Spreadsheet: bbe2d941-8559-4137-aefa-b8b5fedf02fd
Sheet: LF.2 Oper - Final Draft V.3

 | Department for International Development (DFID)     -     IPP Consultants
 | LogFrame Review and Baseline Data  for the "Roads in the East Phase 2" Programme in DR Congo
 | Updated Logical Framework  based on the Baseline Report   (1)
 | # | % | 0-10 scale | HSPU | y/n |  | High |  |  |  |  | Final Draft V.3  -   10 May 2012
 | Part 2:  Operational Performance (Outputs and Activities)
 | Level of LogFrame Intervention Logic | Key Performance (Result) Indicator  (1) |  |  |  | Baseline Value  01 Jul 12 (4) | Annual Targets (4) of Road Building /  Upgrading Phase |  |  | Targets (4) of Rehabilitation /  Maintenance Phase |  | Indicator Source of Information /  Means of Verification | Assumptions
 |  | Code(s) (2) | Description (2) |  | UoM(3) |  | 1st Year 01 Jul 13 | 2nd Year 01 Jul 14 | 3rd Year  01 Jul 15 | Medium  Target  01 Jul 18 | Final Target  01 Jul 22
 | Output  1  Strategic roads  built or upgraded | OT-1.01.01-06 | Technical studies completed: Percentage progress / completion level of roads technical studies for the four axes |  | % | 0 | 0.75 | 1 | 1 | 1 | 1 | Roads Phase II project monitoring reports  (UNOPS / Project Manager & M&E Contractor) Technical (feasibility) studies progress and completion reports by contractors | • MONUSCO and/or GoDRC provide security for the works to go ahead • Sufficient knowledge of appropriate design standards to ensure the sustainability of the roads • Local SME market exists to supply the relevant services  (BC)
 |  | OT-1.02.01-06 | Kilometers of the four Phase 2 roads built or upgraded (cumulative) |  | # | 0 |  |  |  | 684 | 684 | UNOPS / international project manager, OdR, CI progress and supervisory reports; Local contractors project progress reports;  M&E contractor, MONUSCO and Cellule Infrastructure (CI) oversight and QC reports; DFID and technical assistance consultant field visits;  Project database and M&E system;  Feedback from local stakeholders (CSOs, communities & road users)
 | OT-1  Impact Weight |  | 0.3 |  |  |  |  |  |  |  |  | Risk Rating | Medium
 | Inputs for OT-1 (£) |  | DFID (£) |  |  | Govt (£) |  |  | Other (£) |  |  | Total (£) | DFID Share (%)
 |  |  | 2740594
 | Inputs of OT-1 (HR) |  | DFID (FTEs) |  |  | 0.3
 | Level of LogFrame Intervention Logic | Key Performance (Result) Indicator  (1) |  |  |  | Baseline Value  01 Jul 12 (4) | Annual Targets (4) of Road Building /  Upgrading Phase |  |  | Targets (4) of Rehabilitation /  Maintenance Phase |  | Indicator Source of Information /  Means of Verification | Assumptions
 |  | Code(s) (2) | Description (2) |  | UoM(3) |  | 1st Year 01 Jul 13 | 2nd Year 01 Jul 14 | 3rd Year  01 Jul 15 | Medium  Target  01 Jul 18 | Final Target  01 Jul 22
 | Output  2  Sustainable maintenance system in place and operational | OT-2.01.01-05 | [NAME] of Understanding (MoU's) in place:  Number of roads maintenance Memoranda of Understanding (MoUs) concluded for sections of the phase 2 roads, including maintenance plans and budgets (and financing provisions for both manual and mechanical maintenance components) for all four phase 2 roads |  | # | 0 | 15 | 35 | 50 | 62 | 68 | Phase 2 project and FONER & DVDA contracts with local contractors / private companies (SMEs) for HIMO style maintenance; [NAME] of Understanding with communities / villages for HIMO cantonniers maintenance systems;  Annual Provincial roads maintenance plans; UNOPS / International Project Manager, M&E Contractor, OdR, CI and/or MONUSCO progress, supervisory and QC reports; Maintenance contracts with local contractors and communities | • Private sector and provincial government capacity exists to maintain the roads.   • MONUSCO and/or GoDRC provide security for the works to go ahead  • We have sufficient knowledge of appropriate design standards to ensure the sustainability of the roads  • Local SME market exists to supply the relevant services   • Other roads in the stabilisation plan reopened by other donors by year 2.
 |  | OT-2.02.01-08 | Provincial road maintenance budget for phase 2 roads:  Total approved annual FONER budget for road maintenance (in USD) for the four axes of Phase 2, further broken down by manual and mechanical maintenance |  | # | tbd | tbd | tbd | tbd | tbd | tbd | MITPR / OdR - FONER & DVDA Provincial road maintenance strategy documents and annual operational programmes; MITPR / OdR - FONER & DVDA overall and annual maintenance budgets (both for manual and mechanized maintenance);  Roads Phase II roads maintenance budget and financial reports (both mechanical and manual) for the four axes, with breakdown by year;  UNOPS, M&E Contractor, OdR, CI and/or MONUSCO progress, M&E supervisory and QC reports; Phase II M&E system, database and reporting; Maintenance contracts with local contractors and communities and their progress and financial reports
 |  | OT-2.03.01-06 | [NAME] roads rehabilitated or maintained:  [NAME] of the four built or upgraded phase 2 roads rehabilitated and maintained year round |  | # | 0 |  |  |  | 684 | 684 | UNOPS / international project manager, OdR, CI progress and supervisory reports; Local contractors project progress reports; M&E contractor, MONUSCO and Cellule Infrastructure (CI) oversight and QC reports; DFID and technical assistance consultant field visits; Project database and M&E system; Feedback from local stakeholders (CSOs, communities & road users)
 |  | OT-2.04.05-08 | Road construction and utilisation compliance with road protection measures: (1) Rain barriers:  Percentage of the  rain barriers effectively used in the rainy season for at least  75% of the applicable time |  | % | 0 | 0.3 | 0.7 | 0.9 | 1 | 1 | Roads construction provisional and final acceptance reports; UNOPS, international project manager, M&E contractor, OdR, CI supervisory reports; Local contractors maintenance reports; M&E contractor, MONUSCO and Cellule Infrastructure (CI) oversight and QC reports (security aspects around rain barriers); Project database and M&E system; Rain barrier logbooks kept by the responsible rain barriers operators (FONER officials or designated community members); Feedback from local stakeholders (CSOs, communities & road users); DFID and technical assistance consultant field visits; Feedback from local stakeholders (CSOs, communities & road users); DFID and technical assistance consultant field visits
 |  | OT-2.05.01-16 | Road construction and utilisation compliance with road protection measures: (2) Compliance of vehicles with maximum axle loads (weight):  Percentage of checked vehicles (trucks) at the 15 main traffic count/control points complying with axle loads / maximum weight regulations |  | % | tbd | 0.6 | 0.7 | 0.8 | 0.9 | 1 | Logbooks and reports by the FONER traffic controllers at the 15 traffic count / control points; FONER monthly, quarterly and annual reports on the traffic count / control points; Project database and M&E system; PNC police tickets and records; MONUSCO and PNC security reports
 | OT-2  Impact Weight |  | 0.3 |  |  |  |  |  |  |  |  | Risk Rating | High
 | Inputs for OT-2 (£) |  | DFID (£) |  |  | Govt (£) |  |  | Other (£) |  |  | Total (£) | DFID Share (%)
 |  |  | 401917
 | Inputs of OT-2 (HR) |  | DFID (FTEs) |  |  | 0
 | Level of LogFrame Intervention Logic | Key Performance (Result) Indicator  (1) |  |  |  | Baseline Value  01 Jul 12 (4) | Annual Targets (4) of Road Building /  Upgrading Phase |  |  | Targets (4) of Rehabilitation /  Maintenance Phase |  | Indicator Source of Information /  Means of Verification | Assumptions
 |  | Code(s) (2) | Description (2) |  | UoM(3) |  | 1st Year 01 Jul 13 | 2nd Year 01 Jul 14 | 3rd Year  01 Jul 15 | Medium  Target  01 Jul 18 | Final Target  01 Jul 22
 | Output  3  Negative social and environmental impacts mitigated | OT-3.01.01-04 | Roads Environmental and Social Impact Assessments (ESIA) studies completed:  Progress of the environmental and social impact assessment (ESIA) studies for the four Phase 2 roads |  | % | 0.5 | 1 | 1 | 1 | 1 | 1 | Phase 2 project monitoring reports; ESIA progress reports by contractors; Feedback from Ministries and civil society stakeholders concerned; ESIA final reports and approval documents. | Increased access improves GoDRC ability to manage natural resources.  Security allows for ESIA to go ahead.  (LF)   Provincial government authorities, NGOs and communities have capacity and will to work with implementing partners  (BC)
 |  | OT-3.02.01-04 | Social and Environmental Management Plans (SMEPs) completed:  Social and Environmental Management Plans (SEMP), based on the ESIAs, completed and approved |  | # | 0 | 4 | 4 | 4 | 4 | 4 | SEMPs documents and approval documents; Project monitoring reports by environmental and social specialist; Contract documents: contract awarding, execution progress, and completion documents; Checks by technical assistance consultant on implementation of projects; Phase II project progress reports
 |  | OT-3.03.01-16 | Negative side-effects of transport of ecologically vulnerable goods mitigated:  (A) [NAME] of charcoal transported per day, as measured at the 15 main traffic count / control points along the phase II roads |  | # | 500 | 450 | 405 | 364.5 | 255.15 | 153.09 | Logbooks and reports by the FONER traffic controllers at the 15 traffic count / control points; FONER monthly, quarterly and annual reports on the traffic count / control points; Project database and M&E system; PNC police tickets and records; MONUSCO and PNC security reports; Six monthly traffic and trade surveys.
 |  | OT-3.03.17-34 | Negative side-effects of transport of ecologically vulnerable goods mitigated: (B) Kg of [NAME] meat transported per day, as measured at the 15 main traffic count / control points along the phase II roads |  | # | 300 |  |  |  |  |  | Same as for the above indicators on transport of charcoal. [NAME], weekly monitoring / checking on market places in towns/villages along the four phase 2 axes may be thought of. In that case, the list of places needs to be identified and kept standard over time for monitoring purposes.
 |  | OT-3.04.05-20 | Negative side-effects of transport of illegal goods mitigated: Volume  (in tonne/day) of illegal timber transported,  as measured at the 15 main traffic count / control points along the four phase II roads |  | # | tbd | y-1 - 10% | y-1 - 10% | y-1 - 10% | y-1 - 10% | y-1 - 10% | Same as above
 |  | OT-3.04.21-38 | Negative side-effects of transport of illegal goods mitigated: Volume (in tonne/day) of illegal minerals (coltan and casserite)  transported, as measured at the 15 main traffic count / control points along the phase II roads |  | # | tbd | y-1 - 10% | y-1 - 10% | y-1 - 10% | y-1 - 10% | y-1 - 10% | Same as above
 |  | OT-3.05. 01-02 | Health trainers trained and population sensitised on  HIV/Aids:  Number of sexual health trainers in the territories along the Phase II routes  trained on HIV/Aids awareness (cumulative) |  | # | tbd | 60 | 120 | 180 | 270 | 390 | Statistics, quarterly and annual reports from PNMLS (Programme National Multi-sectoriel de Lutte contre le SIDA) and the  North and South Kivu Provincial Offices of the  Ministry of Health; Periodic reports by Phase 2 M&E Contractor;  Reports by NGOs in charge of training and/or sensitization on HIV/AIDs; Records on HIV/AIDS patients by clinics / hospitals in the area (Provinces and Territories along the Phase 2 axes
 |  | OT-3.05.07-08 | Health trainers trained and population sensitised on  HIV/Aids:  Percentage of population sensitised on HIV/AIDS in the territories along the Phase II routes as a result of the HIV-Aids training sessions (training reach) and other sensitisation campaigns in the area |  | % | tbd | y-1 - 10% | y-1 - 10% | y-1 - 10% | y-1 - 10% | y-1 - 10% | Same as above
 |  | OT-3.06.01-02 | Incidence of road blocks and informal taxes collection: Total number of illegal taxation cases reported annually in the territories along the four phase 2 axes |  | # | 30 | 22 | 11 | 5 | 0 | 0 | Reports from MONUSCO-SSU based on information obtained from MONUSCO (Peacekeeping Forces, Military Observers, UN Department of Safety and Security, other components) and local citizens  (reported cases of Illegal Taxation)
 |  | OT-3.10.01-05 | Number of road traffic deaths and injuries:  Total number of road traffic injuries on the phase 2 roads based on health outlet records (primary health clinics and referral hospitals) along the roads |  | # | tbd | [NAME]. BV + 20% | [NAME]. BV + 20% | [NAME]. BV + 20% | [NAME]. BV + 20% | [NAME]. BV + 20% | Records and periodic reports (monthly, quarterly and/or annually) of the key GoDRC law and order institutions concerned (Police Nationale Congolaise - PNC, Police de Circulation, ...); Records and reports by clinics / hospitals in the territories along the Phase 2 axes; Periodic reports by UNOPS and/or Phase 2 M&E Contractor; and possibly: Six monthly traffic and trade surveys
 | OT-3  Impact Weight |  | 0.2 |  |  |  |  |  |  |  |  | Risk Rating | High
 | Inputs for OT-3 (£) |  | DFID (£) |  |  | Govt (£) |  |  | Other (£) |  |  | Total (£) | DFID Share (%)
 |  |  | 664109
 | Inputs of OT-3 (HR) |  | DFID (FTEs) |  |  | 0
 | Level of LogFrame Intervention Logic | Key Performance (Result) Indicator  (1) |  |  |  | Baseline Value  01 Jul 12 (4) | Annual Targets (4) of Road Building /  Upgrading Phase |  |  | Targets (4) of Rehabilitation /  Maintenance Phase |  | Indicator Source of Information /  Means of Verification | Assumptions
 |  | Code(s) (2) | Description (2) |  | UoM(3) |  | 1st Year 01 Jul 13 | 2nd Year 01 Jul 14 | 3rd Year  01 Jul 15 | Medium  Target  01 Jul 18 | Final Target  01 Jul 22
 | Output  4   Equitable employment generated by road works and maintenance | OT-4.01.01-02 | Strategy for equitable employment generation developed and implemented: Strategy for equitable employment generation developed, approved and updated as necessary, for UNOPS and the Project Manager |  | y/n | n | y | y | y | y | y | UNOPS and Project Manager (with MITPR / OdR - FONER & DVDA)  Provincial Roads works policy and strategy documents; Policy and strategy implementation reports; Roads works progress and completion reports; Project M&E system documents; Project progress and final reports | Labour intensive road construction, rehabilitation and maintenance effectively pursued as policy and strategic objective  Women and demobilised ex-combatants able to work on roads. Contractors willing to employ them.  Effective (enforcement of the) implementation of labour intensive road construction policy and strategy, in accordance with the established procedures, rules and regulation.
 |  | OT-4.02.01-10 | Number of person / days of equitable employment generated by road works, disaggregated by sex: Total number of person days of employment generated annually on all four phase 2 axes, by road building / upgrading, cumulative and disaggregated by sex |  | # | 0 | 295488 | 558144 | 787968 | 787968 | 787968 | UNOPS and  Project Manager progress reports and/or M&E contractor project monitoring reports; Contract documents; Contractors (progress and final) reports; [NAME] works individual labourers / employment "fiches"  and booklets; Project component "employment generation" budget and financial information system; Project employment database, M&E system and reporting; Records of the community / village level Civil Society Committees possibly coordinated with for the roads construction and maintenance HIMO component; DVDA information  system and records regarding road maintenance through the "cantonniers" system
 |  | OT-4.02.21-25 | Number of person / days of equitable employment generated by road works, disaggregated by sex: Percentage of annual project budgetary resources for project component "equitable employment" effectively paid to labourers' / workers' salaries for work done on all four Phase II axes |  | % | 0 | 0.7 | 0.75 | 0.8 | 0.85 | 0.85 | Same as above and ultimately based on the road works individual labourers / employment "fiches"  and booklets  (and possibly in a later stage individual bank accounts, at least when feasible)
 |  | OT-4.03.01-02 | Percentage of poor and vulnerable persons (households) benefitting from equitable employment generated by the roads works programme: Percentage of demobilised ex-combatants in the work force (with at least 50% FTE - full-time employment equivalent) for road construction and/or maintenance works |  | % | 0 | 0.2 | 0.2 | 0.2 | 0.2 | 0.2 | Project component "employment generation" budget and financial information system; UNOPS and/or M&E contractor project monitoring reports/contract documents; Project employment database, M&M45E system and reporting;  Records of the community / village level Civil Society Committees possibly coordinated with for the roads construction and maintenance HIMO component; DVDA information  system and records regarding road maintenance through the "cantonniers" system; Individual labourers' employment booklets and bank accounts
 |  | OT-4.03.03-04 | Percentage of poor and vulnerable persons (households) benefitting from equitable employment generated by the roads works programme: Percentage of women in the work force (with at least 50% FTE) for road construction and/or maintenance works |  | % | 0 | 0.3 | 0.3 | 0.3 | 0.3 | 0.3 | Same as above
 |  | OT-4.03.05-06 | Percentage of poor and vulnerable persons (households) benefitting from equitable employment generated by the roads works programme: Percentage of persons from families under the absolute income poverty line / most vulnerable families in the work force (with at least 50% FTE) |  | % | 0 | 0.5 | 0.5 | 0.5 | 0.5 | 0.5 | Same as above
 | OT-4  Impact Weight |  | 0.2 |  |  |  |  |  |  |  |  | Risk Rating | Medium
 | Inputs for OT-4 (£) |  | DFID (£) |  |  | Govt (£) |  |  | Other (£) |  |  | Total (£) | DFID Share (%)
 |  |  | 2368954
 | Inputs of OT-4 (HR) |  | DFID (FTEs) |  |  | 0
 | Level of LogFrame Intervention Logic | Key Performance (Result) Indicator  (1) |  |  |  | Baseline Value  01 Jul 12 (4) | Annual Targets (4) of Road Building /  Upgrading Phase |  |  | Targets (4) of Rehabilitation /  Maintenance Phase |  | Indicator Source of Information /  Means of Verification | Assumptions
 |  | Code(s) (2) | Description (2) |  | UoM(3) |  | 1st Year 01 Jul 13 | 2nd Year 01 Jul 14 | 3rd Year  01 Jul 15 | Medium  Target  01 Jul 18 | Final Target  01 Jul 22
 | Output  5  Government  presence, other            DFID and donor programming leveraged into        zones of influence              of roads | OT-5.01.01-10 | Presence of public authorities in zones of influence of the roads:  Government infrastructure with effectively operational status in the territories along the four phase 2 axes |  | # | tbd | tbd | tbd | tbd | tbd | tbd | Inventories by the Provincial Administrations of North Kivu and South Kivu;  [NAME] | • GoDRC prepared, and has capacity, to provide security and services  • Other donor funding continues and remains focused on eastern DRC
 |  | OT-5.01.21-25 | Presence of public authorities in zones of influence of the roads:  Total kilometres of phase II roads covered by the roads patrol plans of the respective police stations and sub-stations along the Phase II roads: |  | # | tbd | 342 | 513 | 684 | 684 | 660 | Police stations and sub-stations roads patrol plans and budgets; Road patrol records and reports by the PNC policy stations and sub-stations along the phase II axes, and possibly by other agencies concerned / mandated  (FARDC, MONUSCO, etc.); MONUSCO-SSU statistics and reports
 |  | OT-5.02.03-04 | Broader socio-economic development planning and programming triggered off for the territories along the phase 2 roads:    Annual development programmes with budget derived from the strategic plan ("Plan d'Actions Prioritaires" - PAPs), covering the territories along the phase 2 roads, are developed and approved |  | y/n | y | y | y | y | y | y | Provincial strategic development plans: "Plan Quinquennal"; Projects documents, progress and annual reports; Sections of UNDP Human Development Report for Congo focusing on the regions / provinces ; Other multilateral and bilateral donor documents and reports on North and/or South Kivu Provinces
 |  | OT-5.03.06-10 | Expansion of socio-economic development programmes and projects and their actual implementation triggered off in the territories along the phase 2 roads: Total value of the development projects under implementation in the territories along the Phase II roads (in USD) |  | # | tbd | BS+10% | [NAME] | BS+40% | [NAME] | BS+180% | Provincial annual development plans and budgets: "Plan d'Actions Prioritaires" - PAPs;  Provincial annual development reports (progress, results and financial); Projects documents, progress and annual reports; Macro-economic, sectoral and project reviews and evaluations Total budget of the 2011 PAP for South Kivu: 226,499,513 USD of which 224,857,939 USD funded. PAP budget for the 5 year period 2011-2015: 2,477.149,113 USD of which 1,613,362,663 funded as of 2011.
 |  | OT-5.03.16-20 | Expansion of socio-economic development programmes and projects and their actual implementation triggered off in the territories along the phase 2 roads:  Percentage of disbursed and utilised resources for development projects in the territories along the Phase II axes especially targeting deprived and vulnerable groups of society for poverty alleviation: |  | % | tbd | 0.7 | 0.7 | 0.7 | 0.7 | 0.7 | Same as above.
 | OT-5 Impact Weight |  |  |  |  |  |  |  |  |  |  | Risk Rating | Medium
 | Inputs for OT-5 (£) |  | DFID (£) |  |  | Govt (£) |  |  | Other (£) |  |  | Total (£) | DFID Share (%)
 | Inputs of OT-5 (HR) |  | DFID (FTEs) |  |  | 0
 | Total Inputs OT-1 - OT-5 (£) |  | DFID (£) |  |  | Govt (£) |  |  | Other (£) |  |  | Total (£) | DFID Share (%)
 | Total Inputs OT-1 - OT-5 (HR) |  | DFID (FTEs)
 | Notes     (1) | Baseline Report fo "Roads in the East Phase 2"  - Updated Business Case  Updated Business Case Logical Framework and Key Performance Indicators : Indicators Selection, Benchmarking and Data Collection Methods ;  Final Draft Version V.7 of 08 May 2012. The present LogFrame is an abridged and simplified version of the full baseline LogFrame version, with completed sets of indicators and sub-indicators, and with for each descriptions of data collection methods and tools, methodological notes, and further elaborated baseline data and target setting.  In this summary LogFrame, only a selection of the baseline report key performance / results indicators is reflected. For full details on each result, its indicator(s) and sub-indicators, kindly refer to the sections concerned of the baseline report.
 | (2) | LogFrame indicator codes refer to the codes of the indicators and sub-indicators included in the baseline report. All key performance indicator (KPI - reflected in bold typeface) are composite indicators, each encompassing a series of baseline / monitoring and evaluation (M&E) sub-indicators (S-KPIs) or at least a series of individual indicator measurements. The sub-indicator selected (as representative) for the key indicator is reflected in the LogFrame in regular typeface text, right after the bold text of the main KPI. In the detailed baseline report explicit attention is given to the listing of the sub-indicators and their operational definition in order to ensure the usefulness and actual (sustainable) use of the KPIs for project phase 2 programme management monitoring and evaluation purposes.
 | (3) | Methodological explanations and further details are included in the "Guidelines for Completing the LogFrame Results Indicators and Baseline Data Sheets by the Key Stakeholders in North and South Kivu and Other Parties Concerned" (Version V.3 of 24 April 20112).   Five (5) types of Units of Measurement (UoM) only: (1) Number - #,   (2) Percentage - %,   (3) 0-10 Scale,  (4) HSPU (Qualitative: Highly satisfactory, Satisfactory, Partly satisfactory and Unsatisfactory)  and  (5) logical yes/no - y/n
 | (4) | Period of phase 2 project: 01 July 2012 - 01 July 2022:  10 years, of which first 3 years building/upgrading phase and subsequent 7 years for rehabilitation/maintenance phase. "tbd" staning for "to be determined" refers to the indicator baseline value to be determined still during the early inception phase of the project and, where applicable, indicator target setting also to be done during this early phase depending on the baseline value.