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Mekong Institute-<strong>UNESCO</strong> Course on Decentralized Education Planning in the context of Public Sector Management Reform<br />

Session 11: <strong>Logical</strong> <strong>Framework</strong> <strong>and</strong> <strong>Policy</strong> <strong>Matrix</strong> <strong>as</strong><br />

Planning Tools<br />

Paper 11.1 - <strong>Logical</strong> <strong>Framework</strong> <strong>and</strong> <strong>Policy</strong> <strong>Matrix</strong> <strong>as</strong> Planning<br />

Tools 1<br />

Introduction<br />

As mentioned in Session 2, modern planning combines the three approaches of project,<br />

program-b<strong>as</strong>ed, <strong>and</strong> sector-wide. Although many governments <strong>and</strong> donors are pursuing a sector-wide<br />

approach, they are not ab<strong>and</strong>oning investment projects. These three approaches are complementary,<br />

<strong>and</strong> play different roles under different circumstances. Therefore, the way forward will likely be a mix of<br />

the sector-wide approach, program-b<strong>as</strong>ed approach <strong>and</strong> traditional projects, whereby each will be<br />

particularly relevant to a specific ph<strong>as</strong>e in the planning process. The sector-wide approach is relevant<br />

for long-term <strong>and</strong> medium-term planning. The program-b<strong>as</strong>ed approach is essential for medium-term<br />

planning. And, the project approach is essential for implementing medium-term plans through annual<br />

budgets. This means that donor support is provided by a mix of approaches in the form of pooled<br />

funding, budget support, project, <strong>and</strong> funding through off-budget support (e.g., technical <strong>as</strong>sistance).<br />

There are two types of planning <strong>and</strong> plans:<br />

• those that reflect policies <strong>and</strong> formulate strategies for their implementation. This is the c<strong>as</strong>e of<br />

long-term plans <strong>and</strong> medium-term plans (which are in the form of programs); <strong>and</strong><br />

• those that formulate the way in which the programs will be carried out through annual budgets.<br />

These are implementation plans.<br />

Both types of planning have to be done at national level <strong>as</strong> well <strong>as</strong> at decentralized level. Also, both<br />

types of planning use similar methodology <strong>and</strong> tools.<br />

This Session looks at two widely applied tools which have proven to be useful. They help put in order<br />

many objectives, views, <strong>and</strong> suggestions that come from many national <strong>and</strong> international stakeholders<br />

directly involved in shaping sector policies <strong>and</strong> planning.<br />

The <strong>Logical</strong> <strong>Framework</strong> (Logframe) Approach (LFA)<br />

The <strong>Logical</strong> <strong>Framework</strong> (Logframe) is a tool that h<strong>as</strong> the power to communicate the essential elements<br />

of a complex program (or project) <strong>and</strong> their interplay clearly <strong>and</strong> succinctly. It is used to develop the<br />

overall design of a program (or project), to improve project implementation monitoring, <strong>and</strong> to<br />

strengthen periodic evaluation of implementation.<br />

Over the years, the Logframe evolved <strong>as</strong> a core technique for planning <strong>and</strong> managing the complete<br />

cycle from design, to implementation activities, to monitoring <strong>and</strong> evaluation<br />

More detailed information about the Logframe approach <strong>and</strong> Logframe matrix is provided in the<br />

PowerPoint Presentation. An example of Logframes is shown below.<br />

1 The paper w<strong>as</strong> prepared by Toshiyuki Matsumoto, <strong>UNESCO</strong> <strong>Bangkok</strong>. It is mainly b<strong>as</strong>ed on The Logframe H<strong>and</strong>book: A<br />

<strong>Logical</strong> <strong>Framework</strong> Approach to Project Cycle Management (The World Bank, 2004), CIDA Primer on Program-B<strong>as</strong>ed<br />

Approaches (CIDA, 2003), AusGuideline 3.3 The <strong>Logical</strong> <strong>Framework</strong> Approach (AusAID, 2005) <strong>and</strong> the PowerPoint<br />

presentation titled Project <strong>Framework</strong>s for Different Types of Projects (ADB).<br />

1


Mekong Institute-<strong>UNESCO</strong> Course on Decentralized Education Planning in the context of Public Sector Management Reform<br />

LOGFRAME example (from World Bank, The Logframe H<strong>and</strong>book)<br />

Narrative summary<br />

Goal<br />

More <strong>and</strong> better trained<br />

students enroll <strong>and</strong> graduate<br />

from secondary schools<br />

Performance<br />

indicators<br />

Monitoring <strong>and</strong><br />

evaluation<br />

Assumptions <strong>and</strong> risks<br />

Objective<br />

More <strong>and</strong> better trained<br />

students graduate from<br />

primary schools at reduced<br />

costs with more gender<br />

equity<br />

Output<br />

Adequate, quality<br />

cl<strong>as</strong>srooms are used by<br />

students in the target groups<br />

Students have support<br />

from their families to enroll<br />

in secondary schools <strong>and</strong><br />

to continue their<br />

education<br />

Secondary schools have<br />

excess capacity to<br />

provide education from an<br />

incre<strong>as</strong>ed number of<br />

enrollments<br />

Transportation system<br />

allows children to get to<br />

schools in less than one<br />

hour<br />

Component activities<br />

1.1. Determine school needs<br />

for construction <strong>and</strong><br />

rehabilitation<br />

1.2. Construct schools<br />

1.3. Equip schools<br />

Inputs<br />

Cl<strong>as</strong>sroom<br />

renovation US$ xx<br />

M<br />

Administration<br />

US$ xx M<br />

Children are well fed<br />

when they arrive at school<br />

Weather does not hinder<br />

building<br />

Political stability<br />

<strong>Policy</strong> <strong>Matrix</strong><br />

Another planning tool is the <strong>Policy</strong> <strong>Matrix</strong>. It is a roadmap for planning to ensure<br />

• that objectives <strong>and</strong> targets on specific policy reforms are coherent;<br />

• that the actions required in order to achieve the targets are fe<strong>as</strong>ible; <strong>and</strong><br />

• that monitoring is possible in order to make sure that policy implementation (reform<br />

implementation) is on the right track. Most importantly, it is a tool that helps to ensure that<br />

Government commitment on specific policy actions is fe<strong>as</strong>ible.<br />

In a context of program-b<strong>as</strong>ed approaches (PBAs), the <strong>Policy</strong> <strong>Matrix</strong> is an essential tool to ensure the<br />

achievement of development outcomes, <strong>and</strong> joint accountability for these outcomes. Funds may or<br />

may not be earmarked for specific activities, but the tendency under PBAs will be to reduce the specific<br />

targeting of funds by using modalities such <strong>as</strong> pooled funding or budget support. The aim is to promote<br />

the larger objectives of the program by reducing transactions costs, reinforcing local systems, <strong>and</strong><br />

introducing a larger element of flexibility in the use of funds. National ownership is emph<strong>as</strong>ized <strong>and</strong><br />

prime responsibility for program design <strong>and</strong> implementation rests with the national institutions. The<br />

<strong>Policy</strong> <strong>Matrix</strong> also strengthens donor coordination <strong>and</strong> harmonization of procedures.<br />

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Mekong Institute-<strong>UNESCO</strong> Course on Decentralized Education Planning in the context of Public Sector Management Reform<br />

The <strong>Policy</strong> <strong>Matrix</strong> is one of the most important documents in the program-b<strong>as</strong>ed support agreement<br />

between the Government <strong>and</strong> donor(s). It includes medium-term policy reforms <strong>and</strong> concrete policy<br />

targets which are decided b<strong>as</strong>ed on situation analysis of the education sector/sub-sector(s) <strong>and</strong><br />

intensive consultation among key stakeholders. The emph<strong>as</strong>is of the me<strong>as</strong>ures included in the <strong>Policy</strong><br />

<strong>Matrix</strong> is on key actions <strong>and</strong> on milestones (policy triggers). Those actions required to achieve the<br />

policy targets are b<strong>as</strong>ed on fe<strong>as</strong>ibility in terms of scheduling, regulatory framework <strong>and</strong> management<br />

responsibilities (i.e., timeframe to achieve the policy targets, who will draft what kind of policy<br />

documents, who will be consulted, who will review <strong>and</strong> approve the documents, etc.). During<br />

implementation, the <strong>Policy</strong> <strong>Matrix</strong> is also the reference document that allows <strong>as</strong>sessing to what extent<br />

<strong>and</strong> how the programs are implemented.<br />

As such, the process of producing the <strong>Policy</strong> <strong>Matrix</strong> is very similar to the modern education planning<br />

approach which is explained in Session10. In this sense, the <strong>Policy</strong> <strong>Matrix</strong> could be a useful planning<br />

tool.<br />

While logframe <strong>and</strong> policy matrix have many similar features, they are different in the purpose of use.<br />

Logframe summarizes a project document <strong>and</strong> therefore is used <strong>as</strong> an agreement among project<br />

partners. <strong>Policy</strong> matrix stipulates conditions to be fulfilled by a recipient country. These are conditions<br />

related to national policy change <strong>and</strong> used <strong>as</strong> triggered for disbursement of funds. The nature of the<br />

performance indicators (targets) is therefore different from the nature of indicators included in the<br />

logframe. The latter are not necessarily linked to policy change, (but can be purely<br />

operational/procedural) <strong>and</strong> funding tranches.<br />

The sample format of the <strong>Policy</strong> <strong>Matrix</strong> is shown on below.<br />

<strong>Policy</strong> are<strong>as</strong> <strong>and</strong><br />

me<strong>as</strong>ures<br />

Actions to be taken<br />

prior to first tranche<br />

rele<strong>as</strong>e<br />

(expected Dec. 2007)<br />

1. Incre<strong>as</strong>e resource allocation to the education sector<br />

1.a. establish national policy<br />

<strong>and</strong> institutional framework<br />

for the education sector<br />

1.b. incre<strong>as</strong>e education<br />

sector allocation<br />

(Source: Asia Development Bank)<br />

MOE will approve the<br />

finalized education<br />

strategic plan <strong>and</strong><br />

education sector<br />

support program<br />

MOF will provide ADB<br />

with written confirmation<br />

that budget is<br />

consistent with ESSP<br />

requirement<br />

Actions to be taken<br />

prior to second tranche<br />

rele<strong>as</strong>e (expected Feb<br />

2009)<br />

Actions to be taken<br />

prior to third tranche<br />

rele<strong>as</strong>e (expected Dec<br />

2010)<br />

3


Mekong Institute-<strong>UNESCO</strong> Course on Decentralized Education Planning in the context of Public Sector Management Reform<br />

ANNEX - LOGFRAME Examples<br />

1st example from ADB (Cambodia ESDP II)<br />

Design summary Program targets<br />

(verifiable indicators)<br />

Development goals<br />

Objective/purpose<br />

Program<br />

components/output<br />

Inputs<br />

Monitoring<br />

mechanisms<br />

Assumptions<br />

<strong>and</strong> risks<br />

2nd example from ADB (Lao PDR BESDP)<br />

Design summary Performance<br />

targets/indicators<br />

Impact<br />

Outcome<br />

Output<br />

Data<br />

sources/reporting<br />

mechanism<br />

Assumptions <strong>and</strong><br />

risks<br />

Activities<br />

Inputs<br />

Example from World Bank (The Logframe H<strong>and</strong>book)<br />

Narrative summary Performance<br />

indicators<br />

Goal<br />

Monitoring <strong>and</strong><br />

evaluation<br />

Assumptions <strong>and</strong><br />

risks<br />

Objective<br />

Output<br />

Component activities<br />

Inputs<br />

Example from <strong>UNESCO</strong><br />

Narrative summary Verifiable indicators Means of verification Risks/<strong>as</strong>sumptions<br />

Goal<br />

Objectives<br />

Expected results<br />

Activities<br />

Inputs<br />

4

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