PROJECT PLANNING IN UNHCR -
A PRACTICAL GUIDE ON THE USE OF
OBJECTIVES, OUTPUTS AND INDICATORS
For UNHCR Staff
And Implementing Partners
Division of Operational Support
March 2001

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Practical Guide March 2001 page 2

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Table of Contents
INTRODUCTION 4
What are Objectives, Outputs and Indicators? 4
What is a Log-Frame? 6
Knowing the Limits 7
The Context of UNHCR’s Operations 7
Establishing the Global Picture 8
The Need for Base Line Data 8
Technical Inputs and Specialised Support 8
II. Guide to UNHCR syntax used in formulating Objectives, Outputs and Indicators 9
Inputs vs. Outputs 12
III. Objectives, Outputs and Indicators in the Context of UNHCR’s (Sub-) Project Planning 13
IV. Impact Indicators: Measuring Welfare or Change? 14
V. Monitoring and Reporting 16
VI. Introduction to the Table of Examples of UNHCR Objectives, Outputs and Indicators 17
Disaggregation and redressing inequality 19
GLOSSARY OF ACRONYMS 20
INDEX 21
TABLE OF EXAMPLES 23
ANNEX 1 Overview on Assistance and Protection (attached)
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INTRODUCTION
1.
In recent years, UNHCR has embarked on a change management process
with the aim to place greater emphasis on assuring positive results and the
quality of assistance in lieu of financial control. ‘Results-based Management’
(RBM) is the term used to describe the process where the result of the action is at
least as important as the control of ‘inputs’ (financial, materials and human
What is this Guide?
resources).
2.
There are different ways to embark on this planning approach and make
This guide aims to provide practical guidance on the formulation of
Objectives, Outputs and related Indicators which:
use of results-based methodology1: participatory planning, bottom-up
approaches, use of broadly participatory planning workshops, People Oriented
• are meaningful for field operations and for focusing team efforts;
Planning (POP) framework to name the most important ones. In support of
Results-based Management, UNHCR has also introduced new formats for the
• respond to the main types of operational design problems UNHCR
Country Operations Plan, Project and Sub-Project descriptions. FMIS/FOBS, the
teams attempt to address;
budgeting and accounting software tool the organisation has relied on for the last
decade, was not designed to support RBM. This guide attempts to address the
• help managers within UNHCR and its implementing partners to
obvious mismatch of the adopted methodology of ‘Results-based Management’
manage the multi-year transition phase until software exists which
with the existing software tool in a practical manner.
will support Results-based Management.
What are Objectives, Outputs and Indicators?
• illustrate the integration of policy priorities into the formulation of
Objectives, Outputs and Indicators
3.
As parts of the ongoing change process, new terminology was introduced
and pre-existing terms were redefined. The Operations Management System
(OMS) which embodies the rules and procedures of RBM, defines the basic
terms of objectives, outputs and indicators as follows:

1 The four key components of RBM are: a) Participatory stakeholder analysis; Core
Problems analysis; Hierarchy of Objectives / Objective Setting; and Performance
Monitoring. See for detailed guidance: Effective Planning Guidelines for UNHCR Teams,
January 1999

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For Whom is this Guide?
Objective
Within a country operation, objective(s) are formulated at the
sector level for each of the programme goals and are statements
The guide is designed to be of interest to a wide range of UNHCR
of desired result(s) and impact, which contribute towards the
staff and those of Implementing Partners working in UNHCR-funded
achievement of the programme goal(s).
operations. The audience for the guide includes:
• Field operations designers (e.g. Programme, Protection and Field
Output
An output is a specific result delivered by programme activities.
Officers, IP managers, technical and policy priority specialists);
Its delivery must be within the control of UNHCR or an
implementing partner, it contributes toward the achievement of
• Field operations managers (e.g. Heads of Field, Sub- and Branch
an objective, and it is an element for which the implementer can
Offices, Project Managers);
be held fully accountable. Outputs should be disaggregated by
sex and age, if appropriate.
• Desk Officers and Programme Assistants.
Indicator
Measurable signs of change towards the achievement of results.
How can this Guide be Used?
In the OMS two types of indicators are employed:
Impact Indicators Set at the Objective level, these are signs of
First, the guide provides some background and basic definitions. It
behavioural change in, and impact on, beneficiaries and their
provides a practical style guide on how to formulate objectives,
welfare, systems, institutions or processes of concern to
appropriately linked to outputs, and indicators. It introduces the
UNHCR.
concept of the Common Country Assessment (CCA).
Performance Indicators Set at the Output level, these are
Then, the guide provides a selection of Sample Objectives, Outputs
measures of performance towards the achievement of planned
and Indicators (“Table of Examples”) typical of UNHCR operations.
outputs that can be quantified and/or qualified and readily
Users can use the samples in a number of ways:
revisited within a foreseen timeframe. Performance Indicators
should be disaggregated by sex and age, if appropriate.
• Firstly, they can select from the examples, wherever appropriate,
for inclusion in their Country Operations Plan (COPs), Project and
4.
It is important to note that these definitions are specific to UNHCR
Sub-Project descriptions.
operations, i.e. protection and assistance. In different contexts (such as the
Career Management System – CMS) or in other organisations, these terms might
• Secondly, through providing these examples, the guide can be
be defined and used in a different manner.
used as a tool for designing and presenting objectives, outputs
and indicators specific to a particular context or operation.
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What is a Log-Frame?
5.
The terminology for results-based management has been derived from an
adaptation of the so-called “Logical Framework” for the current needs of
UNHCR. A Log-Frame is a planning tool that systematically sets out a matrix
that relates operational goals, objectives and indicators to each other. It exists in
What is the Future of this Guide?
many forms according to the preferences of whichever organisation is applying
it. Log-Frames are particularly popular as a tool for donor organisations, in that
It is intended that the guide will be updated regularly. Users are
they set out in a relatively simplified format the goals, objectives and outputs of
invited to respond to this draft by sending their comments and
an operation side-by-side with the
proposals to the “DOS HelpLine” (see page 22).
6.
The hierarchy of objectives and objective setting, in the context of a
The “Table of Examples” providing sets of objectives, outputs and
UNHCR country operation, should be the result of continual assessment and
indicators will be gradually developed into a more comprehensive
participatory planning processes that include the following steps:
master-list of samples that would reflect the results most commonly
desired in UNHCR operations.
Step One
establish the goal(s) of the programme (what is the desired
overall result with regard to the beneficiary population or
What Related Materials Exist?
theme?)
Step Two
choose specific (sectoral) objectives in line with the overall goal
A variety of related materials exist from sources external to UNHCR.
(what are the specifics to be achieved to reach the intended
Offices with access to the Internet should consult the following web
goal?);
pages:
SPHERE Project http://www.sphereproject.org
Step Three
identify the outputs to be produced to achieve the objectives
The UN Development Group http://www.dgo.org
(exactly what is to be done?);
WHO http://www.who.int
OCHA http://www.reliefweb.int
Step Four
work out/explore potential feasible options (or course of actions)
WFP http://www.wfp.org
and decide upon which option best meet the intended outputs in a
UNICEF http://www.unicef.org
given context.
Step Five
design meaningful indicators that will help in measuring the
outputs and attainment of objectives; and
Step Six
calculate the inputs necessary to achieve the planned outputs
and attainment of objectives (put a FMIS budget together).

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Knowing the Limits
7.
Goals, Objectives, Outputs and Indicators are but fragments. They
8.
Full Log-Frames, which are required by some donors as part of
require a context and coherent high-level aims to be meaningful. Indicators,
funding proposals, are principally a reporting and control mechanism. They
for example, if applied in isolation (from a wide range of other possible
are applied to examine how well the implementer has met the stated project
indicators) are a notoriously weak means of measuring complex temporary
objectives and whether the ‘outputs’ have in fact been produced in an
processes or interdependent activities. The Log-Frame by itself does not
optimal and cost-effective way. The UNHCR Sub-Project Description
identify or account for gender and age issues implicit in the planning,
Format (PDF), which will in future be complemented by a related SPMR
implementation, monitoring, and evaluation of protection and assistance
Format, has a similar purpose: providing an assessment of how effectively
activities. It is the task of programme planners and implementers to add a
an operation has met the stated programme goal(s), how implementing
gender and age perspective to these processes.
partners have contributed to the attainment of sector objectives and whether
the planned outputs have in fact been produced taking into account
timeliness, cost-effectiveness, adverse environmental impact, sensitiveness
to beneficiary needs, and similar guiding factors.
The Context of UNHCR’s Operations
9.
During the UNHCR Programming and Reporting Cycle, goals and
10.
The development of objectives, outputs and indicators at these
objectives are formulated in the context of the Country Operations Plan
various planning levels should always be conducted with the protection and
(COP). Sectoral objectives, outputs and indicators are used in the following
well being of beneficiaries in mind. This necessitates the participation of
documents:
beneficiaries: for example, are the different needs of women and men, boys
•
and girls known and responded to in this project? Have women, men and
Project submissions, including project descriptions
•
adolescents been actively involved in developing the project and will they
authorisations, such as Letters of Instruction, here in particular the
participate in implementation?
project description,
• Sub-agreements and sub-project descriptions.
The formats for these documents support results-based management and
promote the concept of the hierarchy of objectives. All formats are available
as electronic templates and all offices and implementing partners are
advised to make use of them.
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Establishing the Global Picture
11.
In most operations, UNHCR is not the sole actor providing
12.
In Section 4 (“Related Inputs”) of the (sub-) project description
protection and funding for assistance activities. Civil and human rights
format there is the opportunity to list those complementary assistance
groups monitor protection issues while private agencies and implementing
activities and resources, and their financial value, provided by implementing
partners may have obtained funds from other sources for complementary
and operational partners for the same beneficiary population. Annex 1 of
assistance projects. Agencies of the UN System, other bilateral or
this Field Guide introduces a format for capturing the global picture and
multilateral donors, or the host government may fund or provide services
related inputs. On the basis of the concept of “minimum standards /
for refugees and the population of concern. It is essential for effective
generally accepted standards”, which will be discussed in paragraph 26
planning that UNHCR and its partners have, at any given time, an overview
below, the format is intended to provide an overview of who is undertaking
on all protection and assistance activities. The “global picture” is a
which kind of protection and assistance activities, and the types of resources
necessary precondition for effective co-ordination of the planning processes
being provided, such as in-kind contributions, cash, or personnel.
and the programmes and projects that deliver assistance in order to avoid
duplication of activities on the one hand, or gaps on the other.
The Need for Base Line Data
Technical Inputs and Specialised Support
13.
In order to set objectives, outputs, and indicators, it is necessary to
14.
Achieving a right "output" is contingent primarily upon the decision
undertake an initial assessment of the current protection and socio-economic
taken on a course of "action" during the planning process. Often UNHCR's
situation of the beneficiary population. The collected findings are fed into
field assistance programmes comprise of multiple activities in various
the planning process as so-called “base-line data” and should be recorded
sectors. In order to ensure complete needs and resource assessment, careful
under the column “Current Situation” in the (sub-) project description
analysis, and appropriate design of the activities planned under those
format. Ideally, the achievement of indicators in one year turns them into
technical sectors, Field Offices and implementing partners should consider
the base-line data of the following year.
the support of technical specialists in the planning process. The planning
and contractual documents, such as submissions and (sub-) project
descriptions, should be explicit on how the quantity and quality aspects of
the technical activities are to be controlled and monitored during the
implementation and operation phase.

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II. Guide to UNHCR syntax used in formulating Objectives, Outputs and Indicators
15.
Given that many organisations use the Log-Frame terminology for
different purposes and in different manners, no consistent syntax on how to
formulate objectives, outputs and indicators has emerged. It is important that
within UNHCR operations a certain degree of consistency is achieved and
people understand each other when they analyse, compare, and present their
programmes, projects, and sub-projects. In the following, a standard syntax on
how to formulate objectives, outputs, and indicators is presented in order to
ease communication within UNHCR as well as between UNHCR and its
partners.
How to formulate an Objective
Keep in mind
Examples
Where possible refer to and explicitly mention:
Formulate an affirmative sentence in present tense
All [Refugee boys and girls] have universal access
using Subject + Verb + Object
to, and complete, primary education
beneficiaries
Keep it short
Camp residents consume sufficient quantities of
and
clean drinking water
Formulate it as a “statement of desired impact”
benefits (in particular protection benefits)
Host community is compensated for negative
Avoid quantitative statements (i.e. “ 500 refugees
effects of refugee presence
will …”
Female and male asylum seekers enjoy personal
Avoid starting with a verb such as “promote”,
security and safety
“enhance” etc. – the objective should not be
something UNHCR is doing.
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How to formulate an Objective
Keep in mind
Examples
Objectives of capacity and institution-building
[Asylum seekers and recognised refugees] benefit
(sub-) projects, or components thereof, should
from national legislation conforming to
wherever possible, refer to refugees or other
international standards
groups of concern.
Stateless persons on the territory benefit from
ratification and application of the 1954 and 1961
Conventions on statelessness
Unaccompanied/ separated boys and girls are
supported by foster care arrangements in their
communities
How to formulate an Impact Indicator
Keep in mind
Examples
Impact indicators refer to objectives, and convey
Refer to units of measurement where possible
Under 5 mortality rate
in measurable terms either the
Focus on how qualitative change (in conditions for
% of pupils [boys and girls] starting grade 1 reach
general welfare situation of the beneficiary
the beneficiaries) can be measured
and completing grade 5
population (mainly in project descriptions); and
% of asylum seekers [men and women] processed
the quality of the intended change (in particular in
sub-project descriptions)

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Document Outline

• Table of Contents
• INTRODUCTION
  • What are Objectives, Outputs and Indicators?
  • What is a Log- Frame?
  • Knowing the Limits
  • The Context of UNHCRs Operations
  • Establishing the Global Picture
  • The Need for Base Line Data
  • Technical Inputs and Specialised Support
• II. Guide to UNHCR syntax used in formulating Objectives, Outputs and Indicators
  • Inputs vs. Outputs
• III. Objectives, Outputs and Indicators in the Context of UNHCRАs (Sub-) Project Planning
• IV. Impact Indicators: Measuring Welfare or Change?
• V. Monitoring and Reporting
• VI. Introduction to the Table of Examples of UNHCR Objectives, Outputs and Indicators
  • Disaggregation and redressing inequality
• GLOSSARY OF ACRONYMS
• INDEX
• Table of Examples
• Annex 1

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