M & e frameworks session 1(1)

MONITORING & EVALUATION
FRAMEWORKS
BY:
Abraham M. Ncunge
Senior Lecturer

Objectives;
•To describe the conceptual framework
•To describe the Results- Based Frameworks
•To define the logical framework
•To explain the evolution of the logical framework.
•To describe the key steps in the logical framework
approach (LFA).
•To define terminologies used in LFA
•To describe the vertical logic, horizontal logic and log
frame matrix.
•To link Log frame and M & E

Framework Definition
•A structure for supporting or enclosing something else,
especially a skeletal support used as the basis for
something being constructed.
•A fundamental structure, as for a written work.
•A framework can help us decide and explain:
The route we are taking
Why we would use certain methods and not others to
get to a certain point.
-People might have tried a similar path before and have
had different experiences using one road versus another.
Or there may be paths that have never been explored.

Definition of frameworks (cont’d)
•A set of assumptions, concepts, values, and practices that
constitutes a way of viewing reality.
•A simplified description of a complex entity or process-
synonymous with the term model

Types of Frameworks
Conceptual Frameworks
Results Framework
Logical Framework(Log frame)

1.Conceptual Frameworks
Conceptual, or “research”, frameworks
(models) are diagrams that identify and
illustrate the relationships among systemic,
organizational, individual, or other salient
factors that may influence program/project
operation and the successful achievement of
program or project goals. i.e. relationship
among the variables in the project under
study.

e.g. Conceptual Framework in Research
What would be the possible Title of these study, given the
framework below?
Product
Price
Promotion
Place
Project
performance

Conceptual frameworks (cont’d)
There are many ways to explain a conceptual framework. It can be
any or all of the following:
A set of coherent ideas or concepts organized in a manner that
makes them easy to communicate.
An organized way of thinking about how and why a project takes
place, and about how we understand its activities.
The basis for thinking about what we do and about what it means,
influenced by the ideas and research of others.
An overview of ideas and practices that shape the way work is done
in a project.
A set of assumptions, values, and definitions under which we all
work together.

Conceptual Frameworks (Cont’d)
Conceptual frameworks can be thought of as a theoretical map of a
project or a plan that sketches the relationship between different
components and helps users find their way around. Just as a map lays
out roads between cities and towns and guides travellers to their
destination, a conceptual model (framework) defines pathways
between key components and helps to clarify the processes that lead
to desired effect or outcome.
Conceptual models are successful organising tools when:
• Applied to a project whose ultimate purpose is known and clear
• They identify the key factors that determine success or failure of a
given intervention.

Conceptual Frameworks (Cont’d)
•They identify components that can be operationally
defined and measured through indicators
•They represent a shared perspective among stakeholders.
•Conceptual frameworks or maps prior to M&E planning
stimulate strategic thinking

Example of HIV/AIDS conceptual Framework
Underlying
determinants
Proximate
determinants
Biological
determinants
Health
outcomes
Demographic
outcomes
CONTEXTS
-Socio-
economic
-Social -
cultural
Intervention
programmes
-STD control
-VCT
-Condom
promotion
Partner
acquisition,
Abstinence
Rate of
Contact of
susceptible
to infected
persons
Condom use
Risky sexual
practices
Efficiency of
transmission
per contact
Treatments
Duration of
infectivity
HIV
incidence
STI
incidence
M
o
r
t
a
l
i
t
y
Source: T. Boerma, et al 2000

Role of Conceptual Frameworks
• Known or expected relationships among program and
environmental factors that may affect the
effectiveness of the activities or the outcome of the
intervention are clear.
• Development of operational plans
• Clarifying the program’s Assumptions

2.RESULTS FRAME WORKS
Results frameworks are diagrams that identify steps, or
levels, of results, and illustrate the causal relationships
linking all levels of a program’s objectives.
Other term used: Strategic frameworks
Why Use Results Frameworks?
•Because they help us focus on the END result(s) and
the strategies that we can use to achieve them
•Because they force us to identify the logic and links
behind our programs and to identify necessary and
sufficient elements for success

Elements of Results Frameworks
•Goal Statement— the change that we hope to
achieve
•Strategic (or Key) Objective (SO)—the main result
that will help us achieve our goal and for which we
can measure change
•(Intermediate) Results (IRs)—the things that need to
be in place to ensure achievement of the SO
•Strategies & Activities —what a project does to
achieve its intermediate results that contribute to the
objective
Strategies and Activities: are the things the project
does in order to achieve the desired outcomes or

RELATIONSHIP
GOAL
Strategic Objectives
(SOs)
(Intermediate) Results
(IRs)
Strategies and Activities

Example of a Results Framework
Donor/USAID Reproductive Health Program
SO1: Increased Utilization of Family Planning/Reproductive Health Services
IR1 Strengthened sustainability
of FP/RH Program
IR2 Expansion of high quality FP/RH
services in the public and private sectors
IR1.1 Improved policy
environment for the provision
of FP/RH services in the public
and private sectors
IR2.1 Increased availability of
postpartum and postabortion FP
services
IR2.2 Increased accurate knowledge
of clients about modern methods
and FP services
IR1.2 Strengthened NGO
advocacy for FP program
IR2.3 Improved job performance of
health providers, trainers, and
administrators
Source: USAID/Turkey Performance
Monitoring Plan, 1998-2001

FIVE-YEAR GOAL: Foundation Established for
Reducing Famine Vulnerability, Hunger and Poverty
SO 14: Human capacity and social resiliency increased
IR 14.1: Use of high impact
health, family planning, and
nutrition services, products, and
practices increased
IR 14.1.1: Community
support for high impact
health interventions
increased
IR 14.1.2: Availability of
key health services and
products improved
IR 14.1.3: Quality of key
health services improved
IR 14.1.4: Health sector
resources and systems
improved
IR 14.2: HIV/AIDS prevalence
reduced and mitigation of the
impact of HIV/AIDS increased
IR 14.2.1: Reduced risk
behavior
IR 14.2.2: Mother-to-child
transmission of HIV reduced
IR 14.2.3: Access to care and
treatment for people living
with HIV and AIDS increased
IR 14.2.4: Care and support
for orphans and vulnerable
children expanded
IR 14.2.5: A more supportive
environment for responding to
HIV/AIDS
IR 14.3: Use of quality
primary education services
enhanced
IR 14.3.1: Community
participation in the
management and delivery of
strengthened
IR 14.3.2: Planning, mgmt
and monitoring and evaluation
for delivery of primary
education services
strengthened
IR 14.3.3: Quality of
primary education improved
IR 14.3.4: Equitable
strengthened
Source: USAID/Ethiopia Integrated Strategic Plan, February, 2004 (revised draft)

Common Difficulties in Formulating Results
Frameworks and Program Design
•Mixing up results, strategies, and activities
•Starting Project Design with a list of activities that
may not logically lead to the desired objective
•Choosing indicators that do not truly measure the
results

3.Logical Framework (LF)
 A valuable analytical, presentational and management tool
used for designing, implementing and evaluating projects
 It is a dynamic tool that can be used to re-assess and revise a
project as circumstances change during project
implementation
 It lies at the heart of the project and establishes a clear
hierarchy of objectives from input resources at the bottom to
overall outcome at the top
 A means by which a project may be structured and described
in a logical fashion. It is a way of testing the logic of a plan by
analyzing it in terms of means and ends.
 It sets out interlocking concepts which, when used together in
a dynamic fashion, permit the elaboration of a well designed,
and objectively described project.

The Logical Framework Approach (LFA)
•A management tool mainly used in the design, monitoring
and evaluation of international development projects. It is
also widely known as Goal Oriented Project Planning
(GOPP) or Objectives Oriented Project Planning
(OOPP)
•It is very useful for guiding project design and
implementation
•It is an ‘aid to thinking’
•Analyses the existing situation during activity preparation
•Establishes a long hierarchy of means by which
objectives will be reached

LFA cont…
• Using LFA imposes rigor in assessing what is
to be achieved and the assumptions behind
what interventions and activities will be
required
• Identifies the potential risks to achieving the
objectives and sustainable outcomes
• Establishes how outputs and outcomes might
be monitored and evaluated
• Presents a summary of the activities in a
standard format
• Can be used to monitor and review activities

LFA Phases
Analysis Phase has 4 steps;
Stakeholder Analysis
Problem Analysis
Analysis of Objectives
Strategy Analysis
Planning Phase consists of;
Logframe matrix
Activity scheduling
Resource scheduling

LFA incorporates the following elements to
help guide the process:
 Problem Analysis
 Conduct Stakeholder Analysis
 Conduct Analysis of Objectives
 Selection of the preferred implementation
strategy
 Test vertical Logic
 Specify Assumptions and Risks
 Identify Objectively Verifiable
Indicators(OVIs).
 Identify Means/sources of verification

Important !
 It is important to emphasise that effective
development planning should be
approached as an iterative process,
not as a linear set of prescribed steps.
For example, while stakeholder analysis
is presented in these Guidelines as
coming prior to problem analysis, in
practice, stakeholder analysis is ongoing
throughout the design process, and does
not neatly fit in to any one step. Indeed,
some preliminary stakeholder analysis is
required prior to problem analysis in
order to clarify who should be involved in

1.Stakeholder Analysis
Stakeholder -Individuals or institutions with
a financial ,social or intellectual interest in
the results of a project.
 Stakeholder analysis provides a useful
starting point for problem analysis.
 It involves the identification of all
stakeholders who are directly or indirectly
affected (either positively or negatively) by
the proposed intervention.

Stakeholder analysis cont..
 With the use of interview and discussion
techniques, the interest that each
stakeholder group has in the project is
documented.
 Using the information gained by
stakeholder analysis, project planners are
better able to organise the preparation
process, and in particular to plan the
necessary research required prior to the
conduct of a participatory planning
workshop

Gender Considerations in
Stakeholder analysis
In almost all societies men and women
differ in their daily tasks, in access and
control over resources, and in
participation in decision making.
Certain project objectives are impossible
to achieve if both women and men have
not been consulted, and have not
discussed their respective roles in relation
to project activities e.g a family planning

Gender issues cont
In fact, discrimination by gender is likely to
diminish the efficiency and impact of
projects.
It is therefore essential to analyse the
potential impact of an intervention or
project on men, women and other groups
(eg. children, ethnic minorities, social
groups) before important decisions are
made on the intervention, its objectives,
strategies and resource allocation.
Once sufficient information collection and

For Example: In A Village Swing Project:
What the stakeholders wanted!

2. PROBLEM ANALYSIS
Problem analysis identifies the negative
aspects of an existing situation and
establishes the ‘cause and effect’
relationships between the problems that
exist.
It involves three steps:
 Identification of the stakeholders
affected by the proposed project
 Identification of the major problems
faced by beneficiaries
 Development of a problem tree to

Problem Analysis cont…
 On the basis of the available information,
stakeholders will identify through such
techniques as “brainstorming” the key
problem(s) that exist in a given situation.
 The main technique used at this stage is the
drawing up of a problem tree.
 A problem tree is simply the problems set out
in a hierarchical order.
◦ Firstly each identified problem is summarised.
◦ From these a focal problem is selected, then:

Problem analysis cont…
¨ if the problem is a cause it goes on the
level below
¨ if it is an effect it goes above
The focal problem should be agreed on
by the different interest groups as being
the central problem to be addressed by
the project or intervention

.
Problem Tree:
Eg -Building a village swing project

3.Developing an Objectives/Vision
Tree
 This can be done by reformulating the
elements of our problem tree into positive
desirable conditions.
 Essentially the focal problem is “turned
over” to become the key objective for
addressing the problem. (In logical
framework terms it may be the Goal).
 E.g: Our problem of ‘Social isolation in the
area’ becomes an objective of “Integrated
community with happy kids and adults”

.
Converting problem tree into an Objective tree

4. STRATEGY ANALYSIS
Strategy analysis involves deciding what
objectives will be included IN the project,
and what objectives will remain OUT, and
what the project purpose and overall
objectives will be.
In addition to examining the logic, strategy
analysis also looks at the feasibility of
different interventions.

Strategy Analysis cont…
Depending on the scope and amount of work
entailed, the selected clusters or strategy may
form a ‘project-sized’ intervention, or a
programme consisting of a number of
projects.
You should agree the criteria for assessing
the various options. Key factors here
could include:
 Degree of fit with macro objectives (The
bigger picture)
What other stakeholders are doing?

Choosing between options and/or
Strategy Analysis
It is the experience and comparative advantage
of your organisation and partners
 What are the expected benefits? To whom?
 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 are the

Choosing between options and /or
Strategy Analysis cont…
Technical criteria – appropriateness, use of
local resources, market factors?
 Institutional criteria – capacity, capacity
building, technical assistance?
 Economic criteria – economic returns, cost
effectiveness?
 Financial criteria – costs, cashflows, financial
sustainability?
When the criteria have been set a decision as to
which option to take can follow.

.
.
Another Example of strategy selection from the objective
tree

Linking Objectives with
Logframe
Sometimes it is possible to link the chosen
option from the objectives tree into the
first “objectives” column of the
logframe as shown in the next slide.

Linkages between client identification and logframe development

Distinction between LF and LFA
•The Logical Framework Approach (LFA) is different
from Logical Framework (LF or Log Frame). They are
sometimes confused. The Logical Framework Approach is
a project design methodology; the Log Frame is a
document.
•The results of the logical framework analysis are
presented, and further analysed, through the development
of a Logframe matrix. The matrix should provide a
summary of the project design and when detailed down to
output level, should generally be no more than five pages
long. Activities may be listed in the logframe matrix itself
however it may often be better to describe 'indicative' sets
of activities (required to deliver each output) in the main
narrative of the Project Design Document.

Distinction between LF and LFA( cont’d)
The LFA involves problem analysis, stakeholder analysis,
developing a hierarchy of objectives and selecting a preferred
implementation strategy.
The product of this analytical LFA is the matrix (the Logframe),
which summarizes what the project intends to do and how, what
the key assumptions are, and how outputs and outcomes will be
monitored and evaluated

Evolution of the L F A
 Evolved over the years as a methodology for
improving the systematic planning for development
projects
 Evolved from a simple framework for structuring
project objectives to more sophisticated process
orientated approaches for involving stakeholders in
project design and management
 It is a along established activity design methodology
based on a systematic analysis of the development
situation, key development problems and the options
for addressing those problems;

The basic ideas behind the LFA
• Be clear about what you want to achieve and how
it will be achieved
• Decide how you will know you are achieving your
objectives and put in place a monitoring system
• Make explicit the conditions (assumptions) outside
the control of the project that are critical for the
project to succeed and assess the risk of for the
project if these conditions fail to arise/change

Key steps in the LFA
 Establish the general scope or focus of the project
 Agree on the planning framework, terminology and
design process
 Undertake a detailed situational analysis
 Develop the project strategy
 Identify and analyze the assumptions and risks
chosen for the strategies modifying the project design
if the assumptions are incorrect or risks too high
 Develop the monitoring and evaluation framework

THE LOGICAL
FRAMEWORK
The Log Frame consists of:
 Vertical Logic
 Horizontal Logic

Vertical Logic of the Log frame
 Has 4 levels with each lower level of
activity contributing to the next higher
level
 It elucidates the casual relationship
between the different levels of objects and
specifies the important assumptions and
uncertainties beyond project management
control.
 It has a direct relationship to the
incremental steps of achieving the
objectives from activities at the bottom to
overall outcome at the top.

Cont;
 The relationship is between the initiatives
undertaken by the project and ultimately
their impact on policy.
 Can be expressed in terms of…. If, Then..
i.e. if inputs are provided, then activities are
undertaken
if activities are undertaken, then outputs
will be produced
if outputs are produced, then the
purpose will be supported and,
if the purpose is supported, then the

Horizontal Logic
Logic that goes across the matrix to show
how;
 Achievement of objectives will be
measured or verified (Indicators)
 Information will be obtained (Means of
Verification)
 What external factors could prevent
the project from achieving next level
objectives (Assumptions)

cont,
 The Horizontal Logic is therefore made up
of the following columns:
1. Narrative Summary Column – Contains
three strategic elements; Resources,
Purpose and Goal. Purpose and
Resources are specific to the project itself.
The logic can therefore be:
-What resources (Inputs/Activities) will be
invested in a project in order to achieve the
project purpose?
- The Purpose is the basic motive or reason
why a project is undertaken, defined in
context of Strategic Plan.

Cont,
2. Objectively verifiable indicator (OVI)- is a
measure designed to verify an accomplishment of
a project level and provides an objective basis for
monitoring and evaluation
3. Means of Verification (MOVs)– It provides
data to help justify the achievement of a project
at the indicator level. Therefore, its like an
exhibit to help verify what has been said to have
been done by the project manager at various
levels, e.g. In form of registers, receipts, records,
notices, memos etc.
- It can also be data previously captured which can
be available when needed in the cause of
evaluation.

Cont,
4. Assumptions – Are conditions external
to the project that may affect the progress
or success of the project.

The Logical Framework matrix
 The Logical framework matrix is the written out part
of the Logical framework approach.
 The standard matrix being a table with four rows and
four columns that summarizes;
◦ What the project should achieve from the level of an overall
goal down to specific activities
◦ The performance questions and indicators that will be used
to monitor progress and overall achievement
◦ How the indicators will be monitored and how data will be
found (Means of Verification)
◦ The assumptions behind the logic of how activities will
eventually contribute to the goal and associated risks for the
project if assumptions turn out to be incorrect

Intervention Logic Performance Indicators Means of
Verification
Assumptions
Goal:.
Purpose:
Outputs:
Activities:

Intervention logic
This describes the project according to its hierarchy
of objectives . Also referred to as project
description.
 Goal: a high level objective to which the
intervention will contribute. Other terms used;
◦ Goal
◦ Development objective
◦ Long-term objective

Intervention logic
Goal/Impact – refers to the National/ Sectoral or
Program objective which the project is designed to
contribute to e.g. improved nutritional status, reduced
crime, increased access to clean drinking water. It
describes the long term impact the activity is
expected to contribute to
Purpose – what is hoped to be achieved by undertaking
the project in terms of sustainable development
results in order to accomplish a goal. It is the positive
developmental change the activity would produce if it
were completely successful and the assumptions
accurate e.g. increased agricultural production, higher
immunization coverage, cleaner water

…Cont…
Output
The result of the process. A tangible product (goods
or services) produced by undertaking a series of tasks
as part of the planned work of the activity e.g. policy
guidelines produced, children immunized, watering
points installed etc
Input
A resource that is used to undertake the work
program and produce the outputs e.g. personnel,
equipment

Cont…
 Goals, purpose, output and input can be referred to as
project levels.
 They can be distinguished by geographical scope and
time scope
Project levels Geographical scope Time scope
Goal Broad Long or medium term
Purpose Limited Mid or short term
Output More limited Short term or punctual
Input Most limited Punctual

Cont..
 Goals and Purpose appear at an upper level
while Outputs and Activities are on the lower
level of data verification.

Objectively verifiable indicators
 Define the performance standard to be reached
in order to achieve the objective
 They specify what will tell you if an overall goal,
project purpose or result evidenced/output is
reached in terms of
◦ quantity how much?
◦ quality how well?
◦ time by when?
◦ location / area where?
 They focus on important characteristics of an
objective to be achieved.
 They provide a basis for monitoring and evaluation.

MEANS OF VERIFICATION
Sources of information and methods
used to collect and report.
Tell us:
 Where we can find the data necessary
to verify the indicator

MEANS OF VERIFICATION cont;
Some important questions:
 Are the means of verification available from normal
sources?
(statistics, observation, records)
 How reliable are the sources?
 Is special data-gathering required? If so, what will
it cost?
 Has a new source to be created
 If we cannot find a means of verification, the
indicator has to
be changed!
Other terms used: Sources of verification,
Means of assessment and Sources of
information

Assumptions
 Assumptions are external factors that it is
believed could influence (positively or
negatively) the events described in the
narrative column.
 Assumptions should include those factors
that potentially impact on the success of
the project, but which cannot be directly
controlled by the project or program
managers.
 The "Assumptions" column is of great
importance in clarifying the extent to which
project/program objectives depend on
external factors

Assumptions cont;
– Assumptions describe the necessary
conditions that must exist in a project
implementation environment for the cause-
effect relationship between the different
levels of results (objectives) to behave as
expected.
– Assumptions also describes the necessary
conditions for ensuring that the activities will
produce results.
– Killer assumptions are assumption, which
if proved wrong will have major negative
consequences for the project.

Narrative Summary Objectively
Verifiable
Indicators (OVI)
Means of
Verification
(MOV)
Assumptions and
Critical Factors
Goal Measurement of goal
achievement
Sources of
information
Assumptions for
achieving goal target
Purpose End of project Sources of
information for
indicators of outputs
Assumptions for
achieving purpose
Outputs: Desired
results
Magnitude of
planned outputs.
Planned completion
date
Sources of
information for
indicators of outputs
Assumptions for
achieving outputs
Inputs (activities) Implementation
target: Type and
quantity
Sources of
information of
indicators outputs
Assumptions for
achieving inputs

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