Logical Framework and Policy Matrix as - UNESCO Bangkok

Mekong Institute-UNESCO Course on Decentralized Education Planning in the context of Public Sector Management Reform
Session 11: Logical Framework and Policy Matrix as
Planning Tools
Paper 11.1 - Logical Framework and Policy Matrix as Planning
Tools 1
Introduction
As mentioned in Session 2, modern planning combines the three approaches of project,
program-based, and sector-wide. Although many governments and donors are pursuing a sector-wide
approach, they are not abandoning investment projects. These three approaches are complementary,
and play different roles under different circumstances. Therefore, the way forward will likely be a mix of
the sector-wide approach, program-based approach and traditional projects, whereby each will be
particularly relevant to a specific phase in the planning process. The sector-wide approach is relevant
for long-term and medium-term planning. The program-based approach is essential for medium-term
planning. And, the project approach is essential for implementing medium-term plans through annual
budgets. This means that donor support is provided by a mix of approaches in the form of pooled
funding, budget support, project, and funding through off-budget support (e.g., technical assistance).
There are two types of planning and plans:
• those that reflect policies and formulate strategies for their implementation. This is the case of
long-term plans and medium-term plans (which are in the form of programs); and
• those that formulate the way in which the programs will be carried out through annual budgets.
These are implementation plans.
Both types of planning have to be done at national level as well as at decentralized level. Also, both
types of planning use similar methodology and tools.
This Session looks at two widely applied tools which have proven to be useful. They help put in order
many objectives, views, and suggestions that come from many national and international stakeholders
directly involved in shaping sector policies and planning.
The Logical Framework (Logframe) Approach (LFA)
The Logical Framework (Logframe) is a tool that has the power to communicate the essential elements
of a complex program (or project) and their interplay clearly and succinctly. It is used to develop the
overall design of a program (or project), to improve project implementation monitoring, and to
strengthen periodic evaluation of implementation.
Over the years, the Logframe evolved as a core technique for planning and managing the complete
cycle from design, to implementation activities, to monitoring and evaluation
More detailed information about the Logframe approach and Logframe matrix is provided in the
PowerPoint Presentation. An example of Logframes is shown below.
1 The paper was prepared by Toshiyuki Matsumoto, UNESCO Bangkok. It is mainly based on The Logframe Handbook: A
Logical Framework Approach to Project Cycle Management (The World Bank, 2004), CIDA Primer on Program-Based
Approaches (CIDA, 2003), AusGuideline 3.3 The Logical Framework Approach (AusAID, 2005) and the PowerPoint
presentation titled Project Frameworks for Different Types of Projects (ADB).
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Mekong Institute-UNESCO Course on Decentralized Education Planning in the context of Public Sector Management Reform
LOGFRAME example (from World Bank, The Logframe Handbook)
Narrative summary
Goal
More and better trained
students enroll and graduate
from secondary schools
Performance
indicators
Monitoring and
evaluation
Assumptions and risks
Objective
More and better trained
students graduate from
primary schools at reduced
costs with more gender
equity
Output
Adequate, quality
classrooms are used by
students in the target groups
Students have support
from their families to enroll
in secondary schools and
to continue their
education
Secondary schools have
excess capacity to
provide education from an
increased number of
enrollments
Transportation system
allows children to get to
schools in less than one
hour
Component activities
1.1. Determine school needs
for construction and
rehabilitation
1.2. Construct schools
1.3. Equip schools
Inputs
Classroom
renovation US$ xx
M
Administration
US$ xx M
Children are well fed
when they arrive at school
Weather does not hinder
building
Political stability
Policy Matrix
Another planning tool is the Policy Matrix. It is a roadmap for planning to ensure
• that objectives and targets on specific policy reforms are coherent;
• that the actions required in order to achieve the targets are feasible; and
• that monitoring is possible in order to make sure that policy implementation (reform
implementation) is on the right track. Most importantly, it is a tool that helps to ensure that
Government commitment on specific policy actions is feasible.
In a context of program-based approaches (PBAs), the Policy Matrix is an essential tool to ensure the
achievement of development outcomes, and joint accountability for these outcomes. Funds may or
may not be earmarked for specific activities, but the tendency under PBAs will be to reduce the specific
targeting of funds by using modalities such as pooled funding or budget support. The aim is to promote
the larger objectives of the program by reducing transactions costs, reinforcing local systems, and
introducing a larger element of flexibility in the use of funds. National ownership is emphasized and
prime responsibility for program design and implementation rests with the national institutions. The
Policy Matrix also strengthens donor coordination and harmonization of procedures.
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Mekong Institute-UNESCO Course on Decentralized Education Planning in the context of Public Sector Management Reform
The Policy Matrix is one of the most important documents in the program-based support agreement
between the Government and donor(s). It includes medium-term policy reforms and concrete policy
targets which are decided based on situation analysis of the education sector/sub-sector(s) and
intensive consultation among key stakeholders. The emphasis of the measures included in the Policy
Matrix is on key actions and on milestones (policy triggers). Those actions required to achieve the
policy targets are based on feasibility in terms of scheduling, regulatory framework and management
responsibilities (i.e., timeframe to achieve the policy targets, who will draft what kind of policy
documents, who will be consulted, who will review and approve the documents, etc.). During
implementation, the Policy Matrix is also the reference document that allows assessing to what extent
and how the programs are implemented.
As such, the process of producing the Policy Matrix is very similar to the modern education planning
approach which is explained in Session10. In this sense, the Policy Matrix could be a useful planning
tool.
While logframe and policy matrix have many similar features, they are different in the purpose of use.
Logframe summarizes a project document and therefore is used as an agreement among project
partners. Policy matrix stipulates conditions to be fulfilled by a recipient country. These are conditions
related to national policy change and used as triggered for disbursement of funds. The nature of the
performance indicators (targets) is therefore different from the nature of indicators included in the
logframe. The latter are not necessarily linked to policy change, (but can be purely
operational/procedural) and funding tranches.
The sample format of the Policy Matrix is shown on below.
Policy areas and
measures
Actions to be taken
prior to first tranche
release
(expected Dec. 2007)
1. Increase resource allocation to the education sector
1.a. establish national policy
and institutional framework
for the education sector
1.b. increase education
sector allocation
(Source: Asia Development Bank)
MOE will approve the
finalized education
strategic plan and
education sector
support program
MOF will provide ADB
with written confirmation
that budget is
consistent with ESSP
requirement
Actions to be taken
prior to second tranche
release (expected Feb
2009)
Actions to be taken
prior to third tranche
release (expected Dec
2010)
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Mekong Institute-UNESCO Course on Decentralized Education Planning in the context of Public Sector Management Reform
ANNEX - LOGFRAME Examples
1st example from ADB (Cambodia ESDP II)
Design summary Program targets
(verifiable indicators)
Development goals
Objective/purpose
Program
components/output
Inputs
Monitoring
mechanisms
Assumptions
and risks
2nd example from ADB (Lao PDR BESDP)
Design summary Performance
targets/indicators
Impact
Outcome
Output
Data
sources/reporting
mechanism
Assumptions and
risks
Activities
Inputs
Example from World Bank (The Logframe Handbook)
Narrative summary Performance
indicators
Goal
Monitoring and
evaluation
Assumptions and
risks
Objective
Output
Component activities
Inputs
Example from UNESCO
Narrative summary Verifiable indicators Means of verification Risks/assumptions
Goal
Objectives
Expected results
Activities
Inputs
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