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PROJECT PLANNING IN UNHCR A PRACTICAL GUIDE ON THE …

PROJECT PLANNING IN UNHCRA PRACTICAL GUIDE ON THE USE OFOBJECTIVES, OUTPUTS, AND INDICATORSFor UNHCR Staff and Implementing Partners SECOND VERSION - MARCH 2002 Division of Operational Support UNHCR Headquarters PRACTICAL GUIDE March 2002 page 2 Please share this GUIDE with all of your implementing partners as it has been designed fortheir use as , please share it with all UNHCR staff involved with PLANNING and monitoring you have questions or suggestions concerning the use of UNHCR PLANNING and PROJECT designprinciples, and their relationship with the FMIS/FOBS, or any other comment on this Field GUIDE , you areencouraged to contact the PCOS Section and/or the DOS HelpLine .E-mail : user-id: HQDOSHLPFax: + you for any suggestions on how to improve this Field GuideAdvice on the reproduction of this document1. If you require hard copies of this document, we would suggest the following:2.

methodology with the existing input-based budgeting tool in a practical but useful manner. Essential Principles of the Logical Framework 11. A Logical Framework, or “Log-Frame” is a planning tool that uses a matrix format that challenges teams to systematically organise operational goals, objectives, and indicators into ‘logical ...

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1 PROJECT PLANNING IN UNHCRA PRACTICAL GUIDE ON THE USE OFOBJECTIVES, OUTPUTS, AND INDICATORSFor UNHCR Staff and Implementing Partners SECOND VERSION - MARCH 2002 Division of Operational Support UNHCR Headquarters PRACTICAL GUIDE March 2002 page 2 Please share this GUIDE with all of your implementing partners as it has been designed fortheir use as , please share it with all UNHCR staff involved with PLANNING and monitoring you have questions or suggestions concerning the use of UNHCR PLANNING and PROJECT designprinciples, and their relationship with the FMIS/FOBS, or any other comment on this Field GUIDE , you areencouraged to contact the PCOS Section and/or the DOS HelpLine .E-mail : user-id: HQDOSHLPFax: + you for any suggestions on how to improve this Field GuideAdvice on the reproduction of this document1. If you require hard copies of this document, we would suggest the following:2.

2 Print out one copy of the full document from the Acrobat reader on your computer printer;3. Produce a recto-verso photocopy of the print-out if you have an appropriate photocopy machine; and4. Use the recto-verso photocopy as the master for the production of hard copies. PRACTICAL GUIDE March 2002 page 3 Table of 4 What is this GUIDE 4 For whom is this GUIDE 4 How should this GUIDE be used 4 Related materials MANAGEMENT AND THE UNHCR OPERATIONS MANAGEMENT SYSTEM 6 Essential Principles of the Logical Framework 6 What are Objectives, Outputs and Indicators 6 Using the UNHCR PROJECT Description Format A HIERARCHY OF OBJECTIVES 9 The Steps to Follow 9 Need for Base-Line Data (Current Situation) 10 Setting the Hierarchy of Objectives within the UNHCR Context FOR WORKING WITH FMIS AS TOOLS FOR MONITORING AND REPORTING 13 Impact Indicators: Measuring both Welfare and Change 13 Welfare and Minimum Standards 13 The Common Country Assessment (CCA) Indicator Framework SYNTAX TO USE IN THE OMS HIERARCHY OF OBJECTIVES OF EXAMPLES OF UNHCR OBJECTIVES, OUTPUTS AND INDICATORS 22 Purpose of the Table of Examples 22 How to use the Table of Examples 22 Table of Examples 23 VIII.

3 WORKED EXAMPLE IN UNHCR PROJECT DESCRIPTION FORMAT OF ACRONYMS 60 ANNEX STANDARD LOGICAL FRAMEWORK MATRIX 61 PRACTICAL GUIDE March 2002 page 4I. IntroductionWhat is this Guide1. This GUIDE aims to provide PRACTICAL guidance on the formulation ofObjectives, Outputs and related Indicators that: are meaningful for field operations; focus team efforts on beneficiaries and changes in their conditions; respond to the main types of operational design problems UNHCR teams address; help UNHCR and its implementing partners manage the transition tomore results-based programming; and integrate policy priorities into objectives, outputs, and whom is this Guide2. The GUIDE is designed to be of use to a wide range of UNHCR andimplementing partner staff working in UNHCR -funded operations. Theaudience for the GUIDE includes: Field operations designers ( Programme, Protection, Repatriationand Field Officers, IP managers, advisors on gender/women andchildren, and technical specialists); Field operations managers ( Heads of Field, Sub- and BranchOffices, PROJECT Managers); Implementing partners; and Desk Officers and Programme should this GUIDE be used3.

4 In the first section of the GUIDE some background information anddefinitions are provided about the concepts underlying the OMS planningprinciples, including the Hierarchy of Objectives. It also provides a practicalstyle GUIDE on how to formulate objectives appropriately linked to outputs andindicators. It also provides a brief introduction to the concept of the CommonCountry Assessment (CCA).Then, the GUIDE provides a selection of Sample Objectives, Outputs andIndicators ( Table of Examples ) typical of UNHCR operations. The table canserve in a number of ways: Users can follow the examples provided as a style GUIDE toformulate their own objectives, outputs, and indicators specific to aparticular context or operation. Users can adapt examples appropriate to their own situations, re-working them to reflect what is desirable and achievable in their A worked-out example of the UNHCR PROJECT Description - Section V(Description of Objectives and Outputs) is provided at the end of this GUIDE inthe Annex to show how the samples from the Table of Examples can beadapted in a real PROJECT materials5.

5 Other useful PLANNING guidelines produced by UNHCR of use whenplanning are: UNHCR Handbook for Emergencies PRACTICAL GUIDE March 2002 page 5 UNHCR Manual Chapter 4, Sections - , Annex and Effective PLANNING Guidelines for UNHCR Teams (Jan 1999) Participatory PLANNING in UNHCR : A PRACTICAL GUIDE (Jan 2002)6. In the Table of Examples portion of this GUIDE , there are referencesto many of the relevant UNHCR manuals, guidelines, and other In addition, please refer to the Our Partners area of the UNHCR public website ( ) where this Field GUIDE and other keyUNHCR guidance materials are available for viewing and A variety of related materials exist from sources external to with access to the Internet should consult the following web pages:SPHERE UN Development PRACTICAL GUIDE March 2002 page 6II. Results-based Management and the UNHCR Operations Management System9.

6 In recent years UNHCR has embarked on a process to place greateremphasis on assuring positive results and the quality of assistance as distinctfrom financial control alone. Results-based management (RBM) is the termused to describe the process where gaining greater control over the result ofthe action is at least as important as the control of inputs (financial, materialsand human resources). The four key components of RBM are participatorystakeholder analysis, core problems analysis, hierarchy of objectives/objectivesetting, and performance monitoring. For more information on RBM seeEffective PLANNING Guidelines for UNHCR Teams, (January 1999).10. There are different approaches to support results-based of these are participatory PLANNING , bottom-up approaches, use ofbroadly participatory PLANNING workshops, People Oriented PLANNING (POP)framework to name a few of the more important ones.

7 To support a moreresults-based orientation, UNHCR has introduced new formats for the CountryOperations Plan, PROJECT and Sub- PROJECT descriptions. Unfortunately,FMIS/FOBS, the budgeting and accounting software tool the organisationcontinues to rely on, was not designed to support certain aspects of RBM. Anobjective of this GUIDE is to help operations overcome the mismatch of RMBmethodology with the existing input-based budgeting tool in a PRACTICAL butuseful Principles of the Logical Framework11. A Logical Framework, or Log-Frame is a PLANNING tool that uses amatrix format that challenges teams to systematically organise operationalgoals, objectives, and indicators into logical relationships. It helps teams toachieve sound PROJECT design with an enhanced likelihood of success. Log-Frames serve as a reporting and control mechanism in addition to the supportthey provide to the design process.

8 They can examine how well theimplementer has met the stated PROJECT objectives and whether the outputs have been delivered in an optimal and cost-effective way. There are manyvariations of the Log-Frame, and the OMS Hierarchy of Objectives matrix isone such variation adapted to meet UNHCR s In this respect the UNHCR Sub- PROJECT Description Format (PDF), tobe complemented by related SPMR formats and guidance, has a similarpurpose. From the outset of a PROJECT it sets out the framework for ongoingassessment of how effectively an operation is meeting stated programmegoal(s) and how implementing partners are contributing to the attainment ofsector objectives. It also aides in verification of whether the planned outputshave been produced by taking into account timeliness, cost-effectiveness,environmental impact, beneficiary needs, and similar guiding There are many potential advantages for UNHCR team in setting out in asimple but logical way the goals, objectives, and outputs of an operation andplacing them side-by-side with the indicators needed to measure theachievement of are Objectives, Outputs and Indicators14.

9 As part of UNHCR s new operations management system (OMS) newterminology has been introduced to UNHCR programme managementprocesses and some existing terms redefined. The OMS, which reflects theprinciples and processes of RBM, defines the basic terms of objective, output,and indicator as follows: ObjectiveWithin a country operation, objective(s) are formulated at thesector level for each of the programme goals. They are PRACTICAL GUIDE March 2002 page 7statements of desired result(s) and impact, which contributetowards the achievement of the programme goal(s).OutputAn output is a specific result delivered by the activities neededto accomplish the objective. Its delivery must be within thecontrol of UNHCR or an implementing partner, it contributestoward the achievement of an objective, and it is an elementfor which the implementer can be held fully indicator is a unit to measure signs of change towards theachievement of results.

10 Two types of indicators are employedin the OMS. Indicators should be disaggregated by sex andage as These are signs of behavioural change in conditions orinstitutional practice that affect beneficiaries and their are set at the Objective These are measures of performance towards the achievementof planned outputs that can be quantified and/or graded interms of quality and readily revisited within a foreseentimeframe. They are set at the Output It is important to note that these definitions are specific to UNHCR operations, protection and assistance. In different contexts (such as theCareer Management System CMS) or in other organisations, these termsmight be defined and used in a different the UNHCR PROJECT Description Format16. The UNHCR PROJECT Description format, shown below in a schematic,is slightly different from the full log-frame matrix shown in as an Annex.


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