Self-assessment tool for Managing towards Impact Does your organisation have a

Participatory Management and Learning System?

1. INTRODUCTION:

The self assessment tool or the diagnostic framework provided in the following is meant to
be used for two similar purposes.

1. It may be used to assess to what extent projects in actual operation are managing
towards impact as in the case of diagnostic studies; and

2. the self assessment tool might be utilized in training workshops where case study
projects of participants are subjected to self assessment on the basis of information provided
by participants in order to introduce the methodology of self-assessment tools to workshop
participants.

In both cases, however, the objective is to assess if development initiatives are being
managed to achieve impact and if the project organization has a participatory management
and learning system to attain the intended impacts of the development project under
consideration.

The key elements considered in the assessment tool are the four pillars of the Managing for
Impact (M4I) and approach. These are outlined in the following section

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2. Introduction on the key areas for managing for impact and learning systems
In order to manage for impact basically four key areas need to be well developed and functioning:

1 1. Creating a learning environment establishing a culture and set of relationships with all those involved in an initiative
that will build trust stimulate critical questioning and innovation and gain commitment and ownership.

2 2. Guiding the strategy taking a strategic perspective whether an initiative is heading towards its goals (impacts) and
reacting quickly to adjust the strategy or even the objectives in response to changed circumstances or failure.

3 3. Ensuring effective operations - managing the day to day coordination of financial, physical and human resources to
ensure the actions and outputs required by the current strategy are being effectively and efficiently achieved.

4 4. Establishing core M&E functions of information gathering and management mechanisms ensuring that the systems
are in place to provide the information that is needed to guide the strategy, ensure effective operations and encourage
learning.

Note: as this framework is under continuous review, the areas of development effectiveness and capacities and conditions
that influence these four pillars, have not yet been spelled out. However, a few general I relation to this are being added the
detailed questions on the pillars below.

3. Description of the self-assessment tool

The self-assessment tool is developed to assist concerned experts or participants of workshops to assess projects in
order to understand whether development projects are being managed towards impact or otherwise. The tool is still
in the refinement process and any feedback from those who have applied it in practice or from those who have used it
in training workshops shall assist in further development and refinement of the tool.

2
The first column describes the key element / issue in managing towards impact: Guiding the project strategy towards
Impact, Ensuring Effective Operations, Setting up and Managing the M&E system, and Creating a Learning
Environment. Furthermore gender is added as an additional, issue that is integrated in all these issues.

The second column described the key performance question that we need to find an answer. In italic Plan specific
information is given. Under columns 3-6 you can find the answer that matches your organisation best. And in the last
column you may want to write comments, explain your choice, and give suggestions for improvement.

As a team, please discuss for each of the elements to what extent this is happening and mark this in the column:

1. Limited: limited awareness, knowledge and capacities in place on the issue.

2. Being developed: there is an awareness of the importance of this issue but the mechanisms and capacities to
put it in place may be lacking although an effort is made to develop the issue.

3. Partially functioning: most people are aware of the importance of this issue and they have basic knowledge
and skills to work on it. Capacities and conditions are generally in place to make it work but there is still room
for improvement.

4. Fully effective: the issue is fully accepted as an important issue and fully integrated into processes and
systems, and leading to positive results.

In utilising the self-assessment tool as a diagnostic framework of projects make sure that everybody is fully involved in
the discussion and ensure that one person facilitates (but not dominates) the process.

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 5. Summarising the outcomes of the self-assessment

Once the self-assessment of a particular development initiative is finalized it would be useful to summarize
the outcomes of the assessment for a better understanding of the identified problems. An approach
which is considered useful in this respect is to plot the results of the assessment in a spider web in an
Excel spreadsheet. The outcomes obtained for each element of the four major pillars of the M4I shall be
entered in an excel spreadsheet which is easily transformed in a spider-web.

The summary provided in the spider-web summarizes the outcome of the evaluation (self-assessment) and
assists the major weaknesses and strengths of a project management and learning system in a glimpse.

An example of a spider-web which may be used in such an approach is provided at the end of this
diagnostic framework.

Good luck!

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 Assessing capacity to manage for impact
Performance questions
1 Guiding
Project 1.a. To what extent is
strategy program redesign taken as
towards an integral and ongoing
impact process?
1.b. To what extent does the
project strategy incorporate
long-term capacity
development and
sustainability?
1.c. To what extent are there
built-in opportunities and
activities that support learning
and enable adaptation of the
project strategy during
implementation?
eg. Flexible and critical use
of the log-frame enabled
through critical
reflection/review meetings
1.d. To what extent is
program design and redesign
participatory? ( strategic
level)
Limited
1 2
Program redesign is not
considered as an integral
management process and
management focuses on
delivery of predetermined
outputs and activities
The project strategy
concentrates on short-term
gains outputs and
activities without due
consideration to long-term
issues of capacity
development and
sustainability
The program strategy does
not provide for opportunities
and activities for learning
and adaptation of the
strategy during
implementation
Design and redesign of
project strategy is done
mainly by project holders or
external consultants.
Stakeholders can be
consulted on their views or
Being developed
Program redesign is done
only at the start-up phase by
project holders or consultants
and is not considered as an
integral process in the
managing of the projects
The project strategy
concentrates on
predetermined outputs and
activities and institutional
capacity development without
consideration to sustainability
Opportunities and activities
for learning and adaptation of
the strategy are mentioned in
an haphazard manner but not
an important aspect of the
strategy
Steps are being taken to
actively involve key
stakeholders in strategic
decision making but this is
not yet effectively occurring.
Partially functioning
3 4
Program redesign is done at the
start-up phase and after start-up
as part of annual progress review,
supervision missions, during mid-
term review etc. by project holders
or consultants
The project strategy aimed at long-
term capacity development and
sustainability at institutional level
without due consideration at the
level of ultimate beneficiaries of
the project
The program strategy provides for
opportunities of learning and
adaptation but opportunities and
activities that support learning and
adaptation of strategy are not
provided explicitly in workplans &
budgets
Key stakeholders are being
involved in project design and
redesign but these processes and
mechanisms are only partly
effective. They have an influence
over strategic decision making
Fully effective Explain the reason
(why/why not) & ideas
for further improvement
Program redesign is done at
the start-up phase and after
start-up as part of annual
progress review , supervision
missions, mid-term review
etc. in a comprehensive
participatory review process
to improve project design
The project strategy is aimed
at long-term capacity
development and
sustainability to ensure that
the project contributes to the
empowerment and self-
reliance at people and
institutional level
The program strategy has
built-in opportunities and
activities that support learning
and adaptation of strategies
such as the flexible and
critical use of the log-frame
during implementation; critical
reflection/review meetings
etc.
Key stakeholders are being
effectively involved in project
design and redesign and are
having a significant influence
over strategic decision
making. These events take
5
Performance questions Limited Being developed Partially functioning Fully effective Explain the reason
1 2 3 4 (why/why not) & ideas
for further improvement
asked for information. although this may not be on a place on a regular basis.
Who are the stakeholders of regular and systematic basis.
the project and to what
extent are they involved in
the development of the
strategic plan(s) and the
strategic changes?

Limited awareness and The importance of Some project staff and some key All stakeholder groups and
1.e. To what extent do project understanding of the understanding the stakeholders have a reasonable project staff can discuss the
staff understand the intervention logic by intervention logic is understanding of the intervention intervention logic and are
intervention strategy stakeholders recognized but there remains logic but this is not yet aware of the assumptions
(development pathway)? limited understanding by key comprehensively being utilized for and risks and can relate this
stakeholder groups PM&E the PM&E processes
(Eg. To what extent do
project staff have an
understanding of the logic &
approach the project uses
for its interventions?)

1.f. To what extent do other
stakeholders (beneficiaries,
partners etc.) understand the
intervention strategy
(development pathway)?
Limited awareness and The importance of
understanding of the understanding the
intervention logic by intervention logic is
stakeholders recognized but there remains
limited understanding by key
stakeholder groups
Some project staff and some key
stakeholders have a reasonable
understanding of the intervention
logic but this is not yet
comprehensively being utilized for
PM&E
All stakeholder groups and
project staff can discuss the
intervention logic and are
aware of the assumptions
and risks and can relate this
the PM&E processes

(Eg. To what extent do other

stakeholders have an
understanding of the
approach the project uses for
its interventions?)

6
Performance questions
1.g. To what extent are
changes made at strategic
level? (e.g. changes in log
frame at outcome and impact
level; changes in approaches
used etc).
(Eg changes in the approach,
advocacy, working with
partners; changes key
components of the logframe
(strategic level) etc
Limited Being developed
1 2
Little attention is given to Awareness and concern
strategic objectives with about the need for strategic
management focusing guidance but little evidence of
primarily on the delivery of strategic changes being
predetermined outputs and made. External evaluations
activities rather than internal learning
remain a major factor for
changes made at strategic
level.
Partially functioning
3 4
Evidence that changes are being
made to the strategy based on
internal learning and stakeholder
participation.
Fully effective Explain the reason
(why/why not) & ideas
for further improvement
Regular / systematic review
of strategic issues on e.g.
outcome / impact level or
other strategic issues ( e.g.
during annual review,
technical advise missions,
mid term), based on internal
learning and stakeholder
participation and resulting in
regular improvements to the
strategy.

1.h. To what extent is gender
issue considered as a cross-
cutting issue in project design
Gender issue not
considered in project design
Gender issue is considered
marginally but does not
emerge as a separate
component or as an integral
part of project components
Gender issue is considered in
project design and is integrated as
part of some project components
Gender issue is considered in
project design as a separate
component as well as an
integrated part of other
components.

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 Performance questions
(Include Why / why not?)
2 Ensuring 2.a To what extent are
effective project staff involved in the
operations revision of operational
plan?
To what extent are project
staffs involved in the
development and
adaptation of the work
plans and budgets?
2.b To what extent are other
stakeholders (e.g.
beneficiaries & partners)
involved in the revision of
the operational plans?
(Eg. Who are the
stakeholders of the project
and to what extent are they
involved in the
development and
adaptation of the work
plans and budgets?)
2.c To what extent are the
planning systems effective
in guiding operations and
how they are being
revised? Making work plans
and budgets, allocating staff
and resources, office
Limited
1 2
Design and redesign of project
operations is done mainly by
project coordinators & other
decision makers or external
consultants. Project staff can
be consulted on their views or
asked for information.
Design and redesign of project
operations is done mainly by
project coordinators & other
decision makers or external
consultants. Stakeholders can
be consulted on their views or
asked for information.
Work plans and budgets
(operational plans) are mainly
developed by project staff only,
although they do not always
reflect staff capacity (numbers,
time) or funds, eg due to high
staff turnover or external
Being developed
Steps are being taken to actively
involve key project staff involved in
operational decision making but
this is not yet effectively occurring.
Steps are being taken to actively
involve key stakeholders involved
in operational decision making but
this is not yet effectively occurring.
Work plans and budgets are
sometimes but not systematically
reviewed and adapted or by all
necessary people involved.
Partially functioning
3 4
Key project staff are being
involved in work plan design
and redesign but these
processes and mechanisms
are only partly effective.
They have an influence over
operational decision making
although this may not be on
a regular and systematic
basis.
Key stakeholders are being
involved in work plan design
and redesign but these
processes and mechanisms
are only partly effective.
They have an influence over
operational decision making
although this may not be on
a regular and systematic
basis.
Work plans and budgets are
regularly reviewed and
adapted but not very
systematic or by all
necessary people involved
Fully effective Comments, ideas
for further
improvement
Key project staff are being
effectively involved in work
plan design and redesign and
are having a significant
influence over operational
decision making. These
events take place on a
regular basis.
Key stakeholders are being
effectively involved in work
plan design and redesign and
are having a significant
influence over operational
decision making. These
events take place on a
regular basis.
Staffing, equipment, goods,
office buildings, contracts,
finances etc are adequate for
operations and well specified
in work plans and budgets.
These are regularly reviewed
by all necessary people
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Performance questions
(Include Why / why not?)
requirements, contracts etc.
What drives the operational
changes? Eg funds?
2.d To what extent are
institutional processes,
systems contributing to
effective operations? Eg
policies and systems for
human resource
development; finance
systems; decision making
processes; having regular
meetings in place;
organizing space and time
for lessons learned etc.
2 e. To what extent are the
necessary staffs in all units
of the project PMU in place
Limited
1 2
influences. Operational plans
are mainly revised by project
staff only.
Internal & external rules/norms
(both formal e.g. policies &
informal e.g. culture) hinder
effective operations
For example, - Hierarchical
structures may hinder
adequate communication and
feedback on operations
internal/external policies may
prevent the project from
adjusting its operational plans
to respond quickly to changing
circumstances.
Staff in key operational areas
are in place. However, number
not adequate, staff need
Being developed
There is an awareness of the
institutional requirements but no
measure have yet been taken to
alter rules/norms hindering
effective operations
E.g. Decision makers &
stakeholder are aware that
hierarchical structures are
hindering adequate
communication and feedback but
steps to address this have not yet
been taken Decision makers &
stakeholders are aware that
procurement policies are hindering
effective operations but steps to
address this have not yet been
taken
Adequate number of staff in place
in key operational areas, salary
and benefits not competitive, staff
Partially functioning
3 4
Internal & external
rules/norms enable effective
operations to some extent
E.g.
- Basic management
procedures are in place and
allow for effective
adjustment of workplans
although the information
may not always be timely or
of good quality.
- Roles and responsibilities
on information sharing
concerning operations are
clear although cultural
norms sometimes hinder
open and effective
communication.
Adequate number of staff in
place, capacity and
relevance adequate, staff
Fully effective Comments, ideas
for further
improvement
involved.
Internal & external
rules/norms allow for and
provide a supportive enabling
environment for effective
operations.
E.g.
Basic management
procedures are in place and
allow for .
- The development and
adjustment of work plans
based on timely and good
quality information.
- Procurement policies
support effective operations
- Roles and responsibilities
on information sharing
concerning operations are
clearly specified and adhered
to.
- The internal culture allows
for open communication and
feedback on operations.
- Sharing of information is
stimulated in systematic
reflection moments.
Adequate number of qualified
and experienced staff in
place. Staff effectively
9
Performance questions
(Include Why / why not?)
and are they provided with
the necessary incentive to
ensure effective
operations? Is number of
staff, capacities and
relevance, process to
assess staff performance
etc. in place?
2 f. To what extent are the
necessary conditions and
capacities and processes
for effective and efficient
procurement management
in place?
2g. Are the necessary
conditions, capacities and
processes in place for
effective financial
management of the project?
2h. Are the necessary
facilities including
Limited
1 2
training, need experience with
the type of work under
consideration, system for staff
assessment yet not in place
Some procurement staffs are in
place; procurement procedures
and processes are also in
place. However, the staff lack
experience in the procurement
procedures and delays in
procurement , reporting, data
acquisition etc. hindering
project implementation
The necessary financial
procedures and processes are
in place. Some financial
management staff are in place
but not experienced in project
finance. Delays in
disbursement, in preparation of
financial reports, Statement of
Expenditures (SOEs) etc.
common feature affecting
project performance
Some rudimentary facilities are
provided for the operations of
the project. Operating space,
Being developed
turn over high, staff training
essential, staff assessment
process not yet in place but being
developed
Adequate number of staff in place;
procurement procedures and
processes in place. Staff lack
experience in procurement
procedures. Delays in
procurement, reporting still a major
feature delaying the
implementation of the project
Adequate number of staff in place;
financial procedures and
processes in place. Staff still lack
experience in project financial
procedures. Delays in
disbursement, financial reporting,
and replenishment requests etc.
affecting project performance
Some basic facilities are provided.
Operating space, and processes
are in rudimentary form and
Partially functioning
3 4
training undertaken, staff
actively participate in project
implementation. Staff
performance assessment
process in place. However,
staff turn-over prevalent
Adequate number of staff in
place; procurement
procedure and processes in
place. Staff being provided
with the necessary training
in procurement. Delays in
procurement minimized, but
backlog affecting project
performance
Adequate number of staff in
place, financial procedure
and process in place. Staff
provided with the necessary
training on project finance.
Project disbursement,
financial reporting, auditing
and replenishments
requests substantially
improved
Facilities including
equipment, vehicles, goods,
office buildings etc. in place.
Fully effective Comments, ideas
for further
improvement
participate in project
implementation, sense of
ownership developed, staff
capacity building and team
work and team learning
developed, staff performance
assessment in place to
ensure quality, staff turnover
highly minimized
Adequate number of
experienced staff in
procurement unit;
procurement procedure in
place and well understood by
staff; staff motivated to
implement procurement
activities timely, smooth
process of project
implementation
Adequate number of
experienced and motivated
project finance staff in place.
Financial procedures and
processes well established
and in place. Project
disbursement, financial
reporting, audit, and
replenishment requests
proceeding smoothly
substantially improving
project performance
All facilities are in place.
Processes and human and
financial resources are in
10
Performance questions
(Include Why / why not?)
equipment, vehicles, goods,
office buildings provided for
the successful operation of
the project? Are operating
space, processes and
resources in place for their
operation and
maintenance?
Limited
1 2
processes and resources are
yet not in place hampering the
operation of the project.
Being developed
resources are yet not fully in place
for the operation and maintenance
of facilities. Smooth operation of
projects not facilitated.
Partially functioning
3 4
Processes and operating
spaces in place. Human
resources trained partially
and maintenance and
operation being partially
facilitated.
Fully effective Comments, ideas
for further
improvement
place. Smooth operation and
maintenance of facilities for
effective operations of project
activities
11
 Performance questions Limited Being developed Partially functioning Fully effective Comments,
(Include Why / why not?) 1 2 3 4 ideas for
further
improvement

3 Setting
up and 3.a To what extent is the The M&E system is mainly The M&E system is mainly To some extent the M&E system The M&E system ensures upward,
using purpose of the M&E system geared towards (external) geared towards (external) ensures both upward, downward downward and sideward
the M&E directed towards: accountability and accountability and operational and sideward accountability; it accountability; it provides
system operational management management but has some provides information that can assist information that can assist in
Accountability only. elements of generating in strategic decision making as well strategic decision making as well
lessons learned, providing as for operational management; it as for operational management; it
Supporting operational information for strategic focuses specifically on generating focuses specifically on generating
management change. It builds the M&E lessons learned within specific lessons learned within specific
capacity of some thematic areas; it also builds the thematic areas; it also builds the
stakeholders, involved in M&E capacity of all stakeholders M&E capacity of all stakeholders
Strategic management
monitoring and managing their involved in monitoring and involved in monitoring and
own processes and managing their own processes and managing their own processes and
Knowledge creation development. development. development.

Empowerment?

3.b To what extent are the
following key evaluation/
performance questions
included in the M&E system:
Relevance
The M&E system addresses
2 evaluation / performance
questions: effectiveness (at
operational level) and
efficiency.
The M&E system addresses 3
evaluation/ performance
questions effectiveness,
efficiency and impact
The M&E system addresses 4
evaluation / performance questions:
effectiveness, efficiency and impact
and either relevance or
sustainability.
The M&E system address all 5
evaluation/ performance questions:
relevance, impact, sustainability,
effectiveness and efficiency

Impact

Sustainability

Effectiveness

Efficiency?

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Performance questions
(Include Why / why not?)
3.c To what extent is the
M&E system considered as
an integral part of the project
strategy; Is the M&E system
placed in a strategic position
to influence the decision
making process?
Limited
1 2
The M&E system is not
considered as an integral
part of the project strategy,
neither is it placed in a
strategic position to
influence decision making
Being developed
The M&E system is not
considered as an integral part
of the project strategy; it is
placed along the line
departments and rarely does it
influence decision making
process
Partially functioning
3 4
The M&E system is not an integral
part of the project strategy, yet it is
placed in a strategic position within
the project implementation unit and
feeds the outcomes of the M&E
system to influence decision making
through learning opportunities and
adaptation
Fully effective Comments,
ideas for
further
improvement
The M&E system is an integral part
of the project strategy and the M&E
unit is placed in a strategic position
within the project implementation
unit and feeds the outcome of the
M&E system to influence decision
through learning opportunities and
building-in flexibility mechanisms in
the system
13
Performance questions
(Include Why / why not?)
3.d To what extent are the
key information needs of the
different stakeholders
included in the M&E
system?
3.e To what extent is the
M&E system focused on the
program, organisational ,
and institutional issues eg.
staff performance, partner
collaboration, policies,
networks, etc ?
3.f To what extent are
methodologies used for data
collection, and processing,
participatory or
conventional?
3.g To what extent are
stakeholders involved in data
collection, and processing?
3.h To what extent are
Limited
1 2
Key information needs of
project staff and donors are
included in the M&E
system.
M&E system generates
information on program
issues.
Methodologies used for
data collection, and
processing, are mainly
conventional (more
extractive, often
sophisticated eg surveys,
questionnaires, blood tests
etc).
Data collection and
processing is mainly done
by project staff and external
persons.
Reflection / review of
Being developed
Key information needs of
some stakeholders are
included in the M&E system:
project, donor, one or two
partner agencies
M&E system generates
information on program issues
and sporadic information on
organizational or institutional
issues, eg staff performance,
partner collaboration, policies,
networks etc. next to program
issue
Methodologies used for data
collection, and processing, are
mainly conventional except for
a few examples of
participatory approaches but
this is not done systematically
or integrated into the general
M&E approach.
Data collection and processing
is mainly done by project staff
and external persons. Some
stakeholders are involved in
data collection only.
Reflection events & processes
Partially functioning
3 4
Key information needs of most
stakeholders are included in the
M&E system. Mainly project, donor
and some partner organizations
(beneficiaries are often excluded)
M&E system generates information
on program issues and also
generates information on
organizational or institutional issues,
eg staff performance, partner
collaboration, policies, networks etc.
but this is not comprehensive.
Methodologies used for data
collection, and processing, are a mix
of participatory and more
conventional approaches, with a
tendency towards either one of them
Most stakeholders are involved in
data collection, and processing. Or
all stakeholders are involved but
mainly in the data collection
process.
Reflection events and processes are
Fully effective Comments,
ideas for
further
improvement
All key information needs of
stakeholders are included in the
M&E system, beneficiaries
included.
M&E system generates information
on program issues and also
generates information on
organizational and institutional
issues, eg staff performance,
partner collaboration, policies,
networks etc. More comprehensive.
Methodologies used for data
collection, and processing, are a
balanced mix of participatory and
more conventional approaches.
There is a clear philosophy behind
the use of more participatory
approaches.
All stakeholders are involved in
data collection, and processing.
This is supported by a participatory
philosophy.
Critical reflection events and
14
Performance questions
(Include Why / why not?)
different (critical) reflection
events & processes in
place?
3.i To what extent are
different stakeholders
involved in these decision
making processes?
(Strategic & operational)
3.j To what extent are the
reporting documents and
processes timely and of
good quality? And why?
3.j To what extent are the
results / findings
communicated / reported
and in line with stakeholders
needs?
Limited
1 2
progress etc is mainly done
once a year, during the
annual review or during
external reviews. .
Strategic & operational
decision making processes
are carried out by project
managers / coordinators.
Progress reports are
developed but they may not
arrive in time or be of good
quality. This may be due to
inadequate M&E /reporting
capacity (knowledge and
numbers) or to, low
motivation to report (eg
because information needs
of stakeholders are not
addressed).
The results / findings are
only shared with donors and
are generally not shared
with other stakeholders. The
information in the reports is
mainly focused on projects
and donors information
Being developed
are in place but are not regular
and do not include critical
reflection on more strategic
issues, failures and
unexpected outcomes.
Some stakeholders are
involved in these decision
making processes, but these
concern mainly operational
issues.
Reporting documents and
processes are only sometimes
timely and of good quality.
Mainly due to poor M&E
/reporting capacity (knowledge
and staff capacity) or to low
motivation to report (eg
because information needs of
stakeholders are not
addressed).
The results / findings are only
sometimes communicated /
reported to stakeholders,
mostly donor agencies. Also
the reports are not specified
towards stakeholders and their
information needs.
Partially functioning
3 4
organized on a regular basis (eg
quarterly, semi- and annually). At
these events successes and
sometimes failures and unexpected
outcomes are reviewed. This is
sometimes done using critical
reflection..
Most stakeholders are involved in
these decision making processes,
both strategic & operational
Reporting documents and
processes are mostly timely and of
good quality. Mainly due to
adequate M&E /reporting capacity
(knowledge and staff capacity) and
to high motivation to report (eg
because information needs of
stakeholders are addressed).
The results / findings are
communicated / reported to most
stakeholders, mostly timely and of
good quality, addressing their
specific information needs. Also the
communication method (eg written
report, verbal, visual) is mostly in
Fully effective Comments,
ideas for
further
improvement
processes are organized on a
regular basis (eg quarterly, semi-
and annually). Successes, failures
and unexpected outcomes and
reasons for these are critically
reflected on during these events.
All stakeholders are involved in
these decision making processes,
both strategic & operational
Reporting documents and
processes are timely and of good
quality. Mainly due to adequate
M&E /reporting capacity
(knowledge and staff capacity) and
to high motivation to report (eg
because information needs of
stakeholders are addressed).
The results / findings are
communicated / reported to all
stakeholders, timely and of good
quality, addressing their specific
information needs. Also the
communication method (eg written
report, verbal, visual) is in line with
15
Performance questions Limited Being developed Partially functioning Fully effective Comments,
(Include Why / why not?) 1 2 3 4 ideas for
further
improvement

needs. line with stakeholders background. stakeholders background.

16
 Performance questions
(Include Why / why not?)
4 Capacities
and 4.a To what extent is
conditions human capacity adequate
for M&E for M&E?
4.b To what extent are
incentives for M&E in place
and adequate? Eg M&E
training for staff;
encouragement from
management to do M&E;
enough money for M&E
activities; dealing with
staffs and stakeholders system does not deal with the
information needs (and not
more or less) etc.
Limited Being developed
1 2
Not enough people in place to Some staff in place to carry
do M&E. Knowledge and out M&E activities, but
skills of staff & stakeholders inadequate in numbers to
to carry out M&E activities are carry out all M&E activities.
inadequate. Some knowledge and skills
on M&E but inadequate to
make the M&E system
functioning.
Staff and stakeholders carry Staff and stakeholders are
out M&E activities but may only a little bit motivated to
not be very motivated to do carry out M&E activities.
this. Eg because of They may not have enough
inadequate M&E human human capacity (skills,
capacity (knowledge and numbers) or money to
skills and numbers), finances carry out M&E. Also the
for M&E, or because the M&E information is generated
but the M&E system does
specific information needs of not deal with all
all stakeholders. M&E may be stakeholder information
seen mainly as an external needs.
demand (eg from donors).
Partially functioning
3 4
Staff and stakeholders have
average knowledge and skills to
carry out M&E activities but not
enough for a fully functioning M&E
system. Number of people (staff &
stakeholders) nearly enough to
carry out M&E.
Staff and stakeholders are generally
motivated to carry out M&E
activities, but they may not always
have the necessary capacity (eg
human, knowledge, skills, financial)
to do it.
stakeholders. The information
Fully effective Comments,
ideas for
further
improvement
Staff and stakeholders have
adequate knowledge and skills to
carry out M&E activities. Enough
people to carry out M&E.
Staff and stakeholders are
motivated to carry out M&E
activities. Eg because of adequate
M&E human capacity (knowledge
and skills and numbers), finances
for M&E, and because the M&E
system deals with the specific
information needs of all
generated helps them to monitor
and manage their own processes of
development.
17
Performance questions Limited
(Include Why / why not?) 1 2
4.c To what extent are Staff are aware that they have
structures and processes a role to play in M&E,
for M&E in place and although they may mainly see
adequate? Eg decision M&E as the role of the M&E
making processes, using officer or of external
M&E findings for (shared) evaluators. Decision making
decision making; roles and is mainly done by managers /
responsibilities in M&E coordinators who use their
own observations and some
of the findings generated by
the M&E system..
4.d To what extent is MIS The information that is kept is
adequate? often in written form (eg
progress reports) and difficult
Computer based system to access for others. Often
as well as non-computer kept in the office of M&E
based information systems officer or program manager
(eg community bulletins only. The information
kept in community hall). generated by the MIS has
some overlap but also
differences with the
information that the M&E
system as a whole is meant
to generate.
4.e To what extent are There is some money for
financial capacities for M&E but more money is
M&E adequate? Eg needed to carry out more
Being developed
M&E roles and
responsibilities are defined
but may be overlapping or
unclear or conflicting.
Decision making processes
generally do not make
systematic use of M&E
findings. Decision making
processes generally
exclude other
stakeholders.
Some information is kept
but this is not done
systematically. Information
may be kept in written form
or in a computerized
database but has no clear
link with the information
needs of different
stakeholders as spelled out
in the M&E system.
Some money available for
M&E but inadequate to
ensure that enough
Partially functioning
3 4
M&E roles and responsibilities are
defined in job descriptions and are
generally adhered to. There may be
some overlapping or conflicting
M&E roles and responsibilities but
these are not seriously hampering
the M&E and decision making
processes. The M&E roles and
responsibilities are not yet fully
integrated and complementary.
Decision making processes
generally make use of findings from
the M&E system. Decision making
processes mainly remain with
project staff and donor agencies.
MIS in place (eg computerized
database and written materials) but
the information in the database may
not generate all relevant info for
decision making for all
stakeholders. Or the information is
somewhat difficult to access by
different stakeholders. The info is
not always fully integrated in the
M&E system.
Finance for M&E is on the whole
adequate but some additional
money needed to fully implement an
Fully effective Comments,
ideas for
further
improvement
M&E roles and responsibilities are
clearly defined in job descriptions
and adhered to. There are no
overlapping or conflicting M&E roles
and responsibilities. The M&E
responsibilities within the
organization / system are integrated
and complementary. Decision
making processes are clearly linked
to findings from the M&E system
and are open, clear and functional.
Decision making processes are a
shared responsibility between
project staff and key stakeholders.
MIS is in place: database
(computerized and written
materials) are easily accessible
providing the relevant information to
all stakeholders. The database is
easy to use and provides relevant
information for decision making. Info
in database is clearly linked to the
M&E system.
Enough money available for M&E
activities: data collection and
processing, database, human
18
Performance questions Limited
(Include Why / why not?) 1 2
separate budget line for participatory M&E. Generally
M&E; enough money to enough money for key M&E
carry out M&E. events, eg MTR, which can
also be externally funded.
Separate M&E budget line
may be lacking.
Being developed Partially functioning Fully effective Comments,
3 4 ideas for
further
improvement
relevant information is integrated, participatory and capacity (enough M&E staff, enough
generated for decision learning oriented M&E system. training in M&E), key reflection
making. Not enough Separate budget line for M&E events (eg annual stakeholder
money available for although some money for M&E may workshop) etc. Separate budget line
stakeholder M&E be captured under management for M&E, which includes all M&E
interventions (eg budget line. related activities.
stakeholder review
meetings).
19
 Performance questions Limited Being developed Partially functioning Fully effective Comments,
(Include Why / why 1 2 3 4 ideas for
not?) further
improvement

5 Creating a 5.a To what extent does Staff meet to discuss progress Staff meets regularly to Staff can discuss openly and Staff regularly meet to openly and
learning the organization / and sometimes problems and discuss progress, issues, critically on what is going on, why, critically reflect on and discuss
environment program have a learning solutions. These meetings are problems and solutions but so what and now what. This may expected and unexpected issues,
environment? not regular. this is not done in an open not be done regularly or problems, and lessons learned for
atmosphere and critical systematically and lessons learned the future. Lessons learned are also
reflection and feedback is are not always documented. Critical documented. Critical feedback and
not happening. feedback and learning are learning is stimulated. Individuals
stimulated but not consistently. feel their ideas are valid. The
question why is this happening?
features regularly in meetings.
5.b. To what extent is a Staff and stakeholders meet Staff meets regularly to Staff and stakeholders can discuss Staff and stakeholders regularly
learning environment to discuss progress and discuss progress, issues, openly and critically on what is meet to openly and critically reflect
created with stakeholders sometimes problems and problems and solutions but going on, why, so what and now on and discuss expected and
(including beneficiaries)? solutions. These meetings are this is not done in an open what. This may not be done unexpected issues, problems, and
not regular. atmosphere and critical regularly or systematically and lessons learned for the future.
reflection and feedback is lessons learned are not always Lessons learned are also
not happening. Meetings documented. Critical feedback and documented. Critical feedback and
with stakeholders on this learning are stimulated but not learning is stimulated.
rarely happen. consistently or with all stakeholders.

5.c. To what extent does Staff meet to discuss progress Staff meets regularly to Staff can discuss openly and Staff regularly meet to openly and
the organization/program and sometimes problems and discuss progress, issues, critically on what is going on, why, critically reflect on and discuss
critically reflect on its solutions. These meetings are problems and solutions but so what and now what. This may expected and unexpected issues,
work? not regular. this is not done in an open not be done regularly or problems, and lessons learned for
atmosphere and critical systematically. Critical feedback and the future. Critical feedback and
reflection and feedback is learning are stimulated but not learning is stimulated
not happening. consistently

5.d.To what extent does Staff meet to discuss progress Staff meets regularly to Staff can discuss openly and Staff regularly meet to openly and
the organization/program and sometimes problems and discuss progress, issues, critically on what is going on, why, critically reflect on and discuss
critically reflect on its solutions. These meetings are problems and solutions but so what and now what. This may expected and unexpected issues,
work? not regular. this is not done in an open not be done regularly or problems, and lessons learned for

20
Performance questions
(Include Why / why
not?)
5.e. To what extent is
lesson learning
encouraged?
5. f. To what extent does
the organization facilitate
learning opportunities for
staff?
5.g. To what extent is
individual performance
linked with organizational
performance?
Limited
1 2
Lesson learning happens
infrequently
Staffs receive occasional
training.
Staff cannot link their
performance with the wider
performance of the
organization and have no
mechanisms through which to
do this.
Being developed
atmosphere and critical
reflection and feedback is
not happening.
Lessons learned are
sometimes identified but
not systematically and
there are no procedures
for ensuring they inform
subsequent action
Learning opportunities are
provided for staff but there
is a focus that learning is
facilitated predominantly
through external stimuli or
persons.
Staffs have work plans and
they understand how these
links to the organisational
workplan.
Partially functioning
3 4
systematically. Critical feedback and
learning are stimulated but not
consistently
Lessons learned are identified
informally and sometimes in formal
meetings but not always
documented
Learning opportunities are created
for both individuals and staff groups.
Staff reflect diverse views and
attitudes towards learning but the
organization is consciously trying to
develop more of a learning culture
amongst staff.
Staff work plans are thoroughly
reviewed at least twice a year.
Staffs receive occasional feedback
about the broader performance of
the organization. Team members
are encouraged to share work
plans.
Fully effective Comments,
ideas for
further
improvement
the future. Critical feedback and
learning is stimulated
Lessons learned are documented
and shared with stakeholders
Staff, including managers, are
motivated to seek out learning
opportunities for themselves both
internally within the organization
from other colleagues or externally.
They have training & development
plans and formal and informal
learning opportunities are created or
seized through coaching, mentoring
and on-the-job training. Over 30%
of staff have mentors who they meet
with regularly. Individual learning is
fed back to wider team/
organization. Learning is regarded
as critical rather than incidental at
both individual and organizational
levels.
Performance management system
established that provides framework
to link individual work plans with
operational team plans and
organizational strategic plan etc
Staff have regular supervision/
review meetings with manager and
peer reviews such as 360 degree
21
Performance questions Limited Being developed Partially functioning Fully effective Comments,
(Include Why / why 1 2 3 4 ideas for
not?) further
improvement

appraisals also occur.

5.h.To what extent do There are few regular forums Critical reflection forums There is a conscious attempt to Staff prioritise facilitating dialogue
forums for critical for critical reflection. do reflect on what draw out lessons learnt but this has about lesson learning and improving
reflection facilitate happened and why but yet to be valued as critical by all practice between themselves and
dialogue about lesson inadequate time is spent staff. with other stakeholders. Staffs
learning and improving considering so what and regularly document their own
practice? now what? observations and reflections
knowing they will be asked to share
these.
5.i.To what extent is Staff expected to submit Staff members appreciate System in place for staff to Range of systems and channels
critical reflection reports of work that focus on the importance/ value of document and share lessons learnt used by staff to document and
encouraged at an technical content issues individual reflection but but utilized erratically. share lessons learnt. There may be
individual level? rather than process or limited evidence that it incentives to utilize these systems.
individual lessons learnt happens in practice eg:
through diaries, learning
logs, review preparation
forms etc.
5.j.To what extent is the Linkages with other networks Some linkages exist that Staffs share information with each All staff are aware of the range
organization/programme etc are ad-hoc and between are beginning to be other about news, ideas or of links and partnerships with
linked with other individuals institutionalized rather than resources from other networks/ other networks/ initiatives
networks/ initiatives etc reliant on particular staff initiatives. Staffs are regularly and/or there is a focal person
that encourage learning & members. attending appropriate and useful who ensures staff are kept
sharing around good external events or workshops. informed about resources or
practice etc. ideas coming from other
networks/ initiatives. There is a
designated person/ team
responsibility for
communicating about the work
of the organisation to these
networks/ initiatives so
communication flow is two-
way.

22
Additional questions:
(1) What is the external context of development effectiveness that affects being able to manage for impact
(M4I)?

(2) What capacities and conditions (internal and external) are already in place that support (M4I) in view of this
external context?

(3) What capacities and conditions (internal and external) still need to be enhanced to support M4I in view of
this external context?

23
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