Logical Framework and Policy Matrix as - UNESCO Bangkok
Logical Framework and Policy Matrix as - UNESCO Bangkok
Logical Framework and Policy Matrix as - UNESCO Bangkok
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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 />
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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 />
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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 />
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