOutput Improved and renovated water systems

ActivityActivity Designing, constructing new water and sanitation facilities.

InputInput Human resources, training, expert, Human resources, training, expert, funding etc.funding etc.

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Key principles of RBMKey principles of RBM

Define expected results first and Define expected results first and activities lateractivities later

Foster the active participation of Foster the active participation of stakeholdersstakeholders

Ensure that all stakeholders work Ensure that all stakeholders work towards achieving expected resultstowards achieving expected results

Apprise your work critically and Apprise your work critically and learn the lessonslearn the lessons

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Hierarchy of RBM TermsHierarchy of RBM TermsIMPACTIMPACT

Sustainable improvements in society or well-Sustainable improvements in society or well-being of peoplebeing of people

OUTCOMEOUTCOMEChanges in behavior or improvements in access Changes in behavior or improvements in access

or quality of resourcesor quality of resourcesOUTPUTOUTPUT

Product of project/ program activitiesProduct of project/ program activitiesACTIVITIESACTIVITIES

Activities done by project/programActivities done by project/programINPUTINPUT

Resources needed to undertake activitiesResources needed to undertake activities

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RBM and Logical Framework RBM and Logical Framework Approach (LFA)Approach (LFA)

The LFA is an RBM tool used for systematic planning, implementing, The LFA is an RBM tool used for systematic planning, implementing,

monitoring, and evaluating projects/ programmes. monitoring, and evaluating projects/ programmes.

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The Logical Framework The Logical Framework Approach (i)Approach (i)

Features of LFAFeatures of LFA : : stakeholder involvementstakeholder involvement needs-based approachneeds-based approach logical intervention approachlogical intervention approach framework for assessing framework for assessing

relevance, feasibility and relevance, feasibility and sustainabilitysustainability

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The Logical Framework The Logical Framework

Approach (ii)Approach (ii) Features of LFAFeatures of LFA : :

results-oriented – not activity driven

logically sets objectives and their causal relationships

shows whether objectives have been achieved: Indicators (for M&E)

describes external factors that influence the project’s success: assumptions and risks

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Main steps:Main steps:• Stakeholder AnalysisStakeholder Analysis• SWOT AnalysisSWOT Analysis• Problem Tree AnalysisProblem Tree Analysis• Objective Tree AnalysisObjective Tree Analysis• Logical Framework MatrixLogical Framework Matrix• Monitoring and evaluationMonitoring and evaluation

LFA Key FeaturesLFA Key Features

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Stakeholder is any individuals, group Stakeholder is any individuals, group or organization, community, with an or organization, community, with an interest in the outcome of a interest in the outcome of a programme/project.programme/project.

Stakeholder AnalysisStakeholder Analysis

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Purpose:Purpose: To identify: To identify:

• The needs and interest of stakeholders The needs and interest of stakeholders

• The organizations, groups that should The organizations, groups that should be encouraged to participate in be encouraged to participate in different stages of the project; different stages of the project;

• Potential risks that could Potential risks that could put at riskput at risk programme;programme;

• Opportunities in implementing a Opportunities in implementing a programme;programme;

Stakeholder AnalysisStakeholder Analysis

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SWOT Analysis (i)SWOT Analysis (i) Purpose:Purpose: To assess the performance and To assess the performance and

capacity of the participating units, capacity of the participating units, divisions of organization. divisions of organization.

Each participating unit has to Each participating unit has to undertake SWOT analysis.undertake SWOT analysis.

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SWOT Analysis (ii)SWOT Analysis (ii) SWOT analysis is a tool for SWOT analysis is a tool for

institutional appraisal and a institutional appraisal and a brainstorming exercise in which the brainstorming exercise in which the representatives of the organization representatives of the organization participate fully.participate fully.

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SWOT Analysis (iii)SWOT Analysis (iii) SWOT stands for: SWOT stands for: StrengthsStrengths - the positive internal - the positive internal

attributes of the organisationattributes of the organisation WeaknessesWeaknesses - the negative internal - the negative internal

attributes of the organisationattributes of the organisation OpportunitiesOpportunities - external factors which - external factors which

could improve the organisation’s could improve the organisation’s prospectsprospects

ThreatsThreats - external factors which could - external factors which could undermine the organisation’s prospectsundermine the organisation’s prospects

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Purpose:Purpose: - to identify major problems and - to identify major problems and their main their main causalcausal relationships. relationships.

Output:Output: problem tree with cause and effectsproblem tree with cause and effects

Problem Tree AnalysisProblem Tree Analysis

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Steps in Undertaking Problem Steps in Undertaking Problem Tree Tree

1.1. Identify the major problems that the Identify the major problems that the project will address. State problems in project will address. State problems in negative manner.negative manner.

2.2. Group problems by similarity of concerns.Group problems by similarity of concerns.

3.3. Develop the problem tree:Develop the problem tree:a)a) Choose a focal problem from the list and Choose a focal problem from the list and

relate other problems to the focal problem.relate other problems to the focal problem.

b)b) If the problem is a cause of the focal problem If the problem is a cause of the focal problem it is placed below the focal problemit is placed below the focal problem

c)c) If the problem is an effect of the focal If the problem is an effect of the focal problem is goes above problem is goes above

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Problem Tree

CAUSE

EFFECT

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Analysis of ObjectivesAnalysis of Objectives Transforming the problem tree into an Transforming the problem tree into an

objectives tree by restating the objectives tree by restating the problems as objectives.problems as objectives.

Problem statement converted in to Problem statement converted in to positive statementspositive statements

Top of the tree is the end that is Top of the tree is the end that is desireddesired

Lower levels are the means to Lower levels are the means to achieving the end.achieving the end.

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The relationship between the The relationship between the problems tree and the objective problems tree and the objective

treetree

PROBLEM TREEPROBLEM TREE OBJECTIVE TREEOBJECTIVE TREE EffectsEffects Development Development

ObjectivesObjectives Starter/Focal problemStarter/Focal problem Project Project

PurposePurpose CausesCauses ResultsResults

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The relationship between the The relationship between the problems tree and the objective problems tree and the objective

treetree

PROBLEM TREEPROBLEM TREE OBJECTIVE TREEOBJECTIVE TREE Focal problem Focal problem Project PurposeProject Purpose

EffectsEffects Development Development ObjectivesObjectives

CausesCauses ResultsResults

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Strategy Analysis (i)Strategy Analysis (i) The aim of strategy analysis is division of The aim of strategy analysis is division of

the objectives tree into more consistent the objectives tree into more consistent smaller sub-units that may, compose the smaller sub-units that may, compose the core for a project.core for a project.

Each of the sub-units of the objective tree Each of the sub-units of the objective tree can represent an alternative strategy for can represent an alternative strategy for the future project. the future project.

The project objectives set the framework The project objectives set the framework for the strategy of the project. for the strategy of the project.

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Strategy Analysis (ii)Strategy Analysis (ii) Criteria for selection of the project strategy: Criteria for selection of the project strategy:

1. RELEVANCE: the strategy corresponds to the 1. RELEVANCE: the strategy corresponds to the needs of the stakeholders.needs of the stakeholders.

2. EFFECTIVENESS: the lower level objectives of 2. EFFECTIVENESS: the lower level objectives of the strategy will contribute to achievement of thethe strategy will contribute to achievement of the project purposeproject purpose

3. EFFICIENCY: cost-effectiveness of the strategy 3. EFFICIENCY: cost-effectiveness of the strategy in transforming the means into results.in transforming the means into results.

4. CONSISTENT with development policies4. CONSISTENT with development policies 5. SUSTAINABILITY of the project5. SUSTAINABILITY of the project 6. ASSUMPTIONS and RISKS6. ASSUMPTIONS and RISKS

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The Logframe MatrixThe Logframe Matrix

The Logical Framework Matrix is used to The Logical Framework Matrix is used to

present information about project present information about project

objectives, outputs and activities in a objectives, outputs and activities in a

systematic and logical way. systematic and logical way. The basic Logframe matrix contains 16 The basic Logframe matrix contains 16

cells organized into 4 columns and 4 rows, cells organized into 4 columns and 4 rows,

as indicated in the next slide:as indicated in the next slide:

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The Logical Framework Matrix

Objectives & activities

Purpose/ (Outcome)

Goal (Impact)

Outputs

Activities

IndicatorsMeans of

verificationAssumptions

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Results Chain & Logical Framework Matrix

RBM

Result

Result

Result

Goal/Impact

Result

Purpose/Outcome

Output

Activities

LFA

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Key RBM TechniquesKey RBM Techniques Start with the resultsStart with the results Determine indicators to measure Determine indicators to measure

progress towards achieving each resultprogress towards achieving each result Define explicit targets for each indicator Define explicit targets for each indicator

to judge achievementto judge achievement Collect information to verify/monitor the Collect information to verify/monitor the

achievement/progressachievement/progress Review, analysis and report actual Review, analysis and report actual

resultsresults

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RBMRBM RBM are good and useful techniques RBM are good and useful techniques But it won’t work itself and not But it won’t work itself and not

sufficient to achieve resultssufficient to achieve results RBM depends on the organization's RBM depends on the organization's

ability to create a management ability to create a management culture that is focused on resultsculture that is focused on results

Manage change in your organization.Manage change in your organization.

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Monitoring and EvaluationMonitoring and Evaluation

Based on the logical frameworkBased on the logical framework Strengthens accountability and Strengthens accountability and

transparencytransparency Provides information for effective Provides information for effective

managementmanagement Helps determine what works well Helps determine what works well

and what requires improvementand what requires improvement Builds knowledge Builds knowledge