NUMBER 13

2ND EDITION, 2010 DRAFT

PERFORMANCE MONITORING & EVALUATION

TIPS
BUILDING A RESULTS FRAMEWORK

ABOUT TIPS
These TIPS provide practical advice and suggestions to USAID managers on issues related to
performance monitoring and evaluation. This publication is a supplemental reference to the
Automated Directive System (ADS) Chapter 203.

a development hypothesis or a
WHAT IS A RESULTS theory about how intended
A RESULTS FRAMEWORK
INCLUDES:
FRAMEWORK? change will occur. The RF shows
how the achievement of lower An Assistance Objective (AO)
The Results Framework (RF) is a level objectives (IRs) leads to the Intermediate Results (IR)
graphic representation of a achievement of the next higher Hypothesized cause and
strategy to achieve a specific order of objectives, ultimately effect linkages
objective that is grounded in resulting in the AO. Critical Assumptions
cause-and-effect logic. The RF
includes the Assistance Objective In short, a person looking at a
(AO) and Intermediate Results Results Framework should be WHY IS THE RESULTS
(IRs), whether funded by USAID able to understand the basic FRAMEWORK
or partners, necessary to achieve theory for how key program
the objective (see Figure 1 for an objectives will be achieved. The IMPORTANT?
example). The RF also includes Results Framework is an
The development of a Results
the critical assumptions that must important tool because it helps
Framework represents an
hold true for the strategy to managers identify and focus on
important first step in forming
remain valid. key objectives within a complex
the actual strategy. It facilitates
development environment.
The Results Framework analytic thinking and helps
represents

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 Objective Assistance should be considered, including
Whats the Difference
Between a Results Framework Agreements). the following:
and the Foreign Assistance Functions as an effective
Framework (FAF)? communication tool because it What has led the team to
succinctly captures the key propose the Results
In one word, accountability. The
elements of a programs intent Framework?
results framework identifies an
objective that a Mission or Office and content. What is strategic about what is
will be held accountable for Establishes the foundation to being proposed (that is, does it
achieving in a specific country or
design monitoring and reflect a comparative
program environment. The
Foreign Assistance Framework evaluation systems. advantage or a specific niche)?
outlines broad goals and Information from performance What are the main strategic
objectives (e.g. Peace and
monitoring and evaluation issues?
Security) or, in other words,
systems should also inform the What is different in the new
programming categories.
Achievement of Mission or development of new RFs. strategy when compared to the
Office AOs should contribute to Identifies the objectives that old?
those broader FAF objectives.
drive project design. What synergies emerge? How
program managers gain clarity are cross-cutting issues
around key objectives. In order to be an effective tool, a addressed? How can these
Ultimately, it sets the foundation Results Framework should be issues be tackled in project
not only for the strategy, but also current. RFs should be revised level planning and
for numerous other management when 1) results are not achieved implementation?
and planning functions or completed sooner than
expected, 2) critical assumptions THE UNDERPINNING OF THE
downstream, including project
are no longer valid, 3) the RESULTS FRAMEWORK
design, monitoring, evaluation,
and program management. To underlying development theory
A good Results Framework is not
summarize, the Results must be modified, or 4) critical
only based on logic. It draws on
Framework: problems with policy, operations,
analysis, standard theories in a
or resources were not adequately
technical sector, and the
Provides an opportunity to recognized.
expertise of on-the-ground
build consensus and ownership
managers.
around shared objectives not KEY CONCEPTS
only among AO team members
Supporting Analysis
but also, more broadly, with THE RESULTS FRAMEWORK
host-country representatives, IS PART OF A BROADER Before developing a Results
partners, and stakeholders. STRATEGY Framework, the team should
Facilitates agreement with determine what analysis exists
other actors (such as While the Results Framework is and what analysis must yet be
USAID/Washington, other USG one of the core elements of a completed to construct a
entities, the host country, and strategy, it alone does not development hypothesis with a
other donors) on the expected constitute a complete strategy. reasonable level of confidence.
results and resources necessary Typically it is complimented by Evaluations constitute an
to achieve those results. The narrative that further describes important source of analysis,
AO is the focal point of the the thinking behind the RF, the identify important lessons from
agreement between relationships between the past programs, and may explore
USAID/Washington and the objectives, and the identification the validity of causal linkages that
Mission. It is also the basis for of synergies. As a team develops can be used to influence future
Assistance Agreements the RF, broader strategic issues programming. Analysis of past
(formerly called Strategic

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performance monitoring data is FIGURE 2. SETTING THE CONTEXT
also an important source of FOR PARTICIPATION

information. External Forces

(Host Country
Standard Sector Theories Strategy)

Sectors, particularly those that

USAID has worked in for some
The
time, often identify a set of
Fit
common elements that constitute
theories for how to accomplish
certain objectives. These USAID Mission/ Internal
common elements form a basic Vision Capacity
template of sorts to consider in
developing an RF. For example,
democracy and governance
experts often refer to addressing
that is presented in the narrative. analyses and standard sector
supply and demand. Supply
Technical experts can assist teams theories, and tailor a strategy for
represents the ability of
in understanding standard sector a specific country or program
government to play its role
theories. In addition, a number environment.
effectively or provide effective
of USAID publications outline
services. Demand represents the PARTICIPATION AND
broader sector strategies or
ability of civil society to demand OWNERSHIP
provide guidance on how to
or advocate for change.
develop strategies in particular
Education generally requires Development of a Results
technical areas1.
improved quality in teaching and Framework presents an important
curriculum, community On-the-Ground Knowledge opportunity for USAID to engage
engagement, and adequate its own teams, the host country,
and Experience
facilities. Health often requires civil society, other donors, and
improved quality of services, as Program managers are an other partners in defining
well as access to -- and greater important source of knowledge program objectives. Experience
awareness of those services. on the unique program or in- has shown that a Results
country factors that should be Framework built out of a
An understanding of these participatory process results in a
considered in the development of
common strategic elements is more effective strategy.
the Results Framework. They are
useful because they lay out a
best able to examine different
standard set of components that Recent donor commitments to
types of information, including
a team must consider in the Paris Declaration and the
developing a good RF. Although, Accra Agenda for Action reinforce
1 Examples include: Hansen,
not all of these elements will these points. USAID has agreed
Gary. 1996. Constituencies for
apply to all countries in the same to increase ownership, align
Reform: Strategic Approaches for systems with country-led
way, they form a starting point to
Donor-Supported Civic Advocacy strategies, use partner systems,
inform the teams thinking. As
the team makes decisions about Groups or USAID. 2008. Securing harmonize aid efforts, manage for
what (or what not) to address, the Future: A Strategy for development results, and
this becomes a part of the logic Economic Growth. establish mutual accountability.

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Common questions include, GUIDELINES FOR CONSTRUCTING AOs AND IRs
how do we manage
participation? or how do we AOs and IRs should be:
avoid raising expectations that Results Statements. AOs and IRs should express an outcome. In other words,
we cannot meet? One the results of actions, not the actions or processes themselves. For example,
approach for setting the context the statement increased economic growth in targets sectors is a result, while
for effective participation is to the statement increased promotion of market-oriented policies is more
process oriented.
simply set expectations with
participants before engaging in Clear and Measurable. AOs and IRs should be stated clearly and precisely, and
strategic discussions. In essence, in a way that can be objectively measured. For example, the statement
USAID is looking for the increased ability of entrepreneurs to respond to an improved policy, legal,
and regulatory environment is both ambiguous and subjective. How one
strategic fit (see Figure 2). That
defines or measures ability to respond to a changing policy environment is
is, USAID seeks the intersection unclear and open to different interpretations. A more precise and measurable
between what the host country results statement in this case is increased level of investment. It is true that
wants, what USAID is capable of USAID often seeks results that are not easily quantified. In these cases, it is
critical to define what exactly is meant by key terms. For example, what is
delivering, and the vision for the
meant by improved business environment? As this is discussed, appropriate
program. measures begin to emerge.

WHOLE-OF- GOVERNMENT Unidimensional. AOs or IRs ideally consist of one clear overarching objective.
APPROACHES The Results Framework is intended to represent a discrete hypothesis with
cause-and-effect linkages. When too many dimensions are included, that
Efforts are underway to institute function is lost because lower level results do not really add up to higher
level results. Unidimensional objectives permit a more straightforward
planning processes that take into assessment of performance. For example, the statement healthier, better
account the U.S. Governments educated, higher-income families is an unacceptable multidimensional result
overall approach in a particular because it includes diverse components that may not be well-defined and
country. A whole-of- may be difficult to manage and measure. There are limited exceptions. It may
be appropriate for a result to contain more than one dimension when the
government approach may
result is 1) achievable by a common set of mutually-reinforcing Intermediate
identify larger goals or objectives Results or 2) implemented in an integrated manner (ADS 201.3.8).
to which many USG entities
contribute. Essentially, those
objectives would be at a higher actors (whether other USG Project teams may continue to
level or above the level of entities, donors, the host country, flesh out the Results Framework
accountability of any one USG or other partners) where the in further detail or may use the
agency alone. USAID Assistance achievement of those objectives Logical Framework2. Either way,
Objectives should clearly are essential for USAID to achieve all projects and activities should
contribute to those larger goals, its AO. For example, if a be designed to accomplish the
but also reflect what the USAID program achieves a specific AO and some combination of one
Mission can be held accountable objective that contributes to or more IRs.
for within a specified timeframe USAIDs AO, it should be
and within budget parameters. reflected as an IR. This can 2 The Logical Framework (or
facilitate greater coordination of logframe for short) is a project
The whole-of-government efforts. design tool that complements the
approach may be reflected at a Results Framework. It is also
lower level in the Results THE LINKAGE TO PROJECTS based on cause-and-effect
Framework as well. The RF The RF should form the linkages. For further information
provides flexibility to include the foundation for project planning. reference ADS 201.3.11.8.
objectives of other

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THE PROCESS FOR and hold sessions with key It is critical to stress the importance
counterparts to present the of not rushing to finalize a results
DEVELOPING A draft strategy and obtain framework. It is necessary to take

RESULTS feedback. time for the process to mature and to

be truly participative.
FRAMEWORK Conduct a strategy workshop
USAID staff member in Africa
for AO teams to present out
SETTING UP THE PROCESS RFs and discuss strategic issues. standard by which the Mission or
Although these options require Office is willing to be judged in
Missions may use a variety of
some time and effort, the results terms of its performance. The
approaches to develop their
framework will be more complete concept of managing for results
respective results frameworks. In
and representative. (a USAID value also reflected in
setting up the process, consider
the Paris Declaration) is premised
the following three questions.
What process and approach on this idea.
When should the results will be used to develop the
results frameworks? We The task can be challenging,
frameworks be developed? It is
strongly recommend that the AO because an AO should reflect a
often helpful to think about a
team hold group sessions to balance of two conflicting
point in time at which the team
construct the results framework. considerationsambition and
will have enough analysis and
It is often helpful to have one accountability. On the one hand,
information to confidently
person (preferably with every team wants to deliver
construct a results framework.
experience in strategic planning significant impact for a given
Who is going to participate and facilitation) to lead these investment. On the other hand,
(and at what points in the sessions. This person should there are a number of factors
process)? It is important to focus on drawing out the ideas of outside the control of the team.
develop a schedule and plan out the group and translating them In fact, as one moves up the
the process for engaging partners into the results framework. Results Framework toward the
and stakeholders. There are a AO, USAID is more dependent on
number of options (or a STEP 1. IDENTIFY THE other development partners to
combination) that might be ASSISTANCE OBJECTIVE achieve the result.
considered:
The Assistance Objective (AO) is Identifying an appropriate level
Invite key partners or the center point for any results of ambition for an AO depends
stakeholders to results framework and is defined as: on a number of factors and will
framework development be different for each country
sessions. If this is done, it may The most ambitious result context. For example, in one
be useful to incorporate some (intended measurable change) country it may be appropriate for
training on the results that a USAID Mission/Office, the AO to be increased use of
framework methodology in along with its partners, can family planning methods while
advance. Figure 3 outlines the materially affect, and for which in another, decreased total
basic building blocks and it is willing to be held fertility (a higher level objective)
defines terms used in strategic accountable (ADS 201.3.8). would be more suitable. Where
planning across different to set the objective is influenced
Defining an AO at an appropriate
organizations. by the following factors:
level of impact is one of the most
The AO team may develop a critical and difficult tasks a team
preliminary results framework faces. The AO forms the

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 Programming history. building schools that are
Figure 3. Results Framework Logic
There are different essential for USAID to
expectations for more So What? accomplish an education AO
mature programs, where (e.g. increased primary
higher level impacts and school completion), then
greater sustainability are Necessary that should be reflected as
expected. and an IR because it is a
Sufficient necessary ingredient for
The magnitude of the success.
development problem.
Initially, the AO team might
The timeframe for the How? identify a large number of
strategy. possible results relevant to
measurable results that may the AO. However, it is
The range of resources
capture a number of important to eventually settle on
available or expected.
discrete and more specific the critical set of Intermediate
The AO should represent the results (ADS 201.3.8.4). Results. There is no set number
teams best assessment of what for how many IRs (or levels of IRs)
can realistically be achieved. In As the team moves down from are appropriate. The number of
other words, the AO team should the AO to IRs, it is useful to ask Intermediate Results will vary
be able to make a plausible case how can the AO be achieved? with the scope and complexity of
that the appropriate analysis has By answering this question, the the AO. Eventually, the team
been done and the likelihood of team begins to formulate the IRs should arrive at a final set of IRs
success is great enough to (see Figure 3). The team should that members believe are
warrant investing resources in the assess relevant country and reasonable. It is customary for
AO. sector conditions and draw on USAID Missions to submit a
development experience in other Results Framework with one or
STEP 2. IDENTIFY countries to better understand two levels of IRs to
INTERMEDIATE RESULTS the changes that must occur if USAID/Washington for review.
After agreeing on the AO, the the AO is to be attained. The key point is that there should
team must identify the set of be enough information to
lower level Intermediate Results The Results Framework adequately convey the
necessary to achieve the AO. An methodology is sufficiently development hypothesis.
Intermediate Result is defined as: flexible to allow the AO team to
include Intermediate Results that
An important result that is are supported by other actors
seen as an essential step to when they are relevant and
achieving a final result or critical to achieving the AO. For
outcome. IRs are example, if another donor is

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 So What is Causal Logic Anyway?
Causal logic is based on the concept of cause-and-effect. That is, the accomplishment of lower-level
objectives cause the next higher-level objective (or the effect) to occur. In the following example, the
hypothesis is that if IR 1, 2, and 3 occur, it will lead to the AO.

AO: Increased
Completion of
Primary School

IR 1: Improved IR 2: Improved IR 3: Increased

Quality of Curriculum Parental
Teaching Commitment to
Education

STEP 3. CLARIFY THE the AO. A critical assumption is

the target population established
defined as:
RESULTS FRAMEWORK (out-of-school youth).
LOGIC .a general condition under
As the team looks across the
Through the process of which the development
Results Framework, it should ask
identifying Intermediate Results, hypothesis will hold true.
whether the Intermediate Results
the team begins to construct the Critical assumptions are
are necessary and sufficient to
cause-and-effect logic that is outside the control or
achieve the AO.
central to the Results Framework. influence of USAID and its
Once the team has identified the Results Framework logic is not partners (in other words, they
Intermediate Results that support always linear. There may be are not results), but they
an objective, it must review and relationships across results or reflect conditions that are
confirm this logic. even with other AOs. This can likely to affect the achievement
sometimes be demonstrated on of results in the Results
The accomplishment of lower
the graphic (e.g., through the use Framework. Critical
level results, taken as a group,
of arrows or dotted boxes with assumptions may also be
should result in the achievement
some explanation) or simply in expressed as risks or
of the next higher objective. As
the narrative. In some cases, vulnerabilities (ADS
the team moves up the Results
teams find a number of causal 201.3.8.3)
Framework, they should ask, so
connections in an RF. However,
what? If we accomplish these Identifying critical assumptions,
teams have to find a balance
lower level objectives, is assessing associated risks, and
between the two extremes- on
something of significance determining how they should be
the one hand, where logic is too
achieved at the next higher level? addressed is a part of the
simple and linear and, on the
strategic planning process.
The higher-order result other, a situation where all
Assessing risk is a matter of
establishes the lens through objectives are related to all
balancing the likelihood that the
which lower-level results are others.
critical assumption will hold true
viewed. For example, if one IR is
STEP 4. IDENTIFY CRITICAL with the ability of the team to
Increased Opportunities for Out-
ASSUMPTIONS address the issue. For example,
of-School Youth to Acquire Life
The next step is to identify the set consider the critical assumption
Skills, then, by definition, all
of critical assumptions that are adequate rainfall. If this
lower level IRs would focus on
relevant to the achievement of assumption has held true for the

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 What is NOT Causal Logic?

Categorical Logic. Lower level results are simply sub-categories rather than cause and effect, as
demonstrated in the example below.

AO: Increased
Completion of
Primary School

IR 1: Improved IR 2: Improved IR 3: Improved

Pre-Primary Primary Secondary
School Education Education

Definitional Logic. Lower-level results are a restatement (or further definition) of a higher-level objective.
The use of definitional logic results in a problem later when identifying performance indicators because it is
difficult to differentiate indicators at each level.

IR: Strengthened
Institution

IR: Institutional
Capacity to Deliver
Goods & Services

target region only two of the past the years when a drought may
STEP 6. IDENTIFY
six years, the risk associated with occur.
PRELIMINARY
this assumption is so great that it
poses a risk to the strategy. STEP 5. COMPLETE THE PERFORMANCE MEASURES
RESULTS FRAMEWORK Agency policies (ADS 201.3.8.6)
In cases like this, the AO team As a final step, the AO team require that the AO team present
should attempt to identify ways should step back from the Results proposed indicators for the AO
to actively address the problem. Framework and review it as a with baseline data and targets.
For example, the team might whole. The RF should be The AO, along with indicators and
include efforts to improve water straightforward and targets, represents the specific
storage or irrigation methods, or understandable. Check that the results that will be achieved vis-a-
increase use of drought-resistant results contained in the RF are vis the investment. To the extent
seeds or farming techniques. measurable and feasible with possible, indicators for IRs with
This would then become an IR (a anticipated USAID and partner baseline and targets should be
specific objective to be resource levels. This is also a included as well.
accomplished by the program) good point at which to identify
rather than a critical assumption. synergies between objectives and
Another option for the team is to across AOs.
develop contingency plans for

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 Critical Assumptions
1. Market prices for farmers products remain stable
Figure 1. Illustrative Results Framework
or increase.
AO: 2. Prices of agricultural inputs remain stable or
Increased decrease.
Production by 3. Roads needed to get produce to market are
Farmers in the maintained.
Upper River Zone 4. Rainfall and other critical weather conditions
remain stable.

IR: IR: IR:

Farmers Access to Farmers Transport Farmers
Commercial Costs Decreased Knowledge About
Capital Increased Effective
Production
Methods
Increased

IR: Farmers IR: Banks Loan IR: Additional IR: Village IR: New IR: Farmers
Capacity to Policies Become Local Wholesale Associations Technologies Exposure to On-
Develop Bank More Favorable Market Facilities Capacity to Available Farm Experiences
Loan Applications for the Rural Constructed (with Negotiate of Peers Increased
Increased Sector the World Bank) Contracts (World Bank)
(4 years) (3 years) Increased (4 years)

USAID Partner(s)(4 USAID +

Key Responsible Responsible Partner(s)
Responsible

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 Figure 3. The Fundamental Building Blocks for Planning

ASSISTANCE OBJECTIVE (AO) AO

The highest level objective for which USAID is Increased Primary School Completion
willing to be held accountable. AOs may also
be referred to as outcomes, impacts, or results.

INTERMEDIATE RESULTS (IRs) IR

Interim events, occurrences, or conditions that Teaching Skills Improved

are essential for achieving the AO. IRs may
also be referred to as outcomes or results.

OUTPUT OUTPUT

Products or services produced as a result of Number of teachers trained

internal activity.

INPUT INPUT

Resources used to produce an output. Funding or person days of training

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 Figure 4. Sample Results Framework and Crosswalk of FAF Program Hierarchy and a
Results Framework

F Program
Hierarchy for Illustrative Results Framework for
Budgeting and Program Planning
Reporting

Assistance Objective: Economic Competitiveness of

Private Enterprises Improved

IR 1: Enabling Environment for IR 2: Private Sector

Enterprises Improved Capacity Strengthened

IR 1.1 Licensing IR 1.2 IR 1.3 IR 2.1 IR 2.2 IR 2.3

and registration Commercial laws Regulatory Competitiveness Productivity of Information
requirements for that support environment for of targeted micro- Exchange
enterprises market-oriented micro and small enterprises enterprises in Improved
streamlined transactions enterprises improved targeted
The Illustrative Results Framework promoted improved geographic
links to the FAF Program regions
Hierarchy as follows: increased

Objective 4 Economic Growth

Program Areas 4.6 (Private Sector Critical Assumptions:
Competitiveness) and 4.7
(Economic Opportunity
Key political leaders, including the President and the
Program Elements 4.6.1, 4.6.2, 4.7
Sub-Elements 4.6.12 and 4.7.2.1 Minister of Trade and Labor, will continue to support
Sub-Element 4.6.1.3 policy reforms that advance private enterprise-led
Sub-Element 4.7.2.2 growth.
Sub-Element 4.6.2.1
Government will sign the Libonia Free Trade
Sub-Element 4.7.3
Sub-Element 4.6.2.4 Agreement, which will open up opportunities for
enterprises targeted under IR 2.1.

Note: The arrows demonstrate the linkage of AO1, IR 1, and IR 1.1 to the FAF. As an example, IR1 links to the program element 4.6.1
Business Enabling Environment. IR 1.1 links to 4.7.2.1 Reduce Barriers to Registering Micro and Small Business.

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For more information:
TIPS publications are available online at [insert website].

Acknowledgements:
Our thanks to those whose experience and insights helped shape this publication including Gerry Britan
and Subhi Mehdi of USAIDs Office of Management Policy, Budget and Performance (MPBP). This
publication was updated by Michelle Adams-Matson, of Management Systems International.

Comments can be directed to:

Gerald Britan, Ph.D.
Tel: (202) 712-1158
[email protected]

Contracted under RAN-M-00-04-00049-A-FY0S-84

Integrated Managing for Results II

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