Bachelor of Social Science (Special Honours) in Monitoring &evaluation

B SOC. SC. (SP) IN M&E 1.
1
Bachelor of Social Science
(Special Honours) in
Monitoring &Evaluation
REVISION PACK 1.1
Compiled by:
Jeffrey Mashavira
Zibusiso Moyo
mashaviraj@gmail.com +263775806174 zibusisomoyo94@gmai.com +263782766140
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B SOC. SC. (SP) IN M&E 1.1
Compilers Note:
I and my study partner as we were doing our own examination preparations we just got
overexcited as we were tapping into the body of knowledge of monitoring and evaluation. We
decided to compile an open source resource. It is not an academic write up. No academic rules
were followed. It is not for commercial purposes. We were just standing on the shoulders of
giants. It was not prepared entirely for examination purposes but also for general understanding.
This is a dedication to Part 1 Bachelor of Social Science (Special Honours) in Monitoring &
Evaluation students class of 2021.
If you come across errors and omissions just laugh it off and correct them. Better still create your
own resource. It is our sincerest hope that future Part 1 students of this program will elevate this
document to the next level and make it whatever they want it to be.
More love to our lectures for re-igniting the passion of learning in us. Thank you.
To the student, we say: Fear God and just bring your A Game to the examination Room.
The document was just prepared out of love for learning.. The love of Christ compels us.
From,
Jeffrey Mashavira
This is a dedication to my twin sister for her love, support and encouragement to take on this
course. May this document assist every student to reach their goal of passing and do more from
here.
With love,
Zibusiso Moyo Busie
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1.0 DATA COLLECTION METHODS................................................................................................................. 5
1.1 FOCUS GROUPS ................................................................................................................................... 5
1.2 ETHICS ................................................................................................................................................. 9
1.3 DESIGN PROCESS ............................................................................................................................... 18
1.4 OBSERVATION ................................................................................................................................... 35
1.5 INTERVIEW ........................................................................................................................................ 43
1.6 QUANTITATIVE AND QUALITATIVE DATA ......................................................................................... 47
1.7 TRIANGULATION ............................................................................................................................... 53
1.8 SOCIAL MAPPING .............................................................................................................................. 56
1.9 SECONDARY DATA............................................................................................................................. 58
1.10 MIXED RESEARCH METHODS .......................................................................................................... 60
1.11 PARTICIPATORY DATA COLLECTION................................................................................................ 63
2.0 GENERAL PRINCIPLES ............................................................................................................................ 66
2.1 TERMS ............................................................................................................................................... 66
2.2 MONITORING AND EVALUATION ...................................................................................................... 72
2.3 CLARIFICATORY EVALUATION / EVALUABILITY ASSESSMENT ........................................................... 78
2.4 PROCESS EVALUATION ...................................................................................................................... 84
2.6 EVALUATION THEORIES .................................................................................................................... 91
2.7 TYPES OF EVALUATION ................................................................................................................... 105
2.8 EVALUATION STANDARDS .............................................................................................................. 108
3.0 THEMATIC ISSUES ............................................................................................................................... 111
3.1 FOOD SECURITY............................................................................................................................... 111
3.2 SUSTAINABLE DEVELOPMENT GOALS ............................................................................................. 115
3.3 GOVERNANCE ................................................................................................................................. 119
3.4 CORRUPTION................................................................................................................................... 122
3.5 YOUTH ............................................................................................................................................. 124
3.6 CHILDREN ........................................................................................................................................ 127
3.7 DISABILITY ....................................................................................................................................... 131
3.8 POVERTY.......................................................................................................................................... 135
3.9 CLIMATE CHANGE ........................................................................................................................... 145
3.10 VULNERABILITY ............................................................................................................................. 152
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3.11 MINING ......................................................................................................................................... 155
3.12 RESOURCES ................................................................................................................................... 163
3.13 INDIGENOUS KNOWLEDGE SYSTEMS ........................................................................................... 174
3.14 CONSRVATION FARMING .............................................................................................................. 194
4.0 QUANTITATIVE AND QUALITATIVE METHODS FOR EVALUATION STUDIES........................................ 200
4.1 NARRATIVE ANALYSIS ..................................................................................................................... 200
4.2 CONTENT ANALYSIS ........................................................................................................................ 207
4.3 QUANTITATIVE AND QUALITATIVE ANALYSIS ................................................................................. 214
4.4 THEMATIC ANALYSIS ....................................................................................................................... 224
4.5 COMPARE ........................................................................................................................................ 229
4.6 CODING ........................................................................................................................................... 236
5.0 MONITORING AND EVALUATION PLANNING...................................................................................... 238
5.1 PERFORMANCE INDICATORS .......................................................................................................... 238
5.2 LOGFRAME MATRIX ........................................................................................................................ 247
5.3 RESULTS BASED SYSTEM ................................................................................................................. 251
5.4 PROGRAM DOMAINS ...................................................................................................................... 265
5.5 PLANNING ....................................................................................................................................... 267
5.6 DELIVERABLES ................................................................................................................................. 271
5.7 MONITORING AND EVALUATION PLAN .......................................................................................... 274
5.8 MONITORING AND EVALUATION SYSTEM ...................................................................................... 276
5.9 COSTING AN EVALUATION .............................................................................................................. 281
5.10 PARAMETERS ................................................................................................................................ 283
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1.0 DATA COLLECTION METHODS
1.1 FOCUS GROUPS
A focus group is a type of qualitative research methodology in which small homogenous groups
of people are brought together to informally discuss specific topics under the guidance of a
moderator. Critically review the importance of a focus group discussion in monitoring and
evaluation. (25)
AUG 2014 SUPP Q6
ATTEMPT
Definition
- A focus group is a type of qualitative research methodology in which small homogenous

groups of people are brought together to informally discuss specific topics under the
guidance of a moderator. But the structure of the focus group is anything but informal.
- There is a script, a set of open-ended questions that are prepared ahead of time. The
moderator can improvise, though, with probes or additional questions as warranted by the
situation.
- The group process tends to elicit more information than individual interviews because
people express different views and engage in a dialogue with each other.
- The moderator is able to facilitate the dialogue as well as explore their reasons and
feelings behind those differences.
- The conversation is often not linear; participants may bring up information or different
perspectives at any time.
Importance
Billson and London (2004) describe the purpose of focus groups is to elicit reliable data, not just
interesting information. Focus groups can:
- help develop a survey questionnaire

- clarify sample selection
- contextualize survey data
- be used in tandem with surveys
- be used as a separate data collection tool.
The importance of focus groups can also be grouped into four categories:
• exploring
− explore issues, language
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− test methodological approaches
− understand the setting
− formulate hypotheses
• triangulating
− use multiple methods to enhance validity of data
− enrich and broaden data
• pre-testing
− test questionnaire items
− assess initial reactions to programs, products, or ideas
− explore impacts on relevant groups
• uncovering meaning
− identify meaning on multiple levels
− explore unexpressed meanings, beliefs, values, and motivations
− elaborate upon complex accounts.
Focus groups are also important as they can be used in varied situations. Billson and London
(2004) identify the following situations where you can consider using focus groups to collect
data:
• group interaction
• complexity of resources
• “how” and “why” rather than “whether” and “how much”
• contextual responses not “yes” or “no” responses
• triangulation of multiple methods
• immediate feedback
• complexity of behaviors and motivations
• the range of intensity of opinions
• views on sensitive topics
• when respondents are not comfortable with “paper and pencil” methods.
Billson also lists the following situations where you should not use focus groups:
 if you want to gather statistical data
 if language barriers are insurmountable
 if you have little control over the situation
 if you cannot establish trust
 if you cannot ensure free expression
 if confidentiality is critical.
A focus group important as it can also be used to gather data for a needs assessment, where you
look for expectations for staff, participant, and/or beneficiaries to help you identify and define
needs. There might also be need to monitor staff debriefings, mid-term reviews, and/or progress
monitoring.
Focus groups can also help with program evaluations during workshops and conferences, rapid
assessments, and/or participatory evaluations.
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Conclusion
Focus groups can contribute critical data for organizational analysis but should not be asked to
directly:
 solve problems
 resolve conflicts
 make decisions
 build consensus.
However it goes without saying, a focus group as a qualitative research methodology is

important in monitoring and evaluation.
Give a brief outline of the key techniques used in moderating focus group in monitoring and
evaluation. (25 marks)
MAY 2019 Q6
ATTEMPT
The facilitator or moderator of the focus group has a very important role. The facilitator will
direct the meeting and manage the time. Facilitators will:
 be familiar with the script, rather than reading it, so the session appears conversational
 make sure everyone is heard, rather than allowing one or two persons to dominate the
discussion, by:
− asking “what do other people think?”
− stating “We have heard from a few people; do others have the same views or different
views?”
 manage time, closing off discussion, and moving to the next topic when appropriate
 set ground rules, such as:
− there is no such thing as a wrong comment
− no criticism of others is permitted.
 say as little as possible, letting conversation flow across the table with minimal direction
 keep personal views outside the room
 use active listening
 accept all views while managing differences of opinion:
− “So, we have different perspectives.”
 probe for elaboration
− “Tell me more.”
The moderator will ask many questions. The questions asked will be determined by the purpose
of the focus group. The following are examples of typical focus group questions:
 What did you learn at the teachers college that is most helpful to you in teaching primary
school students?
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 What are your greatest challenges in teaching primary school students?
 What should the college teach so that graduates are prepared to meet the current
challenges?
After the focus group session, the moderator writes impressions immediately after the focus
group. The write-up should include all of the major issues and major points of the discussion. It
can also capture anything unusual that happened during the focus group.
Ideally, a focus group will be audio taped or video taped. If so, the focus group tape can be
transcribed verbatim. If this is not possible, the facilitator should listen to the tape afterwards
while writing in-depth notes. Most people are surprised about how much they did not hear during
the actual focus group.
Once the write-up is complete, the facilitator should compare the write-up with any partners in
the facilitation.
Identify and discuss the merits and demerits of a focus group discussion as a data collection
instrument in monitoring and evaluation. (25 marks)
DEC 2014 Q3
ATTEMPT
Definition
- A focus group is a type of qualitative research methodology in which small homogenous

groups of people are brought together to informally discuss specific topics under the
guidance of a moderator. But the structure of the focus group is anything but informal.
- There is a script, a set of open-ended questions that are prepared ahead of time. The
moderator can improvise, though, with probes or additional questions as warranted by the
situation.
- The group process tends to elicit more information than individual interviews because
people express different views and engage in a dialogue with each other.
- The moderator is able to facilitate the dialogue as well as explore their reasons and
feelings behind those differences.
- The conversation is often not linear; participants may bring up information or different
perspectives at any time.
Merits
 Relatively quick and easy;

 may take less staff time than in-depth in-person interviews;
 provides flexibility to make changes in process and questions;
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 ability to explore different perspectives. The researcher can interact with participants,
pose follow-up questions or ask questions that probe more deeply.
 It is fun! It is different than a group interview.
 It helps learn more about opinions on a specific topic. Responses are typically spoken,
open-ended, relatively broad, and qualitative. They have more depth, nuance, and variety.
 Non verbal communications and group interactions can also be observed. Focus groups
can therefore get closer to what people are really thinking and feeling.
 Can yield a lot of information in a relatively short time
 Group members can often stimulate new thoughts for each other, which might not have
otherwise occurred.
 Results can be easier to understand than complicated statistical dat
 Using focus groups is cost effective way to get information
Demerits
 Analysis is time consuming;

 Potential challenges include participants might be different from rest of population, The
small sample size means the groups might not be a good representation of the larger
population
 risk of bias in interpreting the data; and
 the risk of the group being influenced by moderator or dominant members of the group.
Respondents can feel peer pressure to give similar answers to the moderator’s questions.
 Group discussions can be difficult to steer and control, so time can be lost to irrelevant
topics
 The moderator’s skill in phrasing questions along with the setting can affect responses
and skew results
 Recruitment can be expensive, difficult, and prone to volunteer bias (Krueger, 1994;
Krueger & Casey, 2000). No guarantee that that all those recruited will attend the
discussion. Better to over recruit. The focus group leader may sometimes need to be paid.
 Some group members might feel hesitant about speaking openly
 Take more time per respondent than individual surveys – because the group has to be
recruited
1.2 ETHICS
Discuss the importance of ethics in monitoring and evaluation data collection (25 marks)
DEC 2014 Q2
ATTEMPT
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Definition
What is ethical behavior?
- “…a set of moral principles, rules, or standards governing a person or a profession”

(London School of Hygiene and Tropical Medicine).
- “Not knowing what constitutes best practice is incompetence.
- Knowing what best practice is, but not knowing how to achieve it, maybe inexperience.
Knowingly not following best practices, when one knows how to achieve it, is unethical”
(Smith2002:23)
- This is the most common way of defining "ethics": norms for conduct that distinguish
between acceptable and unacceptable behavior.
Importance
- Ethics adherence ensures Systematic inquiry which maintains that M&E staff must
adhere to the highest technical standards for each activity. This will eliminate bias in
M&E activities. Ensure that M&E activities are systematic, accurate, and fair, and
identify the project’s strengths and weaknesses. Allow critical and complementary voices
to be heard in the data collected.
- Ensures Competence which means that M&E staff should hold the skills and cultural
competencies required to conduct an M&E activity.
- Gives credibility. Do not undertake an M&E activity if stakeholders doubt your
credibility due to your past work or publicly stated views. If key stakeholders find fault
with your work or position on related activities, they may discredit your approach or
findings in future assignments.
- Encourages integrity and honesty. Disclose any potential conflicts of interest to
stakeholders and donors prior to finalizing the plans for an M&E activity. These include,
for example, a stakeholder’s interest in presenting only project success instead of
maintaining neutrality, or a stakeholder interested in demonstrating needs in one sector at
the expense of needs in another (i.e., focusing on agricultural needs and not
acknowledging water issues). It is also important to disclose the source of financial
support to stakeholders so that they are aware of donor interests in the M&E activity.
- Honor agreements made with stakeholders (including communities and participants)
regarding the timing of surveys, plans for sharing results, community participation in data
collection, and any other relevant aspects of the M&E activity. If adjustments to the
agreements are necessary, consult stakeholders to determine the best alternative for all
parties.
- Ensure that, to the best of your knowledge and ability, the M&E data are accurate.
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- Address any questionable M&E practices observed during data collection or analysis,
whether due to negligence or mistakes by M&E team members. Correct any questionable
practices even if additional data must be collected.
- Ensure that M&E results are accurately represented and attempt to prevent their misuse.
It is the evaluator’s obligation to present the full and unbiased picture that the data
provide and to correct misperceptions if stakeholders should try to present only the
favorable results in a public forum, to use the data out of context (level of representation),
or to disregard the noted limitations of the approach.
- Respect for people begins with the premise that M&E staff has a solid understanding of
contextual elements that may influence the M&E activity and respect relevant differences
in stakeholders, such as gender, socio-economic status, age, religion, and ethnicity.
- Determine the appropriate method for collecting and documenting informed consent,
whether in writing or orally, given the level of literacy in local communities. A lack of
refusal is not considered informed consent.
- Follow standards for confidentiality and anonymity of data collected from participants, as
appropriate. Anonymous data are not linked to respondent’s names or any other
identifiable information, and do not allow for follow up with respondents. Be sure to
clarify with respondents whether the data will be anonymous or confidential.
- Ensure M&E activities should maximize benefits and minimize harm. Both the human
and financial time and resources required to conduct the M&E activity should be far
outweighed by the benefits of knowledge gained or results demonstrated. Also consider
environmental resources in this equation. Respondents should not be put at risk
physically, subject to discrimination, or disadvantaged in any way due to their
participation in the M&E activity.
- Recognize General and public welfare responsibilities include not just immediate
outcomes of the evaluation process and results, but long-term implications and effects as
well.
- Present M&E findings in a way that is highly accessible to all stakeholders yet still
maintains participant confidentiality. Determine the appropriate means for disseminating
results to each stakeholder.
- Follow a non-disclosure policy and share and use results only as initially agreed with
stakeholders. If confidentiality has been protected and the findings are derived from the
data, it is appropriate to share findings widely. Only if the donor places limitations,
should research findings be withheld. It is advisable to agree upon a dissemination plan
prior to conducting each activity to avoid confusion or conflict at a later date.
- norms promote the aims of research, such as knowledge, truth, and avoidance of error.
For example, prohibitions against fabricating, falsifying, or misrepresenting research data
promote the truth and minimize error.
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- since research often involves a great deal of cooperation and coordination among many
different people in different disciplines and institutions, ethical standards promote the
values that are essential to collaborative work, such as trust, accountability, mutual
respect, and fairness. For example, many ethical norms in research, such as guidelines for
authorship, copyright and patenting policies, data sharing policies, and confidentiality
rules in peer review, are designed to protect intellectual property interests while
encouraging collaboration. Most researchers want to receive credit for their contributions
and do not want to have their ideas stolen or disclosed prematurely.
- many of the ethical norms help to ensure that researchers can be held accountable to the
public. For instance, federal policies on research misconduct, conflicts of interest, the
human subjects protections, and animal care and use are necessary in order to make sure
that researchers who are funded by public money can be held accountable to the public.
- ethical norms in research also help to build public support for research. People are more
likely to fund a research project if they can trust the quality and integrity of research.
- many of the norms of research promote a variety of other important moral and social
values, such as social responsibility, human rights, animal welfare, compliance with the
law, and public health and safety. Ethical lapses in research can significantly harm human
and animal subjects, students, and the public. For example, a researcher who fabricates
data in a clinical trial may harm or even kill patients, and a researcher who fails to abide
by regulations and guidelines relating to radiation or biological safety may jeopardize his
health and safety or the health and safety of staff and students.
- Ethics relate to the manner in which a researcher treats participants in the research study.
- In fact, ethics cover questions relating to what counts as what responsibilities humans
have for each other and the ecosystem, right and wrong conduct, good and bad qualities
of character.
- On one hand, ethics strengthens the quality of research while on the other hand, the
qualities of a researcher which include ethical sensitivity.
Critically discuss ethical issues encountered when monitoring and evaluating sexual and
reproduction programmes among children less than 16 years of age (25 marks)
JAN 2016 SUPP Q3
ATTEMPT
Definition
What is ethical behavior?
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- “…a set of moral principles, rules, or standards governing a person or a profession”
(London School of Hygiene and Tropical Medicine).
- “Not knowing what constitutes best practice is incompetence.
- Knowing what best practice is, but not knowing how to achieve it, maybe inexperience.
Knowingly not following best practices, when one knows how to achieve it, is unethical”
(Smith2002:23)
- This is the most common way of defining "ethics": norms for conduct that distinguish
between acceptable and unacceptable behavior.
Ethical Issues in Data Collection

As researchers anticipate data collection, they need to respect the participants and the sites for
research. Many ethical issues arise during this stage of the research.
- Do not put participants at risk, and respect vulnerable populations. Researchers need to
have their research plans reviewed by the Institutional Review Board (IRB) on their
college and university campuses. IRB committees exist on campuses because of federal
regulations that provide protection against human rights violations.
- For a researcher, the IRB process requires assessing the potential for risk, such as
physical, psychological, social, economic, or legal harm (Sieber, 1998), to participants in
a study.
- Also, the researcher needs to consider the special needs of vulnerable populations, such
as minors (under the age of 19), mentally incompetent participants, victims, persons with
neurological impairments, pregnant women or fetuses, prisoners, and individuals with
AIDS.
- Investigators file research proposals containing the procedures and information about the
participants with the IRB campus committee so that the board can review the extent to
which the research being proposed subjects individuals to risk.
- In addition to this proposal, the researcher develops an informed consent form for
participants to sign before they engage in the research. This form acknowledges that
participants’ rights will be protected during data collection.
- One issue to anticipate about confidentiality is that some participants may not want to
have their identity remain confidential. By permitting this, the researcher allows the
participants to retain ownership of their voices and exert their independence in making
decisions. They do, however, need to be well informed about the possible risks of non
confidentiality, such as the inclusion of data in the final report that they may not have
expected, information that infringes on the rights of others that should remain concealed,
and so forth (Giordano, O’Reilly, Taylor, & Dogra, 2007).
- in authority (e.g., gatekeepers) to provide access to study participants at research sites.
This often involves writing a letter that identifies the extent of time, the potential impact,
and the outcomes of the research. Use of Internet responses gained through electronic
interviews or surveys needs permission from participants. This might be gained through
first obtaining permission and then sending out the interview or survey.
- Researchers need to respect research sites so that they are left undisturbed after a research
study. This requires that inquirers, especially in qualitative studies involving prolonged
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observation or interviewing at a site, be cognizant of their impact and minimize their
disruption of the physical setting. For example, they might time visits so that they intrude
little on the flow of activities of participants. Also, organizations often have guidelines
that provide guidance for conducting research without disturbing their settings.
- In experimental studies, investigators need to collect data so that all participants, not only
an experimental group, benefit from the treatments. This may require providing some
treatment to all groups or staging the treatment so that ultimately all groups receive the
beneficial treatment.
- An ethical issue arises when there is not reciprocity between the researcher and the
participants. Both the researcher and the participants should benefit from the research. In
some situations, power can easily be abused and participants can be coerced into a
project. Involving individuals collaboratively in the research may provide reciprocity.
Highly collaborative studies, popular in qualitative research, may engage participants as
co researchers throughout the research process, such as the design, data collection and
analysis, report writing, and dissemination of the findings (Patton, 2002).
- Interviewing in qualitative research is increasingly being seen as a moral inquiry (Kvale,
2007). As such, interviewers need to consider how the interview will improve the human
situation (as well as enhance scientific knowledge), how a sensitive interview interaction
may be stressful for the participants, whether participants have a say in how their
statements are interpreted, how critically the interviewees might be questioned, and what
the consequences of the interview for the interviewees and the groups to which they
belong might be.
- Researchers also need to anticipate the possibility of harmful, intimate information being
disclosed during the data collection process. It is difficult to anticipate and try to plan for
the impact of this information during or after an interview (Patton, 2002). For example, a
student may discuss parental abuse or prisoners may talk about an escape. Typically in
these situations, the ethical code for researchers (which may be different for schools and
prisons) is to protect the privacy of the participants and to convey this protection to all
individuals involved in a study.
Ethical Issues in Data Analysis and Interpretation
When the researcher analyzes and interprets both quantitative and qualitative data, issues emerge
that call for good ethical decisions. In anticipating a research study, consider the following:
• How will the study protect the anonymity of individuals, roles, and incidents in the project?
For example, in survey research, investigators disassociate names from responses during the
coding and recording process. In qualitative research, inquirers use aliases or pseudonyms for
individuals and places, to protect identities.
• Data, once analyzed, need to be kept for a reasonable period of time (e.g., Sieber, 1998,
recommends 5-10 years). Investigators should then discard the data so that it does not fall into
the hands of other researchers who might misappropriate it.
• The question of who owns the data once it is collected and analyzed also can be an issue that
splits research teams and divides individuals against each other. A proposal might mention this
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issue of ownership and discuss how it will be resolved, such as through the development of a
clear understanding between the researcher, the participants, and possibly the faculty advisers
(Punch, 2005). Berg (2001) recommends the use of personal agreements to designate
ownership of research data. An extension of this idea is to guard against sharing the data with
individuals not involved in the project.
• In the interpretation of data, researchers need to provide an accurate account of the
information. This accuracy may require debriefing between the researcher and participants in
quantitative research (Berg, 2001). It may include, in qualitative research, using one or more of
the strategies to check the accuracy of the data with participants or across different data
sources.
Ethical Issues in Writing and Disseminating the Research
The ethical issues do not stop with data collection and analysis; issues apply as well to the actual
writing and dissemination of the final research report. For example,
• Discuss how the research will not use language or words that are biased against persons
because of gender, sexual orientation, racial or ethnic group, disability, or age. The APA (2001)
Publication Manual suggests three guidelines. First, present unbiased language at an appropriate
level of specificity (e.g., rather than say, “The client’s behavior was typically male,” state, “the
client’s behavior was _________ [specify]”). Second, use language that is sensitive to labels
(e.g., rather than “400 Hispanics”, indicate “400 Mexicans, Spaniards, and Puerto Ricans”).
Third, acknowledge participants in a study (e.g., rather than “subject,” use the word
“participant,” and rather than “woman doctor” use “doctor” or “physician”).
• Other ethical issues in writing the research will involve the potential of suppressing, falsifying,
or inventing findings to meet a researcher’s or an audience’s needs. These fraudulent practices
are not accepted in professional research communities, and they constitute scientific misconduct
(Neuman, 2000). A proposal might contain a proactive stance by the researcher to not engage in
these practices.
• In planning a study, it is important to anticipate the repercussions of conducting the research on

certain audiences and not to misuse the results to the advantage of one group or another. The
researcher needs to provide those at the research site with a preliminary copy of any publications
from the research (Creswell, 2007).
• An important issue in writing a scholarly manuscript is to not exploit the labor of colleagues
and to provide authorship to individuals who substantially contribute to publications. Isreal and
Hay (2006) discuss the unethical practice of so-called gift authorship to individuals who do not
contribute to a manuscript and ghost authorship, in which junior staff who made significant
contributions have been omitted from the list of authors.
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• Finally, it is important to release the details of the research with the study design so that readers
can determine for themselves the credibility of the study (Neuman, 2000). Detailed procedures
for quantitative, qualitative, and mixed methods research will be emphasized in the chapters to
follow. Also, researchers should not engage in duplicate or redundant publication in which
authors publish papers that present exactly the same data, discussions, and conclusions and do
not offer new material. Some biomedical journals now require authors to declare whether they
have published or are preparing to publish papers that are closely related to the manuscript that
has been submitted (Isreal & Hay, 2006).
Outline ethical principles in data collection (25)
ATTEMPT
Given the importance of ethics for the conduct of research, it should come as no surprise that
many different professional associations, government agencies, and universities have adopted
specific codes, rules, and policies relating to research ethics.
The following is a rough and general summary of some ethical principles that various codes
address*:
Honesty
Strive for honesty in all scientific communications. Honestly report data, results, methods and
procedures, and publication status. Do not fabricate, falsify, or misrepresent data. Do not deceive
colleagues, research sponsors, or the public.
Objectivity
Strive to avoid bias in experimental design, data analysis, data interpretation, peer review,
personnel decisions, grant writing, expert testimony, and other aspects of research where
objectivity is expected or required. Avoid or minimize bias or self-deception. Disclose personal
or financial interests that may affect research.
Integrity
Keep your promises and agreements; act with sincerity; strive for consistency of thought and
action.
Carefulness
Avoid careless errors and negligence; carefully and critically examine your own work and the
work of your peers. Keep good records of research activities, such as data collection, research
design, and correspondence with agencies or journals.
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Openness
Share data, results, ideas, tools, resources. Be open to criticism and new ideas.
Respect for Intellectual Property
Honor patents, copyrights, and other forms of intellectual property. Do not use unpublished data,
methods, or results without permission. Give proper acknowledgement or credit for all
contributions to research. Never plagiarize.
Confidentiality
Protect confidential communications, such as papers or grants submitted for publication,

personnel records, trade or military secrets, and patient records.
Responsible Publication
Publish in order to advance research and scholarship, not to advance just your own career. Avoid
wasteful and duplicative publication.
Responsible Mentoring
Help to educate, mentor, and advise students. Promote their welfare and allow them to make
their own decisions.
Respect for colleagues
Respect your colleagues and treat them fairly.
Social Responsibility
Strive to promote social good and prevent or mitigate social harms through research, public
education, and advocacy.
Non-Discrimination
Avoid discrimination against colleagues or students on the basis of sex, race, ethnicity, or other
factors not related to scientific competence and integrity.
Competence
Maintain and improve your own professional competence and expertise through lifelong
education and learning; take steps to promote competence in science as a whole.
Legality
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Know and obey relevant laws and institutional and governmental policies.
Animal Care
Show proper respect and care for animals when using them in research. Do not conduct
unnecessary or poorly designed animal experiments.
Human Subjects Protection
When conducting research on human subjects, minimize harms and risks and maximize benefits;
respect human dignity, privacy, and autonomy; take special precautions with vulnerable
populations; and strive to distribute the benefits and burdens of research fairly.
* Adapted from Shamoo A and Resnik D. 2015. Responsible Conduct of Research, 3rd ed. (New
York: Oxford University Press).
1.3 DESIGN PROCESS

Describe the design process of an evaluation making special reference to the linkage between the
evaluation questions, data collection instruments and measurable outcomes. Your description
should clearly show how the data collection method is selected in the design process. Credit will
be given for use of relevant examples. (25)
AUG 2014 SUPP Q4
ATTEMPT
There are four key questions to consider prior to selecting a data collection method for your
evaluation. These include:
1. What is the purpose/objective of the evaluation?
2. What are the research questions?
3. What is the type of evaluation design?
4. What resources are available for the evaluation?
1. What is the purpose/objective of the evaluation?
In general, defining a specific purpose for your evaluation will allow you to set parameters
around the design you use, the data you collect and the methods you will use.
Questions about why your evaluation is being done and how the information will be used should
be discussed among a variety of program staff, and any other individuals who may be involved
in the evaluation to ensure there is consensus as to what the evaluation will accomplish.
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As you begin to define the purpose and scope of your evaluation, it is helpful to refer to your
program’s logic model to clarify and confirm your program’s operations or processes and
intended outcomes.
To briefly review, a program logic model is a detailed visual representation of your program and
its theory of change that communicates how your program works, the resources you have to
operate your program, the activities you carry out, and the outcomes you hope to achieve. It
communicates how your program works by depicting the intended relationships among program
components. Key program components consist of:
• Inputs or resources - which are considered essential for a program’s activities to occur.
• Activities – which are the specific actions that make up your program or intervention.
• Outputs – what a program’s specific activities will create or produce, providing evidence of
service delivery (e.g., the number of beneficiaries served or the number of children improving
reading scores).
• Outcomes - the specific changes that may result from a program’s activities or intervention.
In addition, we can think of a logic model as essentially having two “sides.” The process side
focuses on a program’s implementation or its planned work – inputs/resources, activities, and
outputs (direct products). The outcomes side of the logic model describes the expected sequence
of changes that the program is to accomplish, which can be short-term, medium-term, and/or
long-term changes. The outcomes side reflects the difference the program intends to make.
2. What are the research questions?
Your evaluation’s focus on program processes or program outcomes will generate different kinds
of research questions, which in turn, will determine your data collection methods. As this graphic
illustrates, process evaluations address questions about program operations, namely the who,
what, when, where, why, and how many of program activities and program outputs. On the other
hand, outcome evaluations measure a program’s outcomes and assess program effectiveness.
These research questions, in turn, determine the data collection method that will be used.
3. What is the type of evaluation design?
Just as there are two sides to a logic model – a process side and an outcome side – there are two
common types of evaluation designs: a process evaluation design and an outcome evaluation
design. The side of the logic model that the purpose and scope of your evaluation focuses on,
will largely determine which type of evaluation design should be used for the evaluation.
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For a process evaluation, findings are most often used to change or improve the program. A
process evaluation can be used to document what a program is doing and to what extent and how
consistently the program demonstrates fidelity to the program’s logic model. An outcome or
impact evaluation can be used to determine the results or effects of a program. These types of
evaluations generally measure changes in program beneficiaries' knowledge, attitudes, behaviors,
and/or conditions thought to result from the program.
To answer the types of research questions associated with a process evaluation, a comparison
group is generally not necessary. While not required, the more rigorous outcome evaluations
include a comparison group against which to measure changes in program beneficiaries. These
types of outcome evaluation designs are referred to as impact evaluations. The use of a
comparison group provides additional evidence that observed changes in program beneficiaries
were due to the program or intervention. Thus, impact evaluations are better able to measure or
estimate the impact of the program on beneficiaries.
Just as research questions determine the data collection methods that will be used, so do the type
of evaluation design.
4. What resources are available for the evaluation?
An important consideration in selecting a data collection method is the available resources

(funding, staff time, evaluation expertise) for carrying out the evaluation.
A program’s budget for evaluation is always a consideration in selecting any form of data
collection, as some methods can be more expensive than others. It’s important to note, however,
that virtually any form of data collection can be more or less expensive depending on several
factors, including the length
or complexity of the data collection instrument or protocol, the number of respondents from
which you plan to collect data, and whether data collection can be administered to groups of
respondents at one time or have to be administered to individuals one at a time. Using existing
data (which I will discuss in just a few slides), helps decrease the amount of new data that must
be collected and by extension, evaluation costs.
In addition to considering the costs of data collection, it is also important to consider whether
staff and/or volunteers have the time and expertise to assist in the data collection for the
evaluation. Including staff in evaluation activities will not only help defray costs, but also help
build evaluation capacity by involving staff in key evaluation processes.
When thinking about resources to invest in an evaluation, also consider whether outside expertise
is required. It may be useful to consult an external evaluator to advise on data collection
practices or have the evaluator design the data collection instrument (survey, interview protocols,
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etc.), while program staff may conduct the bulk of the actual data collection. Grantees that are
required to conduct external evaluations, however, may need to negotiate this carefully to ensure
objectivity.
In the long-term, it is also important to consider how you can continue building on your data
collection efforts for program evaluation over time. Think about building data collection into
routine program operations from the start, if you have not already, rather than viewing it as one-
time exercise for a specific evaluation only. Collecting data regularly will pay dividends for
years to come, for both performance measurement and evaluation and for continuous program
improvement. Being a true learning organization means regularly collecting data and using it to
inform decision-making.
Data can be obtained in many different ways to address your evaluation needs. Programs often
begin by first looking at the data already being collected to understand if existing data can
adequately answer the evaluation’s research questions. Existing data (sometimes referred to as
secondary data) may pertain to data already collected by the program itself such as performance
measures or data that are gathered by external sources, such as administrative data.
Administrative data may include student records, test scores, medical records, and Census data.
When existing data are not available to answer research questions, programs need to collect new
data (sometimes referred to as primary data). Depending on the research questions being asked,
there are several different types of data collection instruments that can be developed and
administered to collect new data such as surveys and interviews.
There are advantages and disadvantages to both existing and new data. Existing data can save
resources because time, effort, and financial resources are not spent on collecting new data. The
disadvantage, however, is that existing data may be difficult to access, and there may not be a
perfect fit between what the evaluation is trying to measure and the purposes for which the
existing data were collected. Moreover, it is often difficult to assess how reliable the data are,
and how reliably they were recorded and documented. Although more costly, the advantage of
using new data is that the evaluator has greater control over the measures, procedures, and
implementation and documentation, which can contribute to higher data quality.
As described earlier, grantees can build on data that are collected as part of routine program
operations, such as performance measures, for their evaluation. Your program may already be
collecting data to monitor and report on your program’s progress toward achieving its expected
outcomes for program beneficiaries. An example of a routine program activity from which you
can gather data is the use of a sign-in log for any member trainings or workshops that are
offered. You can use the sign-in log to track members’ attendance in training to measure
consistency of attendance as an indicator of members’ commitment to development and learning.
If your program decides to conduct an impact evaluation to learn whether your progress on
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outcomes is caused by your intervention, it may be that you continue to collect the SAME
outcomes data, but also include a matched comparison group. Including this comparison group
enables you to answer specific questions related to causality – in this case, what would have
happened to people if they did not receive the intervention (i.e., whether the observed changes
can be attributed to your intervention).
Besides thinking about existing and new data, there are two general types of data you can collect.
The first is Quantitative data. These data are numerical and can be counted, quantified, and
mathematically analyzed. Examples of quantitative data are scores on achievement tests, number
of program beneficiaries, or satisfaction ratings of AmeriCorps members. Surveys and
assessments/tests are two of the most common ways of obtaining quantitative data. Because
quantitative data are numeric, they can be easily ordered and summarized.
The second type is Qualitative data. These data are not easily reduced to numbers but rather
narrative information that describes the study subject(s) and context. Some examples of
qualitative data include transcripts of interviews and focus groups and field notes from
observation of certain program activities. Qualitative data provide insight and context such as
attitudes, characteristics, and perspectives of program stakeholders. Although there are many
ways to collect qualitative data, interviews and focus groups are two of the most common ways
of collecting these data.
As we discussed, data collection methods can be either quantitative or qualitative. The table that
you see here provides an overview of these two types of methods, highlighting their key
differences with regard to the following:
Scope – In general, quantitative methods capture less in-depth data on a larger number of study
participants while qualitative methods generate more in-depth data on fewer study participants.
This is because quantitative methods are often used to collect data that can be summarized across
a larger number of cases (e.g., study participants, program sites) whereas qualitative methods are
often used to explore or gain a deeper understanding of a particular subject or topic among a
smaller number of cases. Qualitative methods tend to be more labor intensive and time-
consuming than quantitative methods approaches, and thus concern fewer cases.
Data collection – Quantitative data collection methods are used to collect data using structured
instruments such as a survey with closed-ended questions or items (e.g., questions with pre-
defined response options or rating scales). Qualitative data collection methods are intended to
collect narrative data using instruments such as surveys or interview protocols that contain open-
ended items (e.g., questions that allow the respondent to provide a response in their own words).
Data format – Quantitative methods yield numeric information, that is, data that can be summed
up or counted. Qualitative methods, on the other hand, yield narrative data that provide important
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insights and context such as a description of the attitudes and perspectives of program
beneficiaries.
Data analysis – Quantitative methods rely on statistical approaches to analyzing the data, which
may range from generating simple statistics, such as frequencies, means, ranges, and standard
deviations, to more complex statistical techniques that should be handled by an evaluator with
expertise in quantitative analysis. For qualitative data, content analysis is often used in which
themes or patterns in the data are identified, categorized, coded, and then summarized.
Results – Quantitative methods produce results that can be generalized to a larger population. In
program evaluation, generalizability may be defined as the extent to which you are able to make
conclusions about a larger population based on information you have collected from a sample or
subset of that population. For example, let’s say the homelessness prevention program develops
a new curriculum for its workshops and it first tests the curriculum on a sample of low-income
families in the community that are assumed to be representative of other families in the
community that would be served by the program. If this assumption is correct, the outcomes
associated with using the new workshop curriculum on the small number of families can be
generalized to estimate the outcomes of using the curriculum on other families in the community
who did not participate in the workshop. Quantitative methods are generally the only way to
provide statistical evidence of program impact. Qualitative methods produce results that give
meaning, illustrative explanation, and views of study subject(s). Results are typically not
generalizable to a larger population and cannot provide statistical evidence of program impact.
Most program evaluations will collect both quantitative data (numbers) and qualitative data (text)
in a mixed methods design to produce a more complete understanding of a program – which is
called triangulation. A combination of qualitative and quantitative data can improve a program
evaluation by ensuring that the limitations of one type of data are balanced by the strengths of
another.
Common quantitative data collection methods include surveys and assessments/tests.
Surveys are standardized instruments that collect data from a targeted group of subjects. While
surveys may be used to collect qualitative types of data, on this slide we discuss their use for
collecting quantitative types of data.
Surveys designed to capture quantitative data are generally comprised of well-specified, closed-
ended questions with a limited number of open-ended questions for clarifying some topics. A
closed-ended question is a question format that limits respondents with a list of answer choices
from which they must choose to answer the question. An open-ended question is a question
format that allows respondents to provide an answer in their own words.
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Surveys can be classified by their method of data collection. The most common data collection
methods are mail, e-mail/online, telephone interview, and in-person interview surveys. In
choosing which method is most appropriate for your survey, it is important to consider factors
such as cost and which method will likely yield the highest number of responses. For example, e-
mail and online surveys are typically less costly; however, they would not yield a high response
rate if your targeted survey group consists of individuals who are retired and over the age of 65.
If response rates are low, you may be excluding valuable information that may result in an
inaccurate account of the topic(s)/subject(s) your survey intended to measure. Thus, regardless of
the method you choose, it is important to include ways to encourage participation in surveys,
whenever possible. One effective strategy is to offer multiple collection methods. For example,
offer the survey electronically, or mail the survey with a stamped envelope. The easier it is for an
individual to complete the survey, the more response rates will increase.
Assessments or tests are the use of established standards to assess knowledge, skill, or
performance. They may be administered on paper, electronically, or via observation. Assessment
tests are generally commercially available and have been independently validated for accuracy at
measuring a particular concept, topic, or subject such as math or reading ability, parenting
capacity, job readiness, etc. Programs may also choose to develop their own internal
assessments/tests that are tailored to their program model. For example, an AmeriCorps program
may work with their evaluator to develop an assessment that measures program participants’
knowledge of a particular topic/subject(s) that their workshops focus on. The program may
choose to administer this assessment at two time points - before program beneficiaries participate
in the workshop series and immediately after they complete the series - to measure their
beneficiaries’ change in knowledge on the workshop’s topic.
We now turn our attention to common qualitative data collection methods.
Interviews are a common form of data collection used to gather narrative data on individuals’
thoughts, ideas, opinions, and perspectives, processes, and experiences. Qualitative interviews
collect information by talking with and listening to people. Interviews can be completed either
face to-face or over the telephone using unstructured, semi-structured, or structured questions to
guide the discussion. It is common for interviews to involve audio-recording or a note-taker to
ensure that respondents’ responses are captured accurately and fully.
Focus Groups are another common qualitative data collection method. Focus groups involve
collecting information through a guided small-group discussion. Focus groups are often used to
collect information on topics that benefit from a collective discussion in order to understand the
circumstances, behavior or opinions of focus group participants. When well executed, focus
groups should create an environment that puts participants at ease, allowing them to thoughtfully
answer questions in their own words and add meaning to their answers. The number of focus
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group participants may vary based on the questions you intend to ask, the available resources,
and other factors.
Participant observation/field notes involve collecting information through observing program

activities and study participants in their “natural” settings. There are different levels of
“structure” that observations take, ranging from structured to unstructured. For example, in a
highly structured observation, the evaluator will decide on the specific observation categories in
advance. In a semi- structured observation, the researcher starts with an agenda of what will be
observed and how, but collecting the data with observations is done in a less systematic or
predetermined way. Unstructured observations would not be constrained by checklists and
coding schemes; rather, the evaluator would report in narrative style about observations that are
relevant to the research questions.
Regardless of whether the observations are structured or unstructured, it is generally advisable

for a highly skilled qualitative researcher to conduct this type of data collection method. Also,
since data obtained through participant observation often serves as a unbiased check against
participants’ subjective reporting of what they believe and do, it is best to have this type of data
collection conducted by an independent evaluator.
Document review involves the use of content analysis and other techniques to analyze and
summarize printed material and existing information. Researchers often supplement other forms
of data collection with the gathering and analyzing of existing documents produced in the course
of everyday program activities. Because these materials are easy to obtain and do not take much
effort to review, they can be a useful and inexpensive source of historical information on the
program. The review of documents is an unobtrusive source of information that can provide a
useful portrait of the program and/or program participants. Meeting minutes, program logs,
announcements, training materials/manuals, policy statements, annual performance reports, etc.
are all useful in developing a greater understanding of the program, its goals, strategies,
activities, and participants.
The next two slides highlight the advantages and disadvantages of each type of data collection
method.
Starting with Surveys, the advantages of surveys for data collection are that they are:
• A quick and efficient way of getting information;
• Can cover a wide range of topics;
• Allow for the ability to obtain responses from a large number of people at once;
• Can be completed anonymously, if necessary, so respondents tend to be more comfortable

completing them;
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• Can be easy to compare and analyze responses using simple statistics such as frequencies,
means, ranges, and standard deviations
On the other hand, surveys also:
• High response rates may also be difficult achieve but are important for ensuring quality data are
used in analyses;
• Surveys that rely on closed-ended questions, where the respondent has to choose between
provided response options, may lack in-depth information on a topic or subject. Analyses are
then limited to response options that may not capture the nuances involved or the full range of
experience on an issue;
• Can be unreliable if respondents misunderstand questions or choose not to answer and if not
worded correctly, can produce biased responses;
• If face-to-face or telephone interviews are conducted, there can be the potential for respondents
to answer questions a certain way in an attempt to please the interviewer. For example, if the
respondent is asked a question about their satisfaction with the program, they may not want to
admit to the interviewer if they had an unsatisfactory experience.
The advantages of Assessments/Tests are that they:
• Provide objective information on knowledge and skills of participants;
• Because they tend to be standardized, assessment tests are easy to compare and analyze across
respondents.
On the other hand, some disadvantages of assessment tests are that they:
• May be oversimplified and measure only a single, narrow construct;
• Also, assessment tests have been criticized for being biased against some subgroups of test
takers, including low-income or minority populations.
Qualitative Interviews have several advantages, including:
• The ability to explore a range and depth of topics with respondents;
• Because of this ability to explore topics in-depth, interviews can yield rich data that can be
highly useful and informative to programs;
• Qualitative interviews also provide an opportunity for the interviewer to explain or clarify
questions that respondents may not completely understand.
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On the other hand, the disadvantages of qualitative interviews are:
• They may be difficult to analyze and compare data depending on how structured the questions
are;
• They usually require trained interviewers to complete them;
• Just as with face-to-face or telephone surveys, there is the potential desire of respondents to
please the interviewer by answering questions in a way that they think the interviewer would
agree.
The advantages of Focus groups include:
• The ability to efficiently obtain varying opinions and perspectives in a short period of time;
• Also, respondents can benefit from hearing the ideas provided by others in the group and
building on these thoughts.
Disadvantages of Focus groups include that they:
• Require a skilled facilitator;
• It can be time consuming to analyze responses across multiple respondents and draw
conclusions as this often involves transcribing audio recordings and coding transcript or
interview notes to identify themes in the data.
• Finally, a common difficulty is scheduling a time and place to meet with many respondents at
once.
The advantages of Participant observation/ Field notes include:
• The opportunity to view program operations in action;
• Participant observation provides direct information about behavior of individuals and groups
that may contradict how individuals report and perceive their own behavior;
• Because the data collection occurs in a natural setting, there is generally little prep work that
needs to occur prior to conducting this form of data collection. Observation also provides
unbiased confirmation of participant behavior, unlike self-reported sources which are inherently
biased because you are asking participants to report on their own actions.
Important disadvantages of Participant observation/ Field notes include:
• It generally can only be conducted by experienced and well-trained observers;
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• It is always possible that the individual observer’s selective perception may influence
information collected;
• If the observers are not familiar enough with the setting, they may misinterpret certain
behaviors observed. For example, they may observe teenage youth play-fighting with their
friends and interpret their behavior as threatening to one another.
Some advantages of Document Review include:
• The information is generally easy to access;
• It can provide documentation of a program’s history and development;
• Because documents may record occurrences over a long period of time, they can provide an
opportunity to study historical trends, too.
Disadvantages of Document Review include:
• The reviewer is dependent upon the quality of the records, which may be incomplete or not
available;
• Any analyses conducted would be limited to the data previously collected, so if the evaluator
wanted additional information on a topic or area, another form of data collection would need to
be used.
When identifying an appropriate data collection method for your evaluation, it is important to
consider using more than one approach, resources permitting. A mixed methods approach,
whereby a combination of qualitative and quantitative data methods are used, may yield more in-
depth answers to your research questions. As we described earlier, each data collection method
has its advantages and disadvantages and uncovers different aspects of the program. Using
multiple methods provides an opportunity to triangulate your data – in other words, validate your
findings through cross verification from two or more sources – and offers a more thorough
assessment of your program.
In addition to considering the advantages and disadvantages associated with the various types of
data collection methods, there are other issues to consider in selecting the right data collection
method or methods for your evaluation.
Discuss the key issues which influence the selection of data collection methods for monitoring
and evaluation. (25 marks)
MAY 2019 Q3
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Research Ethics–Just as ethics in general refers to rules of right and wrong, there are ethics in
conducting research. Research ethics refers to respecting the rights of human subjects, including
their right to privacy, confidentiality, and respectful treatment. The foundation of research ethics
is based on trust– study participants trust that the individuals collecting data are being honest
with them about the purpose of and use for the data they are collecting; study participants also
trust that researchers will keep their responses confidential; and public trust that the results
reported by the program and evaluators are sound.
Institutional Review Board (IRB)-- Many different associations, government agencies, and
universities have specific codes, rules, and policies relating to research ethics. The body that
oversees and monitors these processes is known as an institutional review board (IRB). An IRB
is a committee that has been formally designated to approve, monitor, and review research
involving human subjects. It is important for you to be aware of any IRBs associated with your
organization and/or your funders and what requirements they may have for approving and
monitoring your evaluation activities. CNCS encourages grantees to submit their study research
design and data collection methods to an IRB for review and approval.
Data Use Agreements-- Data Use Agreements are contractual documents used for the transfer
of non-public data that is subject to some restriction on its use. This is important to keep in mind
if you intend to use administrative data for your evaluation. When obtaining confidential data,
many associations, government agencies, or universities require the individuals who will have
access to the data to sign an agreement prior to its transfer. These agreements outline the terms
and conditions of the transfer and address important issues such as limitations on use of the data,
obligations to safeguard the data, liability for harm arising from the use of the data, publication,
and privacy rights that are associated with transfers of confidential or protected data.
Reliability-- is the ability to produce consistent results and indicates whether a study is likely to
produce the same results if conducted again. While evaluation studies can be challenging to
reproduce, there are many methods available to determine and improve the reliability of
evaluations. For example, the reliability of a survey instrument can be explored by asking the
same group of respondents the same or similar questions at two different times under similar
conditions and see if they provide the same answers.
Validity-- The concept of validity is related, yet different from reliability. While reliability is
about being able to reproduce the same results, validity is about coming as close to accurately
measuring something as possible. For example, if you want to assess a child’s math skills, the
math test you administer to them must be validated such that it is measuring the child’s actual
math ability and not something else, such as their test taking skills.
Sampling and generalizability– It is not always possible to include all potential program
participants, otherwise known as a “population,” in an evaluation. In these situations, studies
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often use statistical sampling to select a subset of individuals to participate in an evaluation who
are representative of the larger population. Whether the findings of an evaluation are
generalizable to the larger population is directly related to the representativeness of the sample
used for the data collection. If done well, the results for the sample will reflect the results you
would have gotten by surveying the entire group. Therefore, sample selection is extremely
important to the usefulness of study findings. CNCS does NOT recommend using sampling for
an evaluation if a grantee‘s sampling process will not result in a sample that is representative of
the population they are studying. It is important to note that statistical sampling is a complicated
process involving a number of considerations, and, therefore, it often requires the assistance of a
professional evaluator.
Statistical Power– An important consideration in determining the correct sample size is

statistical power. Statistical power is one of several important considerations in determining the
proper sample size for an evaluation. Statistical power helps determine how big a sample size is
necessary to be able to detect a true effect of the program. In general (although it is not always
the case), a larger sample size will provide more “power” to be able to detect a program’s effect
on its beneficiaries. However, it is usually not preferable to have a very large sample because of
concerns about costs in terms of time, effort and other resources. So an evaluation generally
wants to select a sample that is large enough to provide the necessary amount of power, while
also meeting other considerations for completing the evaluation. A statistical power analysis is
typically computed before conducting an evaluation to identify the optimal sample size that
would be necessary to ensure the analysis is powerful enough to identify effects and also keeps
the sample size as small as possible.
And lastly, covariates– Covariates are additional variables (other than the program outcomes
being measured) that may affect evaluation findings. They are other factors that affect the
relationship between the two main variables being studied (such as the program/intervention’s
effect on program outcomes). Covariates generally should be included in statistical analysis to
eliminate the possibility that outcomes are due to other factors besides the program. A simple
example is a study looking at the effect of a training program on math scores. In this case, it is
reasonable to assume that there is going to be a lot of variation in the math ability of individuals
enrolled in the training program– some individuals may have had more prior instruction in math
than other individuals. If the evaluation does not control for these differences that existed prior to
the program start, then it may be difficult to conclude if there is an actual effect of the training on
people’s math scores.
Conclusion
Before providing some examples of data sources and data collection methods for different
evaluation designs, we first review and summarize the various data commonly available for an
evaluation. Both process and outcome evaluations may draw on either existing data or new data
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to meet their evaluation needs, or both. Existing data include internal program records as well as
external datasets. New data collection include surveys, assessments, interviews, focus groups,
and observations/field notes. Because a process evaluation often seeks to explore questions about
fidelity of implementation and program processes, this type of evaluation typically draws on
several data sources capturing both qualitative and quantitative information. An outcome
evaluation, on the other hand, asks about program outcomes and program effectiveness. For this
type of evaluation, quantitative data collection methods are generally required.
EXTRAS ( EXAMPLE)
This table presents an example data collection process for the fictional homelessness prevention
program for low-income families and we’ve identified that this is for a process evaluation of the
program. The program is designed to prevent first-time homelessness in the county through a
number of different activities. The main research question for the process evaluation concerns
the series of workshops delivered by the program. Is the program’s service activity – educational
workshops - being implemented as designed?
Potential indicators for assessing fidelity to the program model include the duration of the
workshops, and participant attendance rates which could be collected through member logs or
records. For example, after each workshop, AmeriCorps members may be responsible for
recording how long the workshop lasted, how many individuals attended the workshop, and what
topics were covered during the session.
The evaluator can compile the data from all member’s logs to assess whether the workshops are
being implemented as designed and are consistent across members with regard to duration,
attendance rate, and topics covered. Another potential indicator for assessing whether the
workshops were implemented as designed are AmeriCorps members’ delivery of the program
curriculum.
This table presents an example data collection process for the fictional homelessness prevention
program for low-income families and we’ve identified that this is for a process evaluation of the
program. The program is designed to prevent first-time homelessness in the county through a
number of different activities. The main research question for the process evaluation concerns
the series of workshops delivered by the program. Is the program’s service activity – educational
workshops - being implemented as designed?
Potential indicators for assessing fidelity to the program model include the duration of the
workshops, and participant attendance rates which could be collected through member logs or
records. For example, after each workshop, AmeriCorps members may be responsible for
recording how long the workshop lasted, how many individuals attended the workshop, and what
topics were covered during the session.
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The evaluator can compile the data from all member’s logs to assess whether the workshops are
being implemented as designed and are consistent across members with regard to duration,
attendance rate, and topics covered. Another potential indicator for assessing whether the
workshops were implemented as designed are AmeriCorps members’ delivery of the program
curriculum.
The evaluator may choose to use observations of the workshops on a quarterly basis to gather
data on members’ delivery of the curriculum. For example, the evaluator could develop an
observation guide that lists the interactions, processes, or behaviors to be observed with space to
record open-ended narrative data. The evaluator may focus on documenting interactions between
the AmeriCorps members who are leading the workshops and the workshop participants, and on
the AmeriCorps members’ knowledge, skills, and behaviors. The evaluator will use the data to
assess whether members are delivering the curriculum as intended and whether there is
consistency across members in their delivery approach. For this exercise, we ask that you
identify appropriate data collection methods for an impact evaluation of the same fictional
homelessness prevention program for low-income families.
The research question asks what impact the homelessness prevention program has on
beneficiaries’ ability to secure and maintain a stable housing status relative to a comparison
group. The outcome of interest is the housing stability of low-income families at risk of
homelessness.
Looking at the third column, what data can be collected to answer the research question and
how?
[For facilitator: One way to collect this low income families’ housing stability is through
surveys. Another possibility is to identify any existing data that may address the research
question.]
Moving to the fourth column, from whom would we collect this information?
For an impact evaluation, the information must be collected not only on program beneficiaries
but also on an identified comparison group. Who might serve as a potential comparison group?
[For facilitator: In this example, the comparison group may be low-income families facing an
imminent housing crisis who are receiving job assistance services through another program.
Alternatively, programs may also look within their own program for a comparison group. For
example, an impact evaluation may compare beneficiaries receiving core as well as supplemental
services against participants receiving only core services.]
In the last column, we want to know when the data should be collected and by whom. What is a
reasonable data collection timeline for this evaluation?
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[For facilitator: Once the intervention and comparison groups have been identified, data will
need to be collected at two time points. In this example, data will be collected both before the
homelessness prevention program begins and a year after the program has been implemented for
both the intervention and comparison groups. The evaluator may administer the survey or data
may be collected by program staff, depending on the resources or particular arrangements made
between the evaluator and the program.]
In the table above, we present one solution to answering the research question. You or your
group may have identified a similar or different approach.
For this example, we can collect the appropriate information through surveys. The information,
furthermore, must be collected not only on program beneficiaries but also on an identified
comparison group for an impact evaluation. In this example, the comparison group pertains to
low-income families facing an imminent housing crisis who are receiving job assistance services
through another program. Alternatively, programs may also look within their own program for a
comparison group. For example, an impact evaluation may compare beneficiaries receiving core
as well as supplemental services against participants receiving only core services.
Once the intervention and comparison groups have been identified, the evaluator will collect the
data at two time points. In this example, data will be collected both before the homelessness
prevention program begins and a year after the program has been implemented for both the
intervention and comparison groups.
There are a few points that are important to remember when identifying the appropriate data
collection methods for your evaluation:
The data collection method(s) that is most appropriate for your evaluation is one that most aligns
with your evaluation’s purpose, research questions, type of evaluation design and available
resources. Also, keep in mind requirements. CNCS has different evaluation requirements for
large and small recompeting grantees.
There are two general types of data collection methods – quantitative and qualitative – that can
be used in any evaluation. Quantitative methods systematically document the existence or
absence of program outcomes (such as knowledge, skills, behavior, condition or other
occurrences), often by using surveys or assessments. These methods aim to yield unbiased
results that can be generalized to a larger population. Qualitative methods, on the other hand,
explore in detail the behavior of people and organizations and use observation, in-depth
interviews, and focus groups and enrich quantitative findings. They help to understand the 'how
and why' including explaining whether the program is likely to be the cause of any measured
change. In cases where outcomes are not achieved, qualitative data can help understand whether
this is a case of program failure or implementation failure.
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There are different types of data collection methods that can be used in any evaluation. Each has
its advantages and disadvantages. Therefore, no one approach is always best, and a carefully
selected mixture is likely to provide the most useful information.
Lastly, process and outcome evaluations focus on different types of research questions and as a
consequence, often demand different types of data collection methods. Because process
evaluations tend to ask questions about implementation and fidelity to a program model,
qualitative and quantitative data are typically necessary. Outcome evaluations, on the other hand,
ask about changes and effects on beneficiaries and generally require quantitative data collection
to answer.
You have been asked to do a formative evaluation of a sustainable forestry management program
being undertaken in 4 wards of Gazankulu district. This program targeted the 10-65 years age
group.
(a) What kind of data will you collect and how will you collect it? (10 marks)
(b) Discuss the usefulness of your data collection strategy in generating useful, adequate and
relevant evaluative data (10 marks)
(c) Indicate how you would sample this population and justify your sampling strategy (5
marks)
ATTEMPT
(a) Most program evaluations will collect both quantitative data (numbers) and qualitative data
(text) in a mixed methods design to produce a more complete understanding of a program –
which is called triangulation. A combination of qualitative and quantitative data can improve a
program evaluation by ensuring that the limitations of one type of data are balanced by the
strengths of another.
Quantitative data
Document review involves the use of content analysis and other techniques to analyze and
summarize printed material and existing information. Researchers often supplement other forms
of data collection with the gathering and analyzing of existing documents produced in the course
of everyday program activities. Announcements, policy statements, annual reports from the
Forestry Commission of Zimbabwe and regional and international climate change bodies are all
useful in developing a greater understanding of the program. The purpose will be to compare and
contrast global forestry trends with local trends.
Qualitative data
Focus Groups are another common qualitative data collection method. Focus groups involve
collecting information through a guided small-group discussion. Focus groups are often used to
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collect information on topics that benefit from a collective discussion in order to understand the
circumstances, behavior or opinions of focus group participants. There will be focus groups for
children (10-15 years), youths (16-35 years), medium aged (36-59 years) and the elderly (60+
years). The purpose is to obtain views of the participants across the population.
(b) A mixed methods design combines both qualitative and quantitative data so as to produce a
more complete understanding of a program – which is called triangulation. A combination of
qualitative and quantitative data can improve a program evaluation by ensuring that the
limitations of one type of data are balanced by the strengths of another. Helps to explain findings
or how causal processes work. Mixing data sets can give a better understanding of the problem
and yield more complete evidence – the investigator gains both depth and breadth. However, the
research design can be very complex. Takes much more time and resources to plan and
implement this type of research.
(c) Stratified sampling will be used where the population is first divided into subgroups (or
strata) who all share similar characteristics. The sampling strategy will be to divide the
population according to age groups. There will be focus groups for children (10-15 years),
youths (16-35 years), medium aged (36-59 years) and the elderly (60+ years). The purpose is to
obtain views of the participants across the population. The different views will help to produce a
more complete understanding of the population.
1.4 OBSERVATION
With illustrative examples, discuss the importance of observational techniques in data collection.
In your discussion, highlight the procedures that should be used to assure the accuracy of the
observation
DEC 2014 Q1
ATTEMPT
Observation is a technique is used in the social sciences as a method for collecting data about
people, processes, and cultures. Observation, particularly participant observation, has been the
hallmark of much of the research conducted in anthropological and sociological studies and is a
typical methodological approach of ethnography. It is also a tool used regularly to collect data by
teacher researchers in their classrooms, by social workers in community settings, and by
psychologists recording human behaviour
Observation is the systematic description of the events, behaviours, and artefacts of a social
setting. Observation, as the name implies, is a way of collecting data through observing.
Observation data collection method is classified as a participatory study, because the researcher
has to immerse herself in the setting where her respondents are, while taking notes and/or
recording
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Observation as a data collection method can be structured or unstructured. In structured or
systematic observation, data collection is conducted using specific variables and according to a
pre-defined schedule. Unstructured observation, on the other hand, is conducted in an open and
free manner in a sense that there would be no pre-determined variables or objectives.
 Direct access to research phenomena hence its reliable than relying on reports e.g a
researcher can do field visits
 Helps the researcher to develop questions that make sense in the native language or are
culturally relevant.
 Observation is used in both quantitative and qualitative studies. For example, in a

chemical titration experiment, the researcher may observe the level of product that is
dispensed into a calibrated test tube or beaker (quantitative).
 High levels of flexibility in terms of application and generating a permanent record of

phenomena to be referred to later.
 Observations may be used to triangulate data, that is, to verify the findings derived from
one source of data with those from another source or another method of collecting data.
For example, you may use observation to verify what you learned from participants in
interviews.
 Observations further help you learn what is important to the participants. They help you
determine how much time is spent on various activities, verify nonverbal expression of
feelings, and determine who interacts with whom (Schmuck, 1997).
 They provide an opportunity for you to record in writing what you have learned by taking
field notes that can be used at a later time to recall what was observed in the research
setting.
 Through observations, you may learn about activities that participants may have
difficulty talking about in interviews, because the topics may be considered impolite or
insensitive for participants to discuss (Marshall & Rossman, 1995).
 Observations may enable you (the researcher) to access those aspects of a social setting
that may not be visible to the general public – those backstage activities that the public
does not generally see.
 They give you the opportunity to provide rich, detailed descriptions of the social setting
in your field notes and to view unscheduled events, improve interpretation, and develop
new questions to be asked of informants (DeMunck & Sobo, 1998)
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 Observation is important as it collects actual data on actual behaviour rather than self-
reported behaviour or perceptions. It is real time rather than retrospective
 Observation eliminates discrepancy common in survey between what people do and what
they report.
 Eliminates the problem of memory, having to recall in a survey
 It is important as it achieves more uniform interpretation by applying concepts of the

study in the same way between participants.
Procedures that should be used to assure the accuracy of the observation
 Another consideration and potential limitation of a study using observations is researcher

bias. As Ratner (2002) pointed out, you need to acknowledge your own biases and put
aside those biases as much as possible to be able to view the data neutrally and make
accurate interpretations.
 be unobtrusive in dress and actions;
 become familiar with the setting before beginning to collect data;
 keep the observations short at first to keep from becoming overwhelmed;
 be honest, but not too technical or detailed, in explaining to participants what he/she is
doing
 pay attention, shifting from a "wide" to a "narrow" angle perspective, focusing on a

single person, activity, interaction, then returning to a view of the overall situation;
 look for key words in conversations to trigger later recollection of the conversation
content;
 concentrate on the first and last remarks of a conversation, as these are most easily
remembered;
 During breaks in the action, mentally replay remarks and scenes one has observed.
 Further, notice who speaks to whom, where the pauses are in the conversation, the
 degree to which participants touch each other, and how close participants stand to each
other
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 Also note their stances in relation to each other; for example, are they facing each other
when they engage in conversation or are they at an angle or side by side? Such aspects
differ from one culture to another
 You will also want to take notice of what happens in the social setting that you did not
expect, as well as what did not happen that you expected to see (Merriam, 1998). Use as
much detail as you can. It is better to have too much data than not enough data
 Photographs are an additional aid to observations that may help you later to recall
specific details of the social setting.
 DeWALT and DeWALT (2002) make these suggestions:
 Actively observe, attending to details one wants to record later.
 Look at the interactions occurring in the setting, including who talks to whom, whose
opinions are respected, how decisions are made. Also observe where participants stand or
sit, particularly those with power versus those with less power or men versus women.
 Counting persons or incidents of observed activity is useful in helping one recollect the
situation, especially when viewing complex events or events in which there are many
participants.
 Listen carefully to conversations, trying to remember as many verbatim conversations,

nonverbal expressions, and gestures as possible. To assist in seeing events with "new
eyes," turn detailed jottings into extensive field notes, including spatial maps and
interaction maps. Look carefully to seek out new insights.
 Keep a running observation record.
 WOLCOTT (2001) adds to the discussion of how to conduct observations. He suggests

that, to move around gracefully within the culture, one should:
 practice reciprocity in whatever terms are appropriate for that culture;
 be tolerant of ambiguity; this includes being adaptable and flexible;
 have personal determination and faith in oneself to help alleviate culture shock
 Fully informed consent of research participant(s) is one of the basic ethical

considerations to be adhered to by researchers.
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 At the same time, the behaviour of sample group members may change with negative
implications on the level of research validity if they are notified about the presence of the
observer.
Examine in depth some of the biases encountered when undertaking structured participant
observation as a data collection method in evaluative research.
JAN 2016 Q5
ATTEMPT
Participants will sometimes second-guess what the researcher is after, or change their answers or
behaviours in different ways, depending on the experiment or environment. This is called
participant bias, or response bias, and it can have a huge impact on research findings.
Participant bias stems from the respondents or participants responding to the questions based
on what he or she thinks is the right answer or what is socially acceptable rather than what he or
she really feels. Another aspect that may introduce participant bias is if the participants are
opinionated about the sponsor of the interview, which could lead them to agree either to
everything or nothing proposed to them.
Social desirability: bias or social acceptability bias. Many participants respond inaccurately just
so that they could be liked or think that they would be better accepted, especially in cases of
sensitive questions or questions on personal or controversial topics.
Habituation bias: occurs when participants provide the same answers in response to similarly-
worded questions.
Sponsor bias: Such a bias can occur if a participant is opinionated about the sponsor of the
research or gets influenced by the sponsor’s reputation or mission statement.
DeMunck and Sobo (1998) suggest:
 You may not always be interested in what happens behind the scenes.
 You may find interpretation of what you observe to be hindered, a. when key informants
only admit you into situations to observe that are already familiar to you, b. when key
informants are similar to you, c. when key informants are marginal participants in the
culture, or d. when key informants are community leaders
 Limitations of using observation to collect data may need to be addressed when you focus
on specific aspects of culture to the exclusion of other aspects, for example, when you are
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only interested in the political/religious influences of the culture (Johnson & Sackett,
1998).
 Another limitation is that males and females may have access to different information,
based on the access that they have to various groups of participants, settings, and bodies
of knowledge in certain cultures (DeWalt & DeWalt, 2002).
 The degree to which you are accepted in the target community is determined, in part, by
how well you are perceived by community members. This acceptance is based on gender,
age, class, ethnicity, and even appearance, Acceptance is based on whether group
members trust you, feel comfortable with you, and feel that involvement with the
research will be safe for the community
 Other limitations and considerations for using observations include determining to what
extent you are willing to become involved in the lives of the participant (DeWalt,
DeWalt, & Wayland, 1998). For example, if you are studying a sensitive, personal aspect
of people’s lives, you may need to develop a closer relationship to gain their trust to
facilitate the participants’ divulging such information.
 It is challenging to work undercover. For example, the researcher will have only to
observe and not record in front of others because he will not want to blow his cover. He
relies heavily on his memory which can be faulty at times
 Sometimes the researcher becomes too involved in the intricacies of that group. There is
a higher chance of losing his objectivity because his reporting will be selective and
dependent on his memory
 The emotional participation of the researcher can result in bias interpretation. He will be
influenced to some degree and a time might come when he would start supporting them
unconditionally because their views and behaviour will ultimately become his. This will
result in a personal viewpoint of the scenario and not an objective or scientific report
 In the participant observation method, the researcher’s experience becomes intense

because of his proximity to the group members but the range becomes limited
 The researcher misses many vital points because of his familiarity
 Proximity with the group will involve him in group factionalism, and he will have to take
sides. He then loses his objectivity as an impartial observer with whom everyone is ready
to cooperate.
Critically analyse the use observation as data collection technique in monitoring and evaluation.
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MAY 2019 Q6
ATTEMPT
This is a data collection method by which information on a phenomenon is gathered through

observation. The nature of the observation could be accomplished either as a complete observer,
an observer as a participant, a participant as an observer or as a complete participant. This
method is a key base of formulating a hypothesis.
The observation method is described as a method to observe and describe the behaviour of a
subject. As the name suggests, it is a way of collecting relevant information and data by
observing. It is also referred to as a participatory study because the researcher has to establish a
link with the respondent and for this has to immerse himself in the same setting as theirs. Only
then can he use the observation method to record and take notes.
Observation method is used in cases where you want to avoid an error that can be a result of bias
during evaluation and interpretation processes. It is a way to obtain objective data by watching a
participant and recording it for analysis at a later stage
Pros
 Easy to administer.
 There subsists a greater accuracy with results.
 It is a universally accepted practice.
 It diffuses the situation of an unwillingness of respondents to administer a report.
 It is appropriate for certain situations.
 Provides direct access to research phenomena
 By observing first-hand, the researcher can collect, check and record accurate data
 Greater flexibility in terms of application
 Generate a permanent record of phenomena and the researcher or others can refer with it
later
 The organization method is one of the simplest methods of data collection. It does not
require too much technical knowledge
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 The observation method is one of the best ways to formulate a hypothesis. The researcher
can observe and come to know about the activities, perceptions, likes and dislikes to form
a theory on his subject
 Observation method is one of the most common methods used in all sciences and is very
easy to follow and accept
 In some instances observation is the only available tool to collect essential data and
information
 The observation method does not require the willingness of the participant to record. The
researcher can observe from a distance and record his findings
Cons
 Some phenomena aren’t open to observation.
 It cannot be relied upon.
 Bias may arise.
 It is expensive to administer- Where it’s not local or the location is far away
 Its validity cannot be predicted accurately.
 Faces a severe disadvantage because it takes a longer time frame compared to other data
collection methods
 There is a chance of higher observer bias in the observation method
 Several personal behaviours are not open for observation and this proves a limitation in
case of observation method
 There is a higher chance of the observer influencing the behaviour of a sample group
elements
 Uncertainties of the event cannot determine the actual time when the event will take
place, and this is why every occurrence that is open to observation cannot be observed
 Many of the incidents are abstract like love, affection and the researcher can’t gain an
exact and correct account of those
 The social phenomena generalization made by observation are not considered reliable as
it cannot be used for lab experiments
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 In some cases, it is seen that two persons observing the same phenomena come at
different results and this can lead to faulty perceptions
 Observation method is considered an expensive affair as it requires hard effort, plenty of

time and high cost
What are the best Data Collection Tools for Observation?
Observation involves the active acquisition of information from a primary source. Observation
can also involve the perception and recording of data via the use of scientific instruments. The
best tools for Observation are:
Checklists - state specific criteria, allow users to gather information and make judgments about
what they should know in relation to the outcomes. They offer systematic ways of collecting data
about specific behaviours, knowledge, and skills.
Direct observation - This is an observational study method of collecting evaluative information.

The evaluator watches the subject in his or her usual environment without altering that
environment.
1.5 INTERVIEW
Discuss the use of interviews as a method of data collection (25 marks)
MAY 2019 Q2
ATTEMPT
Interview is one of the popular methods of research data collection. The term interview can be
dissected into two terms as, ‘inter’ and ‘view’. The essence of interview is that one mind tries to
read the other. The interviewer tries to assess the interviewed in terms of the aspects studied or
issues analysed.
Purpose and Importance of Interview
The main purpose of interview as a tool of data collection is to gather data extensively and
intensively. Pauline. V Young pointed out that the objectives of the interview may be exchange
of ideas and experiences, eliciting of information pertaining to a very wide range of data in
which the interviewee may wish to rehearse his past, define his present and canvass his future
possibilities. Thus, in brief, the objectives of interviewee are twofold:
Interview is one of the popular methods of research data collection. The term interview can be
dissected into two terms as, ‘inter’ and ‘view’. The essence of interview is that one mind tries to
[Type text] Page 43

read the other. The interviewer tries to assess the interviewed in terms of the aspects studied or
issues analyzed.
 To exchange ideas and experience and
 To elicit information.
 The importance of interview may be known through these points,
 It is the method best suited for the assessment of personal qualities.
 It has definite values for diagnosis of emotional problems and for therapeutic treatments.
 It is one of the major bases upon which monitoring procedures are carried out.
 It provides information to supplement other methods of collecting data.
 It may be used, in addition to observation, to verify information obtained through

correspondence methods.
 They are useful to obtain detailed information about personal feelings, perceptions and
opinions.
 They allow more detailed questions to be asked.
 They usually achieve a high response rate.
 Respondents' own words are recorded.
Types of Interviews used in Research
There are different types of interviews used in the research data collection. An interview is either
structured or unstructured, depending upon whether a formal questionnaire has been formulated
and the questions asked in a prearranged order or not. An interview is also either direct or
indirect as a result of whether the purposes of the questions asked are plainly stated or
intentionally disguised. Cross-classifying these two characteristics provides four different types
of interviews. That is, an interview may be: (1) structured and direct, (2) unstructured and direct,
(3) structured and indirect, or (4) unstructured and indirect. Types (1) and (2) are basically
objective types; (3) and (4) are subjective types.
Structured-Direct Interview: The usual type of interview conducted during a consumer survey
to obtain descriptive information is one using a formal questionnaire consisting of non-disguised
questions, a questionnaire designed to “get the facts”. If the marketing search manager of a
television set manufacturer wants to find out how many and what kinds of people prefer various
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styles of television cabinets, for example, he may have a set of questions drawn up that asks for
these facts directly. Assuming that personal interviewing is being used, each interviewer will be
instructed to ask the questions in the order given on the questionnaire and to ask only those
questions. The resulting interviews will be structured-direct in nature.
Unstructured-Direct Interview: In the unstructured-direct method of interviewing, the

interviewer is given only general instructions on the type of information desired. He is left to ask
the necessary direct questions to obtain this information, using the warding and the order that
seems most appropriate in the context of each interview. Unstructured-direct interviews are often
used in exploratory studies. Many research projects that use a formal questionnaire for the final
interviews go through an exploratory phase in which respondents are contacted and unstructured
interviews are held. These interviews are useful in obtaining a clearer understanding of the
problem and determining what areas should be investigated. Excellent tool for needs assessment
Structured-indirect interview: In the case of structured indirect interview the questions are pre-
decided and arranged in a structured way. However the purpose of the study is not revealed.
Unstructured-indirect interview: In the case of unstructured indirect interview the questions

aren’t pre-decided and neither the purpose of the study made known explicitly.
There are other types of interviews, like focus-group interview, depth interview, etc. All these
are dealt here.
Focus-Group Interviews: Perhaps the best-known and most widely used type of indirect
interview is the one conducted with a focus group. A focus-group interview is one in which a
group of people jointly participate in an unstructured-indirect interview. The group, usually
consisting of 8 to 12 people, is generally selected purposively to include persons who have a
common background or similar buying or use experience that relates to the problem to be
researched. The interviewer, moderator, as he or she is more often called, attempts to focus the
discussion on the problem areas in a relaxed, no directed manner. The objective is to foster
involvement and interaction among the group members during the interview will lead to
spontaneous discussion and the disclosure of attitudes, opinions, information on present or
prospective buying and use behaviour.
The Personal Interview: As the name implies, the personal interview consists of an interviewer
asking questions of one or more respondents in a face-to-face situation. The interviewer’s role is
to get in touch with the respondent(s), ask the desired questions, and to record the answers
obtained. The recording of the information obtained may be done either during or after the
interview. In either case, it is a part of the interviewer’s responsibility to ensure that the content
of the answers is clear and unambiguous and that it has been recorde5d correctly.
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You have been asked to develop a short interview to evaluate reactions on the quality of a
workshop based on this module on a training workshop or conference you have recently
attended. Using relevant examples identify and discuss the guidelines that should be followed
when developing interview questions. (25 marks)
AUG 2014 SUPP Q2
ATTEMPT
Interviewing is a popular way of gathering qualitative research data because it is perceived as

“talking,” and talking is natural. Interviews do not presuppose any statistical knowledge, and
persons to interview, called respondents, might be close at hand and willing. On the other hand,
Flinders (1997) offers several limitations to interviews: The person interviewed may not be able
to say what they think, may not have an opinion, or may not be able to state their opinion in a
clear way; individuals available for interviews may not have the desired information; and
respondents may be unwilling to discuss what they know. In addition, interviewing requires high
level questioning skills and an active interpretation.
 Create an interview guide. The guide should include questions, question intent and
answer-based paths to take.
 Pose open, rather than closed questions.
 Sequence interview questions from broad to narrow.
 Avoid the inclusion of possible responses in questions.
 Pose one question at a time.
 Avoid posing multi-part questions.
 Decide whom to interview. Spradley (1979) suggests a person with a history of the
situation, who is currently in the situation, and who will allow adequate time to interview
them. E.g the participants in a workshop will provide good evaluative data
 Begin by explaining the interview’s purpose, for example, I’m interested in X, and I’d
like to know your opinion on the workshop we had
 Choose when to stop a particular interview, as well as how many interviews are enough.
For an individual interview, Wolcott (1995) suggests stopping when the data desired is
elicited.
 Decide which questions to ask. Spend time on question formation, and even write them
down beforehand.
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 Skilled interviewer who is able to control the interview and get quality information
Describe the characteristics of a bad evaluative interview (25 marks)
JAN 2016 SUPP Q2
ATTEMPT
 Fail to create an interview guide. The guide should include questions, question intent and
answer-based paths to take.
 Pose closed, rather than open questions.
 Fail to sequence interview questions from broad to narrow.
 Inclusion of possible responses in questions.
 Pose more than one question at a time.
 Posing multi-part (double barrelled) questions.
 Poorly choosing interviwees. Spradley (1979) suggests a person with a history of the
situation, who is currently in the situation, and who will allow adequate time to interview
them. e.g the participants in a workshop will provide good evaluative data
 Interviewer fails to clarify or explain the objectives or purpose of the interview. The
interviewer should begin by explaining the interview’s purpose, for example, I’m
interested in X, and I’d like to know your opinion on the workshop we had
 Poor time management .Choose when to stop a particular interview, as well as how many
interviews are enough. For an individual interview, Wolcott (1995) suggests stopping
when the data desired is elicited.
 Poorly structured questions. Decide which questions to ask. Spend time on question
formation, and even write them down beforehand.
 Poor interviewer fails to control the interview. Skilled interviewer who is able to control
the interview and get quality information
1.6 QUANTITATIVE AND QUALITATIVE DATA

There are two approaches to collecting data quantitative and qualitative: Distinguish between
these two approaches (25 marks)
AUG 2014 SUPP Q5/DEC 2014 Q1
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ATTEMPT
Quantitative data collection approach makes use of information that can be quantified. If it can
be counted or measured, and given a numerical value, it’s quantitative data. Quantitative data can
tell you “how many,” “how much,” or “how often”—for example, how many people attended
last week’s webinar? How much revenue did the company make in 2019? How often does a
certain customer group use online banking? To analyse and make sense of quantitative data,
you’ll conduct statistical analysis.
Unlike quantitative data, qualitative data cannot be measured or counted. It’s descriptive,
expressed in terms of language rather than numerical values.
Researchers will often turn to qualitative data to answer “Why?” or “How?” Qualitative data also
refers to the words or labels used to describe certain characteristics or traits, information which
can be best described in words or diagrams and pictures
The main differences between quantitative and qualitative data lie in what they tell us, how they
are collected, and how they are analysed.
QUANTITATIVE APPROACH QUALITATIVE APPROACH
More structured –requires that data be Less structured –open ended questions
collected exactly in the same way
Harder to develop Easy to develop
Attempts to provide precise measures Can provide rich detailed information that
can be widely applied and linked to other
data
It is easy to analyse Challenging to analyse and labour intensive

to collect
Used when you want to do statistical Use it when you want anecdotes or in-depth
analysis: statistical power information
Used when you know exactly what you want Uses a wide perspective of what you want to
to measure measure, very open to new emerging themes
Used when you want to cover a large group Used when you do not need to quantify,
sample size is small
Quantitative data is countable or measurable, Qualitative data is descriptive, relating to
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relating to numbers text/words
Quantitative data tells us how many, how Qualitative data can help us to understand the
much, or how often (e.g. “20 people signed “why” or “how” behind certain behaviours,
up to our email newsletter last week”) or it can simply describe a certain attribute—
Explains the motive of a behaviour
Quantitative data is fixed and universal, e.g. Qualitative data is subjective and
if something weighs 20 kilograms, that can dynamic, e.g. two people may have very
be considered an objective fact. different qualitative accounts of how they
experience a particular event.
Quantitative data is gathered by measuring Qualitative data is collected by interviewing,

and counting. FGDs and observing.
Quantitative data is analysed using statistical qualitative data is analysed by grouping it in

analysis terms of meaningful categories or themes
Can used surveys, experiments, observations FDGs, Interviews, document reviews e.t.c
and interviews
Types of quantitative data
Quantitative data is either discrete or continuous:
 Discrete quantitative data takes on fixed numerical values and cannot be broken down
further. An example of discrete data is when you count something, such as the number of
people in a room. If you count 32 people, this is fixed and finite.
 Continuous quantitative data can be placed on a continuum and infinitely broken down
into smaller units. It can take any value; for example, a piece of string can be 20.4cm in
length, or the room temperature can be 30.8 degrees.
Types of qualitative data
Qualitative data may be classified as nominal or ordinal:
 Nominal data is used to label or categorize certain variables without giving them any
type of quantitative value. For example, if you were collecting data about your target
audience, you might want to know where they live. Are they based in Matebeleland,
Manicaland. Each of these geographical classifications count as nominal data. Another
example could be the use of labels like “blue,” “brown,” and “green” to describe eye
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colour.
 Ordinal data is when the categories used to classify your qualitative data fall into a
natural order or hierarchy. For example, if you wanted to explore customer satisfaction,
you might ask each customer to select whether their experience with your product was
“poor,” “satisfactory,” “good,” or “outstanding.” It’s clear that “outstanding” is better
than “poor,” but there’s no way of measuring or quantifying the “distance” between the
two categories.
Nominal and ordinal data tends to come up within the context of conducting questionnaires and
surveys. However, qualitative data is not just limited to labels and categories; it also includes
unstructured data such as what people say in an interview, what they write in a product review,
or what they post on social media.
One of the key differences between quantitative and qualitative data collection approaches
is in how they are used to collect or generate it.
Quantitative data is generated by measuring or counting certain entities, or by performing

calculations. Some common quantitative data collection methods include:
 Surveys and questionnaires: This is an especially useful method for gathering large
quantities of data. If you wanted to gather quantitative data on beneficiary satisfaction
about an intervention, you might send out a survey asking them to rate various aspects of
the intervention on a scale of 1-10.
 Assessments or tests.
 Analytics tools: Data analysts and data scientists use specialist tools to gather
quantitative data from various sources. For example, Google Analytics gathers data in
real-time, allowing you to see, at a glance, all the most important metrics for your
website—such as traffic, number of page views, and average session length.
 Environmental sensors: A sensor is a device which detects changes in the surrounding

environment and sends this information to another electronic device, usually a computer.
This information is converted into numbers, providing a continuous stream of
quantitative data.
 Manipulation of pre-existing quantitative data: Researchers and analysts will also

generate new quantitative data by performing statistical analyses or calculations on
existing data. For example, if you have a spread sheet containing data on the number of
sales and expenditures in USD, you could generate new quantitative data by calculating
the overall profit margin.
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Qualitative data is gathered through interviews, surveys, and observations:
 Interviews are a great way to learn how people feel about any given topic—be it their
opinions on a new product or their experience using a particular service. Conducting
interviews will eventually provide you with interview transcripts which can then be
analysed.
 Surveys and questionnaires are also used to gather qualitative data. If you wanted to
collect demographic data about your target audience, you might ask them to complete a
survey where they either select their answers from a number of different options, or write
their responses as freeform text.
 Observations: You don’t necessarily have to actively engage with people in order to
gather qualitative data. Analysts will also look at “naturally occurring” qualitative data,
such as the feedback left in product reviews or what people say in their social media
posts.
Quantitative vs. qualitative data: How are they analysed?
Another major difference between quantitative and qualitative data lies in how they are analysed.
Quantitative data is suitable for statistical analysis and mathematical calculations, while
qualitative data is usually analysed by grouping it into meaningful categories or themes.
Quantitative data analysis
How you analyse your quantitative data depends on the kind of data you’ve gathered and the
insights you want to uncover. Statistical analysis can be used to identify trends in the data, to
establish if there’s any kind of relationship between a set of variables (e.g. does social media
spend correlate with sales), to calculate probability in order to accurately predict future
outcomes, to understand how the data is distributed—and much, much more.
Some of the most popular methods used by data analysts include:
 Regression analysis
 Monte Carlo simulation
 Factor analysis
 Cohort analysis
 Cluster analysis
 Time series analysis
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Qualitative data analysis
With qualitative data analysis, the focus is on making sense of unstructured data (such as large
bodies of text). Given that qualitative data cannot be measured objectively, it is open to
subjective interpretation and therefore requires a different approach to analysis.
The main method of analysis used with qualitative data is a technique known as thematic
analysis. Essentially, the data is coded in order to identify recurring keywords or topics, and
then, based on these codes, grouped into meaningful themes.
Another type of analysis is sentiment analysis, which seeks to classify and interpret the emotions
conveyed within textual data. This allows businesses to gauge how customers feel about various
aspects of the brand, product, or service, and how common these sentiments are across the entire
customer base.
Traditionally, qualitative data analysis has had something of a bad reputation for being extremely
time-consuming. However, nowadays the process can be largely automated, and there are plenty
of tools and software out there to help you make sense of your qualitative data.
Advantages and disadvantages of the quantitative approach
A big advantage of quantitative data is that it’s relatively quick and easy to collect, meaning you
can work with large samples. At the same time, quantitative data is objective; it’s less susceptible
to bias than qualitative data, which makes it easier to draw reliable and generalizable
conclusions.
The main disadvantage of quantitative data is that it can lack depth and context. The numbers
don’t always tell you the full story; for example, you might see that you lost 70% of your project
participants in one week, but without further investigation, you won’t 4know why.
Advantages and disadvantages of the qualitative approach
Where quantitative data falls short, qualitative data shines. The biggest advantage of qualitative
data is that it offers rich, in-depth insights and allows you to explore the context surrounding a
given topic. Through qualitative data, you can really gauge how people feel and why they take
certain actions—crucial if you’re running any kind of organization and want to understand how
your target audience operates.
However, qualitative data can be harder and more time-consuming to collect, so you may find
yourself working with smaller samples. Because of its subjective nature, qualitative data is also
open to interpretation, so it’s important to be aware of bias when conducting qualitative
analysis.
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1.7 TRIANGULATION
Discuss the importance of triangulation in monitoring and evaluation. (25 marks)
DEC 2014 Q4
ATTEMPT
In research field indicates that one approach or technique is not adequate in providing
information rich in material to solve problem under investigation.
This posed a gap in which most research work was rendered useless or irrelevant in reaching
decision making process in institutions, business organizations and various sectors.
Triangulation was first employed by quantitative researchers and adopted by Qualitative research
later on.
Quantitative researchers such as Paul Lazarsfeld practiced mixed methods (Jahoda, Lazarsfeld,
& Zeisl, 1976) now known as triangulation.
Definition of triangulation
• Denzin (1978) defines triangulation as ‘the combination of methodologies in the study of

the same phenomenon’.
• Triangulation refers to the data collection and validation method in which two or more
sources of data are consulted in order for the most accurate conclusion to be reached.
(Given 2008).
• Data triangulation involves using different sources of information in order to increase the
validity of a study. In Extension, these sources are likely to be stakeholders in a program
participants, other researchers, program staff, other community members, and so on. In
the case of an afterschool program, for example, the research process would start by
identifying the stakeholder groups such as youth in the program, their parents, school
teachers, and school administrators
• Gary Thomas (2013) states that triangulation is a term borrowed from surveying and
geometry, where it refers to the use of fixed reference points organized in triangles.
Types of triangulation by Norman Denzin (1978)
 Data triangulation
 Methodological triangulation
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 Investigator triangulation and
 Theory triangulation
 Design frame triangulation (Gary Thomas 2013)
Data triangulation
• It refers to the usage of data from at least two different sources.
• It can be a combination of either or all of the following: documents and archival

information, research interviews, field studies and/or physical artifacts.(Brian White
2003)
Methodological triangulation
• It utilizes different methodologies in the research process in order to ensure the validity
and accuracy of the gathered information.
• the two methodologies at the disposal of the researcher are namely qualitative and
quantitative.(Gary Thomas 2013)
• Methodological triangulation involves the use of multiple qualitative and/or quantitative

methods to study the program. For example, results from surveys, focus groups, and
interviews could be compared to see if similar results are being found. If the conclusions
from each of the methods are the same, then validity is established
Investigator triangulation
• It signifies the employment of multiple observers (i.e. researchers) in the research process
from the collection of data, to the analysis and interpretation of data in order to receive
alternate perspective.
• It is worth noting that the utilization of investigator triangulation does not necessarily
mean that all researchers who are working on the research occupy equal prominence in
the process (Denzin 1978).
• Investigator triangulation involves using several different investigators in the analysis

process. Typically, this manifests as an evaluation team consisting of colleagues within a
field of study wherein each investigator examines the program with the same qualitative
method (interview, observation, case study, or focus groups). The findings from each
evaluator would then be compared to develop a broader and deeper understanding of how
the different investigators view the issue. If the findings from the different evaluators
arrive at the same conclusion, then our confidence in the findings would be heightened.
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Theory triangulation
• Denotes the use of combined theoretical paradigms to observe the issue in an organized
manner for easy (and with the combination, more comprehensive) understanding.
• Esterby-Smith , et al (2002:146), Thorpe and Lowe say that ‘Theoretical triangulation

involves borrowing models from one discipline and using them to explain situations in
another discipline.’
• Theory triangulation involves the use of multiple perspectives to interpret a single set of
data. Unlike investigator triangulation, this method typically entails using professionals
outside of a particular field of study. One popular approach is to bring together people
from different disciplines; however, individuals within disciplines may be used as long as
they are in different status positions. In theory, it is believed that individuals from
different disciplines or positions bring different perspectives. Therefore if each evaluator
from the different disciplines interprets the information in the same way, then validity is
established
Environmental triangulation
 This type of triangulation involves the use of different locations, settings, and other
key factors related to the environment in which the study took place, such as the time,
day, or season. The key is identifying which environmental factors, if any, might
influence the information that is received during the study. These environmental
factors are changed to see if the findings are the same across settings. If the findings
remain the same under varying environmental conditions, then validity has been
established.
Importance of triangulation
Sarantakos (1998) Triangulation is employed for a number of reasons:
• It uses the strength of each method to overcome the deficiencies of the other.
• It brings validity, increased methodological reliability and the rate of certainty in the
research findings.
• It plays an influential significant role in decision making process.
• Helps the researchers to choose relevant data collection methods, minimizes uncertainty
reducing bias, minimizing personal effects on the research findings.
• Collaborative evidence i.e conclusive evidence, strong evidence, inconclusive evidence

and weak evidence
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• Triangulation confirms and validates the quality results using quantitative studies.
• By using multiple sources and methods inadequacies in one approach or process can be
minimized.
• More insights can be obtained by using multiple methods.
• Inconsistencies can be recognized and removed.
• Increases and strengthens the credibility and validity of the data and leads to stronger
research design
Carvalho and White (1997) propose four reasons for undertaking triangulation:
 Enriching: The outputs of different informal and formal instruments add value to each
other by explaining different aspects of an issue
 Refuting: Where one set of options disproves a hypothesis generated by another set of
options.
 Confirming: Where one set of options confirms a hypothesis generated by another set
of options
Explaining: Where one set of options sheds light on unexpected findings derived from another
set of options.
However, triangulation also has its limitations;
• The research design can be very complex.
• Takes much more time and resources to plan and implement this type of research.
• It may be difficult to plan and implement one method by drawing on the findings of another.
1.8 SOCIAL MAPPING

Critically analyse the importance of social mapping in monitoring and evaluation. Use relevant
examples to cement your arguments (25 marks)
DEC 2014 Q5
ATTEMPT
When beginning to work in a new community or wanting to explore an existing community, it is

important to understand its assets, and strengths, resources, and needs. In addition we need to
understand how people living in the community are being impacted.
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Mapping is an exercise that is used to gather information about a range of issues or areas of
inquiry from access to resources, to mobility or quality of life issues, to community census. With
this participatory approach, community members are asked to draw out their community, village
or settlement and to identify important pieces of' information (relative to the areas of inquiry). In
social mapping, the primary concern is not drawing the community accurately or to scale, but
rather with gathering useful information that informs whatever situation you are studying or
wanting to learn from in the community.'
Social mapping is a visual method of showing the relative location of households and the
distribution of different people (such as male, female, adult, child, landed, landless, literate, and
illiterate) together with the social structure, groups and organisations of an area.
The most popular method in participatory data collection social mapping explores where and
how people live and the available social infrastructure: roads, drainage systems, schools,
drinking-water facilities, etc. A social map is made by local people and is not drawn to scale,
illustrating what the local people believe to be relevant and important for them. This method is
an authentic way of determining what the social reality looks like for locals through social
stratification, demographics, settlement patterns, social infrastructure, etc.
Steps in social mapping
The process for social mapping should include the following steps:
1. Consultation with the local community to identify an appropriate time and place for the
exercise. Ensure that the time and location is suitable (good size, convenient, comfortable for all
members of society) for as many people as possible.
2. Explain the purpose of the exercise to the participants. Ask them to begin by drawing the main
physical features of their locality. Let them use whatever materials they choose (local or other
materials) as creatively as possible. This may mean using twigs and rocks or yarn on canvas on
the ground, or it may mean markers, depending on the community.
3. Watch the process carefully and take detailed notes. Don’t rush things!
4. Keep track of who is actively involved – to which section of society do they belong? Who is
being left out? Take steps to involve them.
5. You are just a facilitator — intervene only when necessary, like when participants are going
through a rough patch.
6. It is important not to disrupt this process – wait for a good time in the process if you must add
or clarify anything. Ask them: “What does this symbol represent?” etc.
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7. When they have finished mapping, ask some people to identify their houses in the map.
8. Identify and number the household details you need according to the goal of the exercise, like
caste composition, school age children, etc.
9. Take a look at the map and clarify: ask specific questions on parts that are unclear to you.
Copy the map made by participants onto a large sheet of paper immediately, with all details.
10. Triangulate the information generated with others in the locality. Importance of social
mapping in monitoring and evaluation
Importance of social mapping in monitoring and evaluation
 Exploring community structure, organisations and processes, this will help in the
evaluation of the project from project identification to project end.
 Identifying who lives where in a community, so as to identify the participants well.
 Identifying different social groups using locally defined criteria and discussing social
inequities.
 Identifying the location of different social groups in relation to key resources, including
biodiversity and ecosystem services, and the community structures and processes that
may be relevant in influencing the distribution of benefits.
 Identifying which community members may be most vulnerable to various hazards and
risks, to note what kind of intervention is needed.
Identifying the location, access and use of key resources
1.9 SECONDARY DATA

Explain the worthiness of secondary data in monitoring and evaluation (25 marks)
DEC 2014 Q6
ATTEMPT
Secondary data is the data that have been already collected by and readily available from other
sources. Such data are cheaper and more quickly obtainable than the primary data and also may
be available when primary data cannot be obtained at all.
Worthiness of secondary data
1. It is economical. It saves efforts and expenses.
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2. It is time saving and easily accessible
3. It helps to make primary data collection more specific since with the help of secondary
data, we are able to make out what are the gaps and deficiencies and what additional
information needs to be collected.
4. It helps to improve the understanding of the problem.
5. It provides a basis for comparison for the data that is collected by the researcher.
6. Generating new insights -When re-evaluating data, especially through another person's
lens or point of view, new things are uncovered. There might be a thing that wasn't
discovered in the past by the primary data collector, which secondary data collection may
reveal.
7. Longitudinal and Comparative Studies - Secondary data makes it easy to carry out
longitudinal studies without having to wait for a couple of years to draw conclusions. For
example, you may want to compare the country's population according to census 5 years
ago, and now. Rather than waiting for 5 years, the comparison can easily be made by
collecting the census 5 years ago and now.
8. Secondary data is easy to use as the background work such as case studies and literature
reviews, etc. is already done on it by the user of the data.
9. Researchers don’t have to spend time sorting the data because it is usually available in
sorted form.
10. Having the hold over useful secondary data also allows you to make contact with useful
people which can help you in your research.
11. Secondary data is valid and reliable as it has already been used and evaluated by other
researchers.
12. Secondary data ensure the correctness of data collected from primary research and helps
in adding new values and attributes.
13. The outcomes of primary research methods can be compared with secondary data and
help in research design.
14. It is very useful in establishing an understanding of the research problem.
15. It can be used to formulate and test the hypothesis of the research.
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1.10 MIXED RESEARCH METHODS
Assess the rationale for using a mixed research methods in evaluative research (25 marks)
JAN 2016 SUPP Q4
ATTEMPT
Mixed methods research is a methodology for conducting research that involves collecting,
analysing and integrating quantitative (e.g., experiments, surveys) and qualitative (e.g., focus
groups, interviews) research. This approach to research is used when this integration provides a
better understanding of the research problem than either of each alone.
Quantitative data includes close-ended information such as that found to measure attitudes (e.g.,
rating scales), behaviours (e.g., observation checklists), and performance instruments. The
analysis of this type of data consists of statistically analysing scores collected on instruments
(e.g., questionnaires) or checklists to answer research questions or to test hypotheses.
Qualitative data consists of open-ended information that the researcher usually gathers through
interviews, focus groups and observations. The analysis of the qualitative data (words, text or
behaviours) typically follows the path of aggregating it into categories of information and
presenting the diversity of ideas gathered during data collection.
By mixing both quantitative and qualitative research and data, the researcher gains in breadth
and depth of understanding and corroboration, while offsetting the weaknesses inherent to using
each approach by itself. One of the most advantageous characteristics of conducting mixed
methods research is the possibility of triangulation, i.e., the use of several means (methods, data
sources and researchers) to examine the same phenomenon. Triangulation allows one to identify
aspects of a phenomenon more accurately by approaching it from different vantage points using
different methods and techniques. Successful triangulation requires careful analysis of the type
of information provided by each method, including its strengths and weaknesses.
When to use it?
Back in the 1970s and 1980s, qualitative and quantitative research were seen as two opposing
paradigms, each with their own supporters, most of whom would have denied the possibility of
mixing them – this period is often referred to as "the paradigm wars".
During the last two decades, however, researchers in both camps have begun to see the
importance of each other's data.
While researchers have been mixing quantitative and qualitative techniques for years, what is
new is the deliberate attempt to provide theoretical background and formal design(s).
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Undoubtedly, what has fuelled the interest has been the increasing complexity of research
problems, and the desire for an understanding that is both deep and broad (afforded by
qualitative and quantitative data respectively).
The increasing importance of the link between research and policy has also played its part, as has
the greater availability of data provided by the internet, which enables multiple data sets to be
integrated in different ways, providing a richer and more informed picture of social phenomena.
As early as 1989, Greene et al. (cited by Johnson and Onwuegbuzie, 2004) suggested five main
rationales for conducting mixed methods research:
Triangulation – the confirmation of results by different methods.
Complementarity – results from one method are used to enhance, elaborate or clarify results
from another method.
Initiation – where new insights are obtained which will stimulate new research questions.
Development – results from one method shape another method.
Expansion – expanding the breadth and the range of the research by using different methods for
different lines of enquiry.
Mixed methods research is particularly suited:
 When one wants to validate or corroborate the results obtained from other methods.
 When one needs to use one method to inform another method. For instance, when little is
known about a topic and it is necessary to first learn about what variables to study
through qualitative research, and then study those variables with a large sample of
individuals using quantitative research.
 When one wants to continuously look at a research question from different angles, and
clarify unexpected findings and/or potential contradictions.
 When one wants to elaborate, clarify, or build on findings from other methods. For
instance, if a causal relationship has being established through experimental research but
one wants to understand and explain the causal processes involved through qualitative
research.
 When one wants to develop a theory about a phenomenon of interest and then test it.
Usually, qualitative research is more suitable to build theory, while quantitative research
provides a better way of testing theories.
When one wants to generalize findings from qualitative research.
Advantages
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 The use of mixed method research provides a number of advantages, namely:
 Provides strengths that offset the weaknesses of both quantitative and qualitative
research. For instance, quantitative research is weak in understanding the context or
setting in which people behave, something that qualitative research makes up for. On the
other hand, qualitative research is seen as deficient because of the potential for biased
interpretations made by the researcher and the difficulty in generalizing findings to a
large group. Quantitative research does not have these weaknesses. Thus, by using both
types of research, the strengths of each approach can make up for the weaknesses of the
other.
 Provides a more complete and comprehensive understanding of the research problem
than either quantitative or qualitative approaches alone.
 Provides an approach for developing better, more context specific instruments. For
instance, by using qualitative research it is possible to gather information about a certain
topic or construct in order to develop an instrument with greater construct validity, i.e.,
that measures the construct that it intends to measure.
 Helps to explain findings or how causal processes work.
 Mixing data sets can give a better understanding of the problem and yield more complete
evidence – the investigator gains both depth and breadth.
 Amalgamating statistics with thematic approaches can help avoid over-reliance on the
former and can also capture "soft-core views and experiences" (Jogulu and Pansiri, 2011)
and the subjective factors necessary to elucidate complex social situations.
 It can also strengthen findings – a process known as triangulation.
 On a more philosophical level, mixed methods research combines paradigms, allowing
investigation from both the inductive and deductive perspectives, and consequently
enabling researchers to combine theory generation and hypothesis testing within a single
study (Jogulu and Pansiri, 2011).
Having to use mixed methods also helps researchers to develop their skills, which is particularly
important for those at an early stage of their career.
Disadvantages and limitations
 Mixed method research has some disadvantages and limitations, namely:

 The research design can be very complex.
 Takes much more time and resources to plan and implement this type of research.
 It may be difficult to plan and implement one method by drawing on the findings of
another.
 It may be unclear how to resolve discrepancies that arise in the interpretation of the
findings.
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1.11 PARTICIPATORY DATA COLLECTION
Explain the value of participatory data collection methods in monitoring and evaluation
(25 marks)
MAY 2019 Q1
ATTEMPT
Participatory data are data that are collected when interacting with people. Examples of
participatory data are:
• transect walks – walks that researchers take around a community observing the people,
surroundings, and resources, and which can help identify issues that might need further
investigation
• social mapping – can be used to present information on village layout, infrastructure,

demography, ethnolinguistic groups, health patterns, wealth and other community issues
• community meetings – information gathered during meetings of people in the community, such
as comments, questions asked, etc.
Value of participation data methods
There are many benefits to transect walks:
They are one of the most participatory methods (according to Robert Chambers, 1997). They
change the perspective of the researcher, who acts only as an observant. Researchers or
development experts often have very limited knowledge of local practices and customs. The
walk ideally results in a mutual interchange of knowledge between researchers and locals. The
very visual focus of the exercise inspires a deep understanding of different concerns. Finding a
common language during the walk is one of the most valuable aspect of this method. Transect
walks can involve everyone, including residents with limited English and business owners
lacking the time to attend community meetings. Experts require a successful participatory
technique to be simple, practical and flexible as well as under shared control. Transect walks
fulfil all of these requirements.
Despite its simplicity, the method holds some problems. As in so many participatory processes, it
might be challenging to find representatives from all parts of a community. Depending on the
time of the day, the season and events like school holidays, the transect walk only shows a very
specific time and situation. Based on my own experience, I learned that ethical issues like how to
guarantee the safety of participants can arise. Community members want external experts to have
a good impression of their neighbourhood and might hide some of its uglier sides. There can be a
bias in interviews of neighbours. Another method-related criticism is the lack of exchange
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between different groups. It would be interesting to let several groups do the same transect walk
and compare their experience.
Additionally, a transect walk requires time, willingness and motivation. Therefore, it is not
adequate for the solution of pressing problems. At the same time, the challenge is to sustain the
initial dynamics and maybe even euphoria generated by the transect walk. How can continuity be
assured? Here, it is important to use community mapping before and after the walk and draw
conclusions from the maps. The results must be made accessible to the community. However,
there is still not enough experience on how to properly interpret these maps and other data from
the transect walk and translate them into action. Considering participatory urban design, transect
walks don’t necessarily help in finding design suggestions. Walking observations with a local
guide or “shadowing” the locals might be more illuminative, but not very participatory.
Transect walks are often used in the methods of “Total Sanitation”, which involves a walk to
make people aware of the hygienic consequences of their sanitation habits. If you follow the link
in the caption, you can see a great series of pictures detailing the process. However, there are
some ethical concerns, because this method can shame people a lot. At the same time, it is a
great way of getting the perspectives of women and children as well.
Overall, transect walks are a simple, flexible and very participatory method than can be used as
part of a bundle of measures in community planning. They are often a good entry point when
starting a project in a neighbourhood, keeping in mind that they only show a limited snapshot of
local realities. The walks must be complemented by other methods like problem-prioritising and
translation into action plans. The cooperation of the local municipality must be secured in order
to implement results from the transect walk and subsequent mapping. guide or “shadowing” the
locals might be more illuminative, but not very participatory.
Importance of social mapping in monitoring and evaluation
 Exploring community structure, organisations and processes, this will help in the
evaluation of the project from project identification to project end.
 Identifying who lives where in a community, so as to identify the participants well.
 Identifying different social groups using locally defined criteria and discussing social
inequities.
 Identifying the location of different social groups in relation to key resources, including
biodiversity and ecosystem services, and the community structures and processes that
may be relevant in influencing the distribution of benefits.
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 Identifying which community members may be most vulnerable to various hazards and
risks, to note what kind of intervention is needed.
 Identifying the location, access and use of key resources.
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2.0 GENERAL PRINCIPLES
2.1 TERMS
Define each of the following terms as they are used in development evaluation;
(a) Relevance (5 marks)
(b) Effectiveness (5 marks)
(c) Efficiency (5 marks)
(d) Impact (5 marks)
(e) Sustainability (5 marks)
MAY/JUNE 2016 Q6
ATTEMPT
(a)Relevance
• The extent to which the intervention objectives and design respond to beneficiaries’, global,
country, and partner/institution needs, policies, and priorities, and continue to do so if
circumstances change.
To what extent are the objectives of the program still valid?
Are the activities and outputs of the program consistent with the overall goal and the attainment
of its objectives?
Are the activities and outputs of the program consistent with the intended impacts and effects?
(b)Effectiveness (Is the intervention achieving its objectives?)
• Effectiveness is a measure of the extent to which a development programme or project

achieves the specific objectives it set. If, for example, we set out to improve the qualifications of
all the high school teachers in a particular area, did we succeed?
The extent to which the intervention achieved, or is expected to achieve, its objectives, and its
results, including any differential results across groups.
Effectiveness should analyse progress towards objectives along the results chain /causal
pathway.
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• In contrast to impact, which looks at higher-order effects and broader changes to which an
intervention may be contributing, effectiveness is concerned with more closely attributable
results
• “Results” and “differential results” to open the door to asking important questions about the
distribution of results across different groups, and to look beyond intended objectives.
• This is in line with the policy priority to leave no-one behind.
• It encourages evaluators to examine equity issues and results for groups that have been
marginalized, while not assuming that equity is an objective of the intervention.
(c)Efficiency (how well are resources being used?)
Efficiency tells you that the input into the work is appropriate in terms of the output. This could
be input in terms of money, time, staff, equipment and so on. When you run a project and are
concerned about its replicability or about going to scale, then it is very important to get the
efficiency element right.
The extent to which the intervention delivers, or is likely to deliver, results in an economic and
timely way.
• “Economic” is the conversion of inputs (funds, expertise, natural resources, time, etc.) into
outputs, outcomes and impacts, in the most cost-effective way possible, as compared to feasible
alternatives in the context.
• “Timely” delivery is within the intended timeframe, or a timeframe reasonably adjusted to the
demands of the evolving context.
• This may include assessing operational efficiency (how well the intervention was managed).
• It is important to know the cost of program outcomes - whether the benefits justify costs
• Assessing for efficiency is a very technical exercise.
TWO TYPES OF EFFICIENCY ANALYSIS
Cost Benefit Analysis
• In this analysis, the outcomes of programs are expressed in monetary terms e.g compare
amount spent on anti-smoking program versus amount spent on healthcare for patients with
smoking related disorders, days lost from work etc.
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• Cost effectiveness analysis
• Outcomes are expressed in substantive terms
• E.g. this evaluation would calculate the amount spent in converting each individual from a
smoker into a non-smoker
(d) Impact (what difference does the intervention make?)
• Impact tells you whether or not what you did made a difference to the problem situation you
were trying to address. In other words, was your strategy useful?
• The extent to which the intervention has generated or is expected to generate significant
positive or negative, intended or unintended, higher-level effects.
• Impact addresses the ultimate significance and potentially transformative effects of the
intervention.
• It seeks to identify social, environmental and economic effects of the intervention that are
longer term or broader in scope than those already captured under the effectiveness criterion.
• Did ensuring that teachers were better qualified improve the pass rate in the final year of
school? Before you decide to get bigger, or to replicate the project elsewhere, you need to be
sure that what you are doing makes sense in terms of the impact you want to achieve.
(e)Sustainability (will the benefits last?)
• Sustainability is concerned with measuring whether the benefits of an activity are likely to
continue after donor funding has been withdrawn.
• The extent to which the net benefits of the intervention continue, or are likely to continue.
• “The continuation of benefits from a development intervention after major development

assistance has been completed.
• The probability of continued long-term benefits. The resilience to risk of the net benefit flows
over time.”
• Includes an examination of the financial, economic, social, environmental, and institutional

capacities of the systems needed to sustain net benefits over time.
– Design robustness
– Financial considerations
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– Socio-cultural compatibility
– Environmental considerations
– Community Ownership and participation
– Exit strategy and capacity development
– Technological considerations
Examine the importance of ‘program theory’ and ‘logic model’ in monitoring and evaluation (25
marks)
DEC 2013 Q6/ OCT/ NOV 2015 Q6
ATTEMPT
PROGRAM THEORY
Program theory is the way that you articulate the “why” and the “what” of your program: the
reason for its existence, and the steps it will go through to accomplish its goal. It is a description
of how the desired changes will occur, based on previous research and experience.
A programme theory explains how an intervention (a project, a programme, a policy, a strategy)

is understood to contribute to a chain of results that produce the intended or actual impacts.
It can include positive impacts (which are beneficial) and negative impacts (which are
detrimental). It can also show the other factors which contribute to producing impacts, such as
context and other projects and programmes.
Sample outline for a program theory

IF a certain set of resources (such as staff, equipment, materials) are available, THEN the
program can provide a certain set of activities or services to participants.
IF participants receive these services, THEN they experience specific changes in their
knowledge, attitudes, or skills.
IF individuals change their knowledge, attitudes, or skills, THEN they will change their
behavior and usual practice.
IF enough participants change their behavior and practice, THEN the program may have a
broader impact on the families or friends of participants or on the community as a whole.
Here are seven reasons why a solid program theory is worth its weight in gold:
 Creates a shared understanding of the program among stakeholders.
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 Provides an opportunity to refine and improve the program at the design stage.
 Allows you to identify potential supporting and disrupting factors: and be prepared for
them.
 Provides a time-bounded roadmap, promoting shared expectations among stakeholders.
 Provides an opportunity to pressure-test the beliefs and assumptions underlying the
program.
 Ensures the long-term goals are kept in sight while short-term goals are implemented
 Helps to identify suitable performance measures for the program
LOGIC MODEL
At its core, a logic model summarizes a program’s whys, whats, and hows on a single sheet of
paper. This powerful tool links organizational resources (inputs) to what it does (activities and
outputs), to who it desires to impact (participants and audiences), and to what it hopes to achieve
or change (outcomes).
Logic models are simple and effective tools to support a sustainable high-performance culture
within a government organization. It can be the foundational support for all planning, resource
management, communication, evaluation, and fundraising activities. Here are my top five
reasons why your organization must have a logic model.
1. It spurs success. Positive psychology research reveals that when humans mindfully focus on
the potential to achieve what we set out to achieve, we become more intentionally engaged in
what we do. This will give a clarity of intentional promises, which will lead to taking intentional
actions that will lead more likely to intentional results. The process of developing and regularly
reviewing your logic models helps leaders achieve clarity on what they desire to achieve. The
goals of social sector organizations are more than to perform a series of activities and tasks.
Instead, their missions are to meaningfully change lives and change circumstances for those they
serve. A logic model makes leaders intentional about the desired outcomes they want to achieve
as a result of their activities. Logic models clearly state what an organization is trying to
accomplish, such as improving educational opportunities, improving family functioning, or
decreasing crime in a certain community. This act of clarity of outcomes, and then expressing
what the organization does to achieve these outcomes activates an intentionality that will lead to
more intentional results. Without this tool and process, organizations run the risk of spinning
their wheels and not fully accomplishing their mission as fast as they would otherwise.
2. It saves time and money. Going after a grant can cost organizations hours of staff resources.
Winning the wrong grant can cost organizations years of wasted activities and efforts that have
nothing to do with the organization’s mission. A logic model provides a guide for current and
future program planning. If a new program or grant opportunity is presented, decision makers
can refer to the logic model and decide if this particular opportunity is aligned with the
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organization’s goals and objectives. If the answer is “no”, leaders quickly move on. If the answer
is “yes”, leaders can confidently move forward in developing the new program or writing the
grant because the opportunity will likely advance their mission.
3. It helps raise money. A thorough, simple logic model will prove invaluable to development
officers and grant writers. It clearly communicates the goal of the organization and what the
organization does. A logic model provides evidence that the organization is strategic in how it
uses its resources. The model describes the precise return on investment it strives to deliver to
funders, and the logic model itself can be used as a communication tool to educate potential
donors on all facets of the organization.
4. It’s the foundation of evaluation efforts. The logic model provides the framework for
selecting the ideal success measures for an organization. It is neither possible nor necessary to
measure all of an organization’s outputs and outcomes. Logic models help leaders avoid
guessing games about which measures are most important, and support those leaders as they
guide their organizations into the future. They provide a measure of confidence for leaders who
want to quantify their organization’s story, guiding the process for selecting success measures
and capturing data that illustrates the organization’s impact.
5. It’s a sign of high-performance. Grantmakers, donors, and co-collaborators want to invest in

and partner with organizations who have a proven track record of fiscal accountability, effective
programs, and outstanding services. Having a clear and concise model communicates to these
potential partners what your organization is about, what it is trying to accomplish, and why they
should partner with you. It demonstrates a serious commitment to your cause and it is a sign of a
strategic, cohesive operation. Just like the kind of car a salesman drives is often a reflection of
his success, the presentation of an established logic model is a sign of a serious and effective
nonprofit.
The logic model is not just an interesting picture. If they’re developed thoughtfully, they can be used
for multiple purposes, including:
Describing the program to current or potential funders.
Illustrating the important features of your program approach to other stakeholders, such as
participants, collaborating agencies, or legislators; some programs have incorporated the logic model
into program brochures and displayed them at their agency.
Training new program staff about the program theory and approach – some programs have used
the logic model as the basis of their training, so that new staff understand how the program works
and their role in promoting positive benefits for participants.
Controlling ‘program drift’ – some programs have reviewed the model periodically to ensure
that the services that they are providing are still consistent with the program’s intended purpose and
approach.
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Providing a basis for developing an evaluation design – once the logic model is developed, you
can use it to decide which participant outcomes are the most important ones to measure.
Facilitating program management – the logic model may be useful in helping programs plan
their services and identify the resources or inputs that are necessary.
How does a theory differ from a logic model?
A program theory is similar in concept to logic models, which have become increasingly popular in
human services programs over the past several years. In simple terms, a logic model is a picture of
your theory – a drawing that shows how one thing leads to the next, like a flow chart.
A logic model uses short phrases to represent things that you explain in more detail in the program
theory. Another key difference is that, while a logic model can just use an arrow to show that one
thing leads to the next, your program theory needs to lay out the evidence to show why you believe
one thing will lead to the next. A logic model is one commonly-used tool for illustrating an
underlying program theory. Most often, it is presented in the form of a flow chart that illustrates the
linkages between program components and outcomes.
Drawbacks
 It often requires data that is unattainable in contexts like Africa or statistical analysis that
NGDOs/ VOs would struggle to undertake
 Your programs may not fit perfectly in the model. There may be multiple steps to your
project or there may be several steps that are reoccurring or happen simultaneously
 It does not consider the larger community and context within which your project operates
 It is ‘one size fits all’ approach which does not always capture complexity and nuances
 It can as such lead to numbers being made up
 It over-emphasises measurable indicators and planning. In other words, these indicators
can often be forgotten about until such time as a report is required by funders.
2.2 MONITORING AND EVALUATION

Critically discuss the importance of monitoring and evaluation in development work (25 marks)
OCT/NOV 2015 5(a)/ MAY/JUNE 2016 Q1
What value does monitoring and evaluation add to program planning and management? (25
marks)
MAY/JUNE 2017 Q1
ATTEMPT
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Introduction (definitions)
Monitoring gives information on where a policy, program, or project is at any given time (and
over time) relative to respective targets and outcomes. It is descriptive in intent.
Evaluation gives evidence of why targets and outcomes are or are not being achieved. It seeks to
address issues of causality.
In juxtaposing these two definitions, it is immediately evident that they are distinct yet
complementary.
Importance/value
• M&E is a tool for learning from experience –from success and from failure, and for doing
better in future. (Mikkelsen, 2003:169)
• Monitoring and evaluation help improve performance and achieve results. More precisely, the
overall purpose of monitoring and evaluation is the measurement and assessment of performance
in order to more effectively manage the outcomes and outputs known as development results.
• Evaluations may be done to provide feedback to people who are trying to improve something
(formative evaluation), or to provide information for decision-makers who are wondering
whether to fund, terminate or purchase something (summative evaluation) (Michael Scriven)
• Judge merit or worth eg Summative evaluation, Accountability/Audits, Quality control, Cost-

benefit decisions, Deciding a programme's future (Patton)
• Improve programmes eg Formative evaluation, Identifying strengths and weaknesses, Quality

enhancement, Managing more effectively, Adopting a model locally (Patton)
• Generate knowledge eg Generalizations about effectiveness, Extrapolating principles about

what works, Building new theories and models, Informing policy (Patton)
• social betterment
• the fostering of deliberative democracy
• oversight and compliance
• accountability and transparency
• knowledge development and management
• organizational improvement
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• promotion of dialogue and cooperation among key stakeholders
• project and /or policy relevance, implementation, efficiency, effectiveness, impact, and
sustainability
• to generate lessons learned
• provides information on:
Strategy-are the right things being done right? Rational/justification, clear theory of change
Operations –are things being done right? Effectiveness in achieving expected outcomes,
efficiency in optimizing resources, client satisfaction
Are there better ways? Alternatives, best practices, lessons learned (Kusak and Rist)
• Ultimately, the purpose of any evaluation is to meet the needs of users and stakeholders,
whoever they may be.
(b) Why is monitoring and evaluation important? (12 marks)
Monitoring and evaluation (M&E) helps those involved with any type of projects to assess if
progress desired is being achieved.
M&E benefits the key actors involved in community development in the following ways:
 for project executors (i.e., a company Community Relations Team, a company/NGO

partnership, or a company foundation), M&E can improve management. By monitoring
progress against defined goals, a project manager can assess what is working and what is
not, and from there can determine what changes should be made to a project. This in turn
makes it possible to improve the way things are being done in the project organization.
 For companies, whether executing a project or supporting it through partnership or

funding, M&E can be used to demonstrate progress to internal management and to
external stakeholders.
 Internally, measurable results can justify continued funding and clarify the return on
investment of community development efforts to managers and shareholders. Externally,
the results of M&E can demonstrate commitment to and competence in community
development, and thus help a company maintain its social license to operate.
 This makes the companies to make sound decisions concerning major projects
undertaken and to know where to invest.
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 Tool for learning
 For community members and NGOs, participating in M&E is an opportunity to influence

the design and execution of community development projects. Furthermore, by
providing feedback on whether programs are achieving aims in line with community
needs and desires, M&E is a powerful accountability mechanism.
 it provides the only consolidated source of information showcasing project progress;
 it allows actors to learn from each other’s experiences, building on expertise and
knowledge;
 it often generates (written) reports that contribute to transparency and accountability, and
allows for lessons to be shared more easily;
 it reveals mistakes and offers paths for learning and improvements;
 it provides a basis for questioning and testing assumptions;
 it provides a means for agencies seeking to learn from their experiences and to
incorporate them into policy and practice;
 it provides a way to assess the crucial link between implementers and beneficiaries on
the ground and decision-makers;
 it adds to the retention and development of institutional memory;
 It provides a more robust basis for raising funds and influencing policy.
 Improves performance
 Judge merit or worth
(a) Compare and contrast the two components of monitoring and evaluation (13 marks)
DEC 2013 Q5
ATTEMPT
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Monitoring Evaluation
• Undertaken by those responsible for • Undertaken by people external to the

implementing the organisational project
strategy, programme or project
• Similar to a “snapshot”
• Normally an internal process.
• For lesson learning and accountability
• Carried out at regular ongoing
intervals • Answers the question “why”
• Answers the question “what”
Monitoring is the systematic and routine Evaluation is the periodic assessment of the
collection of information about the programs/projects activities
programs/projects activities
It is ongoing process which is done to see if It is done on a periodic basis to measure the
things/activities are going on track or not i.e. success against the objective i.e. it is an in-
it regularly tracks the program depth assessment of the program
Monitoring is to be done starting from the Evaluation is to be done after certain point of
initial stage of the projects time of the project, usually at the mid of the
project, completion of the project or while
moving from one stage to another stage of
the projects/programs
Monitoring is done usually by the internal Evaluation is done mainly done by the
members of the team external members. However, sometimes it
may be also done by internal members of the
team or by both internal and external
members in a combined way
Monitoring provides information about the Evaluation provides recommendations,

current status and thus helps to take information for long term planning and
immediate remedial actions, if necessary lessons for organizational growth and success
It focuses on input, activities and output It focuses on outcomes, impacts and overall
goal
Monitoring process includes regular Evaluation process includes intense data

meetings, interview, monthly and quarterly collection, both qualitative and quantitative
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reviews etc. Usually quantitative data.
It has multiple points of data collection Data collection is done at intervals only
It gives answer about the present scenario of It assesses the relevance, impact,
the project towards achieving planned results sustainability, effectiveness and efficiency of
considering the human resources, budget, the projects
materials, activities and outputs
Monitoring studies the present information Evaluation studies the past experience of the
and experiences of the project project performance
Monitoring checks whether the project did Evaluation checks whether what the project
what it said it would do did had the impact that it intended
Helps to improve project design and Helps to improve project design of future
functioning of current project projects
Monitoring looks at detail of activities Evaluation does not look at detail of

activities but rather looks at a bigger picture
It compares the current progress with the It looks at the achievement of the programs
planned progress along with both positive/negative,
intended/unintended effects
Information obtained from monitoring is Information obtained from evaluation is

more useful to the implementation/ useful to all the stakeholders
management team
Monitoring result is used for informed Evaluation result is used for planning of new
actions and decisions programs and interventions
Answers the question “Are we doing things Answers the question “Are we doing right
right?” thing?”
Regular report and updates about the Reports with recommendations and lessons
project/program act a deliverables here act as a deliverable here
Good or effective monitoring does not rely Good or effective evaluation relies to some
on evaluation results extent on good monitoring
There are few quality checks in monitoring There are many quality checks in evaluation
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It provides information for evaluation It provides information for proper planning
2.3 CLARIFICATORY EVALUATION / EVALUABILITY ASSESSMENT

Outline and discuss the key processes involved in clarificatory evaluation/evaluability
assessments (25 marks)
OCT/NOV 2015 Q1
Discuss the concept of clarificatory evaluation. Your answer should address the following key
points;
(a) Definition of clarificatory evaluation (5 marks)
(b) Purpose of clarificatory evaluation (10 marks)
(c) Key evaluation questions asked and methodology used (5 marks)
(d) Key outputs from the evaluation exercise (5 marks)
MAY/JUNE 2016 Q3
Discuss the importance of evaluability assessments (clarificatory evaluation) (25 marks)
MAY/JUNE 2017 Q2
(a) Definition of clarificatory evaluation (5 marks)
• Evaluability assessment (EA) was initially developed in the 1970s as a pre-evaluation activity
to ensure that programs were properly implemented and therefore ready for summative
evaluation.
• Concerned with complaints from policy makers about the lack of useful information from
evaluations on the one hand, and the difficulty of evaluating poorly conceived and ill-defined
programs on the other, EA was offered as a means to move beyond this dilemma and improve
the likelihood of delivering sound information from evaluations.
• Joseph Wholey and his colleagues at the Urban Institute (USA) are often credited with the
initial development of EA.
• Evaluability assessment is a process for clarifying program designs, exploring program reality,
and, if necessary, helping to redesign programs to ensure that they meet these four criteria.
Evaluability assessment not only shows whether a program can be meaningfully evaluated (any
program can be evaluated) but also whether evaluation is likely to contribute to improved
program performance.
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• Evaluability assessment (EA) is a process that helps to clarify program theory by exploring
program intent and program practice and, if necessary, helps to redesign programs to ensure the
preconditions of evaluation are met (Wholey, Hatry, & Newcomer, 1994)
• The EA process was developed as a means to ensure programs were ready for evaluation and
thereby save scarce evaluation resources by recommending evaluation only when programs are
ready, and then only targeting resources for essential evaluation needs
• EA is a qualitative evaluation process that ensures that plausible, meaningful and measurable
outcomes are identified, along with activities, or an action plan, to ensure those outcomes may be
met (Wholey et al., 1994).
• Evaluation is unlikely to lead to improved program performance in the following

circumstances:
• The evaluators and intended users fail to agree on the goals and performance criteria to be
used in evaluating the program
• The program goals are unrealistic given the program design, the resources committed to
the program, and the program activities currently under way.
• Relevant performance information cannot be obtained at reasonable cost.
• Policymakers and managers are unable or unwilling to change the program on the basis of
evaluation information. (Wholey, 2004)
• A primary benefit of EA, therefore, is the clarification of a program theory, or the cause-effect
linkages of program resources and activities with intended outcomes (Chen, 1990; Smith, 1989).
• In addition to promoting clarification of how a program is intended to work, the EA process has
been suggested as a program development tool.
• EA can assist in the planning of plausible, evaluable programs and the corresponding
determination of resource requirements and availability
• We call a program evaluable to the extent that the following four propositions are true:
• Program goals and priority information needs are well defined. There is a reasonable level
of agreement on program goals and performance criteria. If important side effects have been
identified, they have been incorporated into the goal framework (for example, as goals for
minimizing or controlling those side effects).
• Program goals are plausible. There is some likelihood that the goals will be achieved.
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• Relevant performance data can be obtained at reasonable cost. There are feasible measures
of key program inputs, program activities, program outputs (products and services delivered),
and program outcomes (results).
• Intended users of the evaluation results have agreed on how they will use the information,
for example, to improve program performance or communicate the value of program activities to
higher policy levels. (Wholey, 2004)
(a) Purpose of clarificatory evaluation (10 marks)
Discuss the importance of evaluability assessments (clarificatory evaluation) (25 marks)
• The purpose of the EA was to assess the extent to which
• measurable objectives exist,
• whether these objectives are shared by key stakeholders,
• whether there is a reasonable program structure
• and sufficient resources to obtain the objectives, and
• whether program managers will use findings from evaluations of the program.
• The uses and benefits include
 Performance measurement
 Program accountability
 Provide technical assistance
 Understanding program culture and context
 Addressing program complexity and evolution
 Stakeholder involvement
 Stakeholder empowerment
 Organizational learning
 Translating research to practice
 Translating practice to research
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 Evaluation capacity building
 Facilitating social change
 Facilitating evaluation use, both findings use and process use
(c) Key evaluation questions asked and methodology used (5 marks
Outline and discuss the key processes involved in clarificatory evaluation/evaluability

assessments (25 marks)
• Interviews with managers and policy makers, site visits to observe the program in operation,
and the examination of program documents were offered as methodologies for the conduct of
EA.
Data collection methods for EA include document reviews, interviews and site visits (Trevisan &
Tamara, 2015).
Document review is a formalized technique of data collection involving the examination of

existing records or documents. The program documents are reviewed by the persons conducting
the EA. Obtaining and analyzing documents is often more cost efficient and time efficient than
conducting your own research or experiments (Bowen, 2009).
Interviews with stakeholders are one-to-one conversations about a specific topic or issue. The
primary purpose of these interviews is to obtain project-relevant information and elicit
stakeholder reactions and suggestions. Stakeholders are likely to have knowledge, wisdom, and
insight that can help an agency in its decision process.
Site visits verifies and supplements the information obtained through document review and
interviews. The program is observed by visiting committee or external experts. The purpose of
site visits is to interact with staff and program clients, accessing documentation and scrutinizing
tangible evidence of program implementation.
• Outcomes from EA often noted in the literature include the clarification of program goals and
objectives, the development of a program theory that includes program logic and performance
measures, and the documentation of stakeholder awareness, understanding, and interest in the
program.
• EA is recommended as a means to eliminate ambiguities among different stakeholder interests

and interpretations and to achieve policy coherence before full policy evaluation.
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Outcomes from EA often noted in the literature include the clarification of program goals and
objectives, the development of a program theory that includes program logic and performance
measures, and the documentation of stakeholder awareness, understanding, and interest in the
program.
After an EA is conducted, one of two conclusions can be drawn:
1. The program is ready for an evaluation. The program is deemed evaluable and is ready to be
part of an evaluation. It is also likely that the EA will suggest some of the parameters for the
evaluation (e.g., criteria and performance measures.)
2. The program is not ready for an evaluation. The program is not ready for an evaluation due to
fundamental planning and implementation issues. If this is the case, the evaluator conducting the
EA should direct the program manager to areas of the program that need further development. If
a program is not ready for an evaluation, the evaluator should point out why this is so and
instruct the team on what can be done to bring it to the appropriate level. From here, program
managers can begin rethinking their programs and making plans to implement the necessary
changes.
Examine the genesis, development and purpose of clarificatory evaluations (also known as
evaluability assessments) (25 marks)
OCT/NOV 2016 Q2
ATTEMPT
EA was initially developed by Joseph Wholey (1979) and his colleagues at the Urban Institute to
improve outcome evaluations by collecting data to assess the program structure and
management’s capacity to use the findings from an outcome evaluation for positive change:
 EA was offered as a means to deal with an impasse between congress, who were
frustrated with many expensive evaluations with results that showed programs with
impact, and evaluators stymied by programs with poorly crafted goals and objectives. No
 logic model, and lack of an individual with defined responsibility for a particular
program.
 The model developed by wholey (1979) consists eight steps and is focused on the
information needs of program managers and their productive use of evaluation.
Data collection activities include document reviews, interviews, and site visits.
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 This model was the first component of an evaluation framework referred to as a
sequential purchase of information, with rapid assessments, performance monitoring, and
impact assessment as the second, third, and fourth components respectively.
Soon after EA became widely known, others saw the merit in evaluability assessment as a
strategic evaluation-oriented activity and offered their own models:
 During the 1970s and 1980s, EA evolved to become an evaluation approach in and of
itself.
 The model developed by Rutman (1980) was an extension of Wholey’s (1979) model,
focusing on the needs of program managers. Rutman (1980) also argued that a
component of a program could be assessed as ready for outcome evaluation while other
components may need more development and refinement.
 M.F. Smith (1989) offered a 10-step model that incorporated program stakeholders as key
EA users and argued that EA could be used for the expressed purposes of program
development and modification.
A decline in EA use and some frustrations with EA were evidenced in the 1980s:
 Few EAs actually recommended that an evaluation commence, instead typically finding
programmatic deficiencies and lack of readiness for outcome evaluation.
 During this time, most EAs were conducted in the federal government, pushed by Joseph
Wholey, who worked for the Department of Health, Education, and Welfare. The decline
in use was partly attributed to the fact that Wholey left the agency, and thus, he was no
longer inside the federal government advocating for EA use.
 Another reason for decline in EA use during this time is that procurements of EA often
competed with evaluation funding in general; thus, many acted to prevent resources being
used to support EA.
 A decline in federal spending during the 1980s and movement during this time to
decrease the role of the federal government were other key factors in the decline in use of
EA.
Starting in the 1990s, a resurgence in EA use was observed across programs, disciplines and
contexts. EA use continues at a brisk pace today:
 EA has evolved in theory and practice. It is no longer seen solely as a pre-evaluation

activity; but it can be used at any point in program development and implementation and
can be used as an ongoing process throughout the lifecycle of a program.
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 Its uses have grown to include facilitating social change, stakeholder empowerment,
program development, evaluation capacity building, performance measurement,
translating research to practice, and translating practice to research for more formal
evaluation and research.
 EA is now viewed as a valuable precursor to a variety of evaluation approaches, both

quantitative and qualitative.
 Regardless of the EA model used, essential elements include developing or clarifying

program theory gathering feedback on program theory, stakeholder involvement, and
using the EA.
2.4 PROCESS EVALUATION

Discuss the concept of process evaluation. Your answer should address the following key points:
(a) Definition of process evaluation (5 marks)
(b) Purpose of process evaluation (10 marks)
(c) Key evaluation questions (5 marks)
(d) Methodology commonly used (5 marks)
DEC 2013 Q2/AUG 2014 SUPP/JAN 2016 SUPP/AUG 2014 SUPP Q2/MAY/JUNE 2017 Q5
ATTEMPT
(a) Definition of process evaluation
Process Evaluation determines whether program activities have been implemented as intended
and resulted in certain outputs. You may conduct process evaluation periodically throughout the
life of your program and start by reviewing the activities and output components of the logic
model
A process evaluation examines the extent to which a program is operating as intended by

assessing on-going program operations and determining whether the target population is being
served.
• … a program needs more than a good plan of attack. Most important, the program must
implement its plan…
An important evaluation function is to evaluate the adequacy of program process (also known as
fidelity) - fidelity may be simply defined as “the adherence of actual treatment delivery to the
protocol originally developed”
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• Implementation fidelity is "the degree to which programs are implemented as intended by
the program developers"
• The concept of implementation fidelity is currently described and defined in the literature
in terms of five elements that need to be measured;
• Adherence to an intervention
• Exposure or dose
• Quality of delivery
• Participant responsiveness
• Program differentiation
This idea is sometimes also termed "integrity“.Implementation fidelity acts as a potential

moderator of the relationship between interventions and their intended outcomes. This is one of
the principal reasons why implementation fidelity needs to be measured.
• Program process evaluations may take several forms: Once off OR continuous
• May be internally or externally done
• May be process/implementation evaluation or continuous program monitoring
(b) Purpose of process evaluation
– It can stand alone as an evaluation of a program in circumstances where the only

questions at issue are about the integrity of program operations, service delivery,
and other such matters.
– A process evaluation may also constitute the major evaluation approach to a

program charged with delivering a service known or presumed effective, so that
the most significant performance issue is whether that service is being delivered
properly e.g whether prescribed medical treatment protocols for patients are being
followed.
– Serves as a complement to impact evaluation: It is not advisable to carry out

impact assessment without minimal process evaluation. Impact correlates or
should correlate with implementation
 Provides an early warning for any problems that may occur.
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 Allows programs to monitor how well their program plans and activities are
working
 Such an evaluation helps program staff members identify needed interventions

and change program components to improve service delivery
 Process evaluation ‘verifies what the program is and whether or not it is

delivered as intended to the targeted recipients.’
 It does not assess the effects of the program on the recipients.
 Focus on service utilisation and program organisation
Monitoring service utilisation – focus on the extent to which targeted population receives
intended services- Coverage – extent of participation by target population
Over-coverage – extent of participation of people not in need
Bias – greater proportions of some groups than others-Program users, eligible not benefiting and
dropouts
 Program organisation – involves comparing the plan of what the program

should be doing with what is actually happening, especially with regards to
service provision
Resources – examination of what resources have been expended on the

Program
 Monitoring Organisational Functions: Do program actual activities and

arrangements approximate the intended ones? Need to avoid implementation
failure i.e No intervention or not enough, wrong intervention delivered,
intervention varies across target population - unstandardized
(c) Key questions asked

 Is the program being implemented according to plan?
 How many persons are receiving the service?
 Are those receiving the services the intended targets?
 Are they receiving the proper amount, types and quality of services?
 Are members of the target population aware of the program?
 Are necessary program functions being performed adequately
 Is staffing sufficient in numbers and competencies?
 Is the program well organised? Do staffs work well with each other?
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 Are resources used effectively and efficiently?
 Is performance at some program sites significantly poor or better than at
others?
 Are participants satisfied with the services they receive?
(d) Methodology commonly used:

Consider the type of data you need whether quantitative or qualitative data depending on the
information being required
FGDs
Interviews
Observation
Document reviews
With reference to at least 2 case studies of process evaluation discuss process evaluation
focusing on the following topics:
OCT/NOV 2016 Q3
ATTEMPT
EVALUATION PRODUCTS (DELIVERABLES)
This section describes the key evaluation products the evaluation team will be accountable for
producing. At the minimum, these products should include: _
Evaluation inception report—An inception report should be prepared by the evaluators before
going into the full fledged data collection exercise. It should detail the evaluators’ understanding
of what is being evaluated and why, showing how each evaluation question will be answered by
way of: proposed methods, proposed sources of data and data collection procedures. The
inception report should include a proposed schedule of tasks, activities and deliverables,
designating a team member with the lead responsibility for each task or product. The inception
report provides the programme unit and the evaluators with an opportunity to verify that they
share the same understanding about the evaluation and clarify any misunderstanding at the
outset.
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• Draft evaluation report—The programme unit and key stakeholders in the evaluation should
review the draft evaluation report to ensure that the evaluation meets the required quality criteria.
• Final evaluation report.
• Evaluation brief and other knowledge products or participation in knowledge sharing

events, if relevant.
2.5 PROJECT LIFE CYCLE

Discuss the key components of a program life cycle (25 marks)
DEC 2013 Q1
ATTEMPT
Project cycle management is a term used to describe the management activities and decision-
making procedures used during the life cycle of a project
Biggs and Smith (2003) observe, the project cycle consists of a number of progressive phases
“that lead from identification of needs and objectives, through planning and implementation of
activities to address these needs and objectives, to assessment of the outcomes.”
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Buam’s project life cycle :Formula- IPANISE
Formulae: PD,PP,PI,PM,PE,PF
Project Identification
Process of finding out what needs exist in a community. At this stage the problems identified in
the development plan for which programmes have been drawn up are paid a special attention.
This means that the social demand of the affected communities will be isolated and be paid close
attention. Project identification must be necessity involve members of the communities affected
or, at least, their acknowledge representatives like Local Government Councillors and Chairmen.
But often government identifies problems for communities and designs projects aimed at solving
them without the involvement of the beneficiaries. This often results in government solving the
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wrong problems while over-looking the most pressing social demands of the beneficiary
communities. E.g Devolution.
Project Preparation
This is the stage at which concrete proposals on how to meet the identified social demands of the
communities are prepared. Available resources will be assessed. Potential resources will be
explored and the machinery for implementing the project will be identified. Similarly, the target
group, a tentative costing, time-table for activities, and partners to be involved in the project will
be identified in the proposal. Project preparation can be done in-house, but when sophisticated
machinery and complex activities are involved, outside consultants can be hired to do it. At the
Local Government level, such consultations can be technical experts from the state or federal
government.
Project Appraisal
An appraisal is a screening process which subjects all aspects of the proposed project to scrutiny.
Here the concern is with the practicability, workability, or feasibility, economy and viability of
the project. Yet again, the entire proposal can be approved without change/adjustments.
Project Negotiation
At this stage, the approved draft will be marked for sponsorship. This can take the form of
defending the budget for the proposal before a budget allocation committee, debating in the
council, for negotiating with funding agencies within and outside the country. This process
intends to pool all the necessary resources, especially funds and to obtain a legal backing for the
project before it is implemented.
Project Implementation
This constitutes the turning-point of any project. For unless properly implemented project is not
worth than a mere wishful expression. At this stage attempts will be made to translate the stated
objectives into practical realities by use of available resources. Care must be taken at this stage to
minimize delays in action and also to keep financial expenditure to a reasonable limit without
compromising the attainment of the objectives of the project. Project implementations at the
local government level according to Moris (1982:24) are likely to experience failure due to the
following reasons:
 Projects are identified and designed by outside agencies or the central government and
imposed on local communities without recognizing their own peculiarity.
 Needed resources are not committed in time or when committed are grossly mismanaged.
 Objectives of the project are vague and immeasurable in quantity terms.
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 The target group or clientele are not clearly defined or integrated into the process of
implementation.
 Projects are motivated more by political expediency than by economic or social viability.
 Human elements or resources are assigned only secondary important and emphasis is laid
on technical and abstract theoretical consideration.
 Project units and other agencies associated with the project unnecessarily conflicts.
Project Evaluation
Evaluation is a process of assessing and analysing a project with a view to identifying trouble
spot or constraints. This exercise can take place either before, during or after the project is
implemented. Pre-implementation evaluation is often referred to as appraisal, feasibility study, or
extant evaluation. The evaluation that takes place during the process of implementation is called
monitoring. But, the evaluation which takes place after the implementation, as reflected in the
Baum Cycle, is referred to as impact assessment or ex-post facto evaluation. Irrespective of
which level the evaluation is conducted, it to be done against the back of some criteria, as listed
below.
 Economic efficiency.
 Social efficiency or effectiveness.
 Equity in the distribution of resources or income.
 Impact on the target group in the form of meeting their basic needs or empowering them
to solve their own problems through their own effort.
2.6 EVALUATION THEORIES
THEORY BASED EVALUATIONS
Discuss Theory based evaluation as an approach to evaluation. Your discussion should address
the main tenets of the theory and its contribution to knowledge in evaluation (25 marks)
DEC 2013 Q3/ OCT/NOV 2015 Q3
ATTEMPT
Definitions
As defined by Rogers et al (2000) TDE is conceptually and operationally premised on ‘…an

explicit theory or model of how the program causes the intended observed outcomes and an
evaluation that is at least partly guided by this model
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A theory-based evaluation is usually based on an explicit theory of change or logic model that
explains the theory of a development intervention. The evaluation is designed to test the theory
to see if it holds true. If it does, the task of the evaluator is to produce a plausible case, with
evidence that shows what has changed at each level of the theory, and explores the linkages
between those changes.
Key elements of TDE
 They are designed to answer the question of what worked (by measuring or assessing the
changes brought about by a development intervention), but also why and how it worked
(by examining the processes that led to those changes).
 They generally examine wider contributions to change, such as the actions of other
interventions or changes in the wider socio-economic environment.
 They work with an explicit theory – a theory of change or logic model – that underpins
the development intervention being evaluated.
 They are based on two distinct parts: a conceptual part, which concentrates on developing
the theory of change or logic model and using it to guide the evaluation; and a second
part that involves collecting evidence to establish whether and/or how an intervention
produced the desired changes.
Conceptually, TDE should explicate a program theory or model
Empirically, TDE seeks to investigate how programs cause intended or observed outcomes
Key TBE Processes (Coryn et al, 2011)
1. Theory Formulation
2. Theory Guided Question Formulation
3. Theory Guided Evaluation Design, planning and execution
4. Theory Guided construct measurement
5. Causal description and causal explanation
1. Theory Driven Evaluators should formulate a plausible program theory
a. Formulate program theory from existing theory and research (e.g. social science
theory)
b. Formulate program theory from implicit theory (e.g. stakeholder theory)
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c. Formulate Program Theory from observation of the program in
operation/exploratory research (e.g emergent theory)
2. Theory Driven Evaluators should formulate and prioritise evaluation questions

around a program theory
a. formulate evaluation questions around program theory
b. Prioritise evaluation questions
3. Program Theory should be used to guide planning, design, and execution of the
evaluation under consideration of relevant contingencies
a. Design, plan and conduct evaluation around plausible program theory
b. Design, plan and conduct evaluation considering relevant contingencies e.g time, budget and
use
c. Determine whether evaluation is to be tailored (i.e only part of the program theory) or
comprehensive
4. TDE should measure constructs postulated in program theory
a. Measure process constructs postulated in program theory.
b. Measure outcome constructs postulated in program theory
c. Measure contextual constructs postulated in program theory
5. Theory- Driven Evaluation should identify breakdowns, side effects, determine

program effectiveness, explain cause-effect associations between theoretical
constructs
a. Identify breakdowns, if they exist (e.g poor implementation, unsuitable context, and theory
failure.
b. Identify anticipated and un-anticipated outcomes (both positive and negative) not postulated
by program theory
c. Describe and explain cause effect associations between theoretical constructs.
NB: High quality Theory Driven Evaluations do not have to have all of the listed core principles.
The application of the principles is context dependent although the first two or three are
compulsory
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STRENGTHS
 The perceived strength of TDE is that it explains underlying causal mechanisms of

programs.
 TDE lead to better evaluation questions, answers and programs.
 They lead to important information for replicating a program – unlikely to be produced

by other types of evaluation.
 Chen (2005) has stressed that theory approaches to evaluation are method-neutral, or
methodologically pluralistic versus dogmatic, not giving primacy to any particular
method
 They are suited for both quantitative and qualitative approaches
There is no set method for carrying out a theory-based evaluation. As with many other
evaluations, the methods used depend on the nature of the intervention. For example, if an
intervention is concerned with improving crop yields or health outcomes then it might be
appropriate to carry out a large quantitative study designed to generate statistically significant
findings. Or if an intervention is concerned with capacity development then an organisational
assessment methodology could be used
CTRITICS OF TDE
• Scriven (2001) argues that it is beyond the work of the evaluator to know and explain
how programs work … in fact the evaluator does not need to know how an aspirin stops a
head ache – he just needs to know whether the head ache stops.
• He argues ‘one does not need to know anything at all about electronics to evaluate
electronic type writers…’
• Well-articulated and validated program theories rarely exist.
• Engaging in ad-hoc theory development and testing expends valuable resources that
otherwise could be more efficiently used.
• Conflict of interest – TD Evaluators evaluate program theory that they developed or

played a major role in developing
PATTON’S (1978) UTILISATION FOCUSED EVALUATION
Discuss Patton’s (1978) Utilisation Focused Evaluation approach showing its contribution to
evaluation theory (25 marks)
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DEC 2013 Q4/ MAY/JUNE 2016 Q4
Examine the contribution of Patton’s (2007) utilisation theory to evaluation approaches. Your
discussion should begin by addressing the main tenets of the theory (25 marks)
OCT/NOV 2016 Q4
ATTEMPT
Michael Quinn Patton, PhD, developed Utilization-Focused Evaluation (UFE) on the premise
that “evaluations should be judged by their utility and actual use” (Patton, 2013). This theoretical
model should be applied when the end goal is instrumental use (i.e. discrete decision-making).
UFE focuses on intended use by primary intended users.
To engage primary intended users, the evaluator must identify stakeholders who have the most
direct, identifiable stake in the evaluation and its results, in other words, the “personal factor”
(Patton 2013). The evaluator involves intended users at every stage of the process. The ultimate
purpose of UFE is programmatic improvement driven by a psychology of use. Intended users are
more likely to use the evaluation if they feel ownership of the process and its results. Use does
not happen naturally; therefore, the evaluator must reinforce utility by engaging intended users at
each stage of the evaluation.
Utilization-Focused Evaluation (UFE), developed by Michael Quinn Patton, is an approach

based on the principle that an evaluation should be judged on its usefulness to its intended
users. Therefore evaluations should be planned and conducted in ways that enhance the likely
utilization of both the findings and of the process itself to inform decisions and improve
performance.
UFE has two essential elements. Firstly, the primary intended users of the evaluation must be
clearly identified and personally engaged at the beginning of the evaluation process to ensure
that their primary intended uses can be identified. Secondly, evaluators must ensure that these
intended uses of the evaluation by the primary intended users guide all other decisions that are
made about the evaluation process.
Rather than a focus on general and abstract users and uses, UFE is focused on real and specific
users and uses. The evaluator’s job is not to make decisions independently of the intended users,
but rather to facilitate decision making amongst the people who will use the findings of the
evaluation.
Patton argues that research on evaluation demonstrates that: “Intended users are more likely to
use evaluations if they understand and feel ownership of the evaluation process and findings [and
that] [t]hey are more likely to understand and feel ownership if they've been actively involved.
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By actively involving primary intended users, the evaluator is preparing the groundwork for
use.” (Patton, 2008, Chapter 3)
UFE can be used for different types of evaluation (formative, summative, process, impact) and it
can use different research designs and types of data
STEPS OF UTE
1. Commitment to intended use by intended users should be the driving force in an

evaluation. At every decision point—whether the decision concerns purpose, focus,
design, methods, measurement, analysis, or reporting—the evaluator asks intended users,
“How would that affect your use of this evaluation?”
2. Strategizing about use is on-going and continuous from the very beginning of the
evaluation. Use is not something one becomes interested in at the end of an evaluation.
3. The personal factor contributes significantly to use. The personal factor refers to the
research finding that the personal interests and commitments of those involved in an
evaluation undergird use.
4. Careful and thoughtful stakeholder analysis should inform identification of primary

intended users, taking into account the varied and multiple interests that surround any
program, and therefore, any evaluation.
5. Evaluations must be focused in some way; focusing on intended use by intended users is
the most useful way.
 Resource and time constraints will make it impossible for any single evaluation to
answer everyone’s questions or to give full attention to all possible issues.
 Because no evaluation can serve all potential stakeholders’ interests equally well,
stakeholders representing various constituencies should come together to
negotiate what issues and questions deserve priority.
6. Focusing on intended use requires making deliberate and thoughtful choices.
 There are three primary uses of evaluation findings: judging merit or worth
(summative evaluation), improving programs (instrumental use), and generating
knowledge (conceptual use).
7. Useful evaluations must be designed and adapted situationally. Standardized recipe

approaches will not work.
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8. Intended users’ commitment to use can be nurtured and enhanced by actively involving
them in making significant decisions about the evaluation.
 Involvement increases relevance, understanding, and ownership of the

evaluation—all of which facilitate informed and appropriate use.
9. High quality participation is the goal, not high quantity participation. The quantity of
group interaction time can be inversely related to the quality of the process.
 Evaluators conducting utilization-focused evaluations must be skilled group

facilitators.
10. High quality involvement of intended users will result in high quality, useful evaluations.
 Many researchers worry that methodological rigor may be sacrificed if non-

scientists collaborate in making methods decisions.
11. Evaluators have a rightful stake in an evaluation in that their credibility and integrity are
always at risk, thus the mandate for evaluators to be active-reactive-adaptive.
12. Evaluators committed to enhancing use have a responsibility to train users in evaluation
processes and the uses of information.
13. Use is different from reporting and dissemination
DAVID FETTERMEN’S EMPOWERMENT EVALUATION
Critically discuss David’s Fettermen’s empowerment evaluation theory. Your discussion should
focus on the key tenets (concepts) of the theory, focus on its strategies and its main criticisms.
OCT/NOV 2015 Q4/ MAY/JUNE 2016 Q5/ OCT/NOV 2016/ MAY/JUNE 2017 Q4
Discuss Fettermen’s Empowerment theory of evaluation, showing its contribution to evaluation

theory.
MAY/JUNE 2017 Q4
ATTEMPT
Definition of empowerment evaluation
An evaluation approach that aims to increase the probability of achieving program success by (1)
providing program stakeholders with tools for assessing the planning, implementation, and self-
evaluation of their program, and (2) mainstreaming evaluation as part of the planning and
management of the program/organisation. (Wandersman et al, 2005, p. 28)
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Empowerment evaluation encourages communities to monitor, evaluate and improve their
performance. It aims to foster self-determination and build capacity. It does this by supporting
people to assess their own activity.
For small social service organisations, this usually means engaging an external evaluator to
support them to build evidence and learn how to review their own activity.
Development of empowerment evaluation
Developed by David Fetterman at Stanford University in 1994 as a three step approach:
1. Developing a mission and vision
2. Taking Stock
3. Planning for the Future
David Fetterman contrasts traditional evaluation and empowerment evaluation:
Traditional evaluation Empowerment evaluation
Done externally Done internally
Expert evaluator Any external evaluator is a coach or critical

friend
Dependency Self-determination and capacity building
Independent judgement Collaborative judgement
Wandersman and others developed a 10 step approach called ‘Getting to Outcomes’
Uses of empowerment evaluation
EE has been successfully used to:
help make a children’s hospital more family-centred
evaluate a school-based reading improvement program
institutionalise evaluation as part of a higher education accreditation self-study
develop and assess a $15 million Digital Village project
foster organisational learning in a child abuse prevention collaborative
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Ten underlying principles of empowerment evaluation
1. Improvement: A key aim is to improve people, programs, organisations and communities and
to help them achieve results. This means that through empowerment techniques, the evaluator
aims to help the programme (beneficiaries and other stakeholders) achieve positive and/or
successful outcomes as decided by the relevant stakeholders.
2. Community ownership: Program stakeholders, with the assistance of evaluators, take

responsibility for designing and conducting the evaluation and putting the findings to use.
Community ownership refers to the democratic principle that the community has the right to
make decisions about actions that affect their lives. The underlying rationale is that an evaluation
will be most beneficial to a community where it enables them take command of choices which
affect them.
3. Inclusion: Participants, staff from all levels of a program or organisation, funders, and
community members are invited to participate. Inclusion, in this instance, is the invitation and
encouragement of legitimate stakeholders. participation in terms of decisions to be made.
4. Democratic participation: Active participation by all in shared decision making is valued;

processes are based on deliberation, action and authentic collaboration. Democratic participation
is based on the premise that with appropriate access to information, relevant stakeholders are
able to make rational, informed decisions about what action needs to be taken. Thus, in order for
this to be attained, deliberation and genuine collaboration are crucial activities which need to
occur during the evaluation process. Additionally, the democratic ideals of fairness, due process,
and transparency are also vital.
5. Social justice: High value placed on addressing the larger social good of practices and
programs and achieving a more equitable society. Seen as a means to help people address
inequities through capacity building. Social Justice implies a commitment to just and equitable
distribution of resources, prospects, responsibilities, and authority. Empowerment evaluators
need to recognize that societal inequalities are present in many contexts and it is their role to help
restructure these conditions and improve the lives of communities.
6. Community knowledge: Community-based knowledge, information and experience is

respected and used to make decisions, understand the local context and interpret results.
Community knowledge in empowerment evaluation relates to the recognition that information
known by relevant stakeholders is valuable and useful and should be shared because it is an
essential resource. Thus, the evaluator should develop a variety of methods to uncover, validate,
disseminate, and alter knowledge within the evaluation context.
7. Evidence-based strategies: Value placed on providing empirical justifications for action and
drawing on other evidence-based strategies that have worked. However, they need to be adapted
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to the local environment, culture and conditions. Empowerment evaluation values evidence-
based strategies. Accordingly, empirical information is viewed as an important source for
developing interventions to address community needs; although such strategies should not be
employed without considering the contextual issues within the community.
8. Capacity-building: Program staff and participants learn how to conduct their own
evaluations. All people and organisations are seen as capable of conducting evaluations when
provided with the appropriate tools and conditions. Capacity building is one of the main aims of
empowerment evaluation. The goal is to enhance stakeholders’ abilities to conduct their own
evaluations in order to improve programme development and execution. This principle enhances
the mainstreaming of evaluation and demystifies the process. Consequently, the evaluator’s
involvement will decrease over time as community’s capacities are enhanced.
9. Organisational learning: EE helps create a community of learners. Continually reflecting on

and evaluating programs and organisations makes groups or organisations more responsive to
changes and challenges. Evaluation results are used to guide improvement. Organizational
learning augments improvement if there is both a process and a structure to facilitate learning. In
order for organizational learning to effectively occur, the environment must be receptive to
transformation and be committed to engage in long-term solutions through systematic inquiry
into consequential changes in order to promote new knowledge through problem-solving
10. Accountability: Individuals and organisations are held accountable for commitments made.
Funders are held accountable concerning their expectations. A commitment is made to
resultsbased interventions and continuous improvement. Through gathering information on the
program’s processes, results-based accountability can be achieved. Thus, programme staff can be
held responsible for their plans and actions in terms of self-driven evaluations.
Five facets of empowerment evaluation
The five facets of empowerment evaluation include the following features: Training,
Illumination, Facilitation, Advocacy, and Liberation. These concepts are intended to be outcome-
based principles (Miller & Campbell, 2006) and they shall be described below.
a) Training is the first facet. It involves teaching stakeholders to conduct their own evaluations
with the intention of promoting self-reliance (Fetterman, 1996). The underlying rationale is that
doing so should explicate the evaluation process. The end-goal is to promote the use of
evaluation methodology and principles for future programme development (Fetterman, 1996).
b) Illumination refers to the idea that the processes, techniques, and the underlying philosophy of
evaluation are revealed to stakeholders since they are regarded as active scholars in
empowerment evaluations (Fetterman, 1996).
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c) Facilitation relates to the role the evaluator plays. The evaluator aims to coach, guide and
supervise stakeholders in evaluation techniques and teach them evaluation processes (Fetterman,
1996). The main motivation is to empower individuals and organizations so that they can begin
to utilize evaluation in the long run especially with respect to important programme decisions
(Fetterman, 1996).
d) Advocacy relates to the evaluator’s role to allow programme personnel to decide on the nature
and purpose of the evaluation (Fetterman, 1996). Additionally, since program personnel are
assumed to be capable of rational decision-making that they should determine their own
solutions through active participation and social transformation (Fetterman, 1996).
e) Finally, Liberation relates to the progression of stakeholder empowerment. Through the

philosophies underpinning empowerment evaluations, programme personnel should develop new
capacities and skills to allow them to redefine their future roles and objectives (Fetterman, 1996).
Thus, empowerment evaluation can be viewed as a resource for programme personnel to
improve their lives in the long-run.
Roles of the professional evaluator
Facilitator, critical friend, coach, teacher and evaluation expert
Supports the purpose of the program, wants it to succeed (ie not impartial)
Helps participants develop a rigorous and organised approach to evaluation and clarify their
theories of change
Helps establish baseline data, monitor interventions and document change over time
Ensures everyone has an opportunity to speak
Three steps in an empowerment evaluation
Step 1: Developing a mission and vision
Key phrases are developed that capture the mission and vision of the program
This is done even when an existing mission and vision statement exists
Allows new ideas and divergent views about the program or organisation to emerge
Consensus is reached on the statements which represent the values of the group
Step 2: Taking Stock

Part 1: Brainstorm list of 10 – 20 activities crucial to functioning of program. Voting process
used to prioritise the list and identify the 10 most important activities to evaluate
Part 2: Rate how well the 10 key activities are doing on a 1-10 scale; discuss ratings.
Discussion provides evidence to support ratings. Also provides baseline data on program and its
strengths and weaknesses.
Step 3: Planning for the Future
Part 1: Brainstorm realistic goals for each key program activity
Part 2: Develop strategies to help reach these goals
Part 3: Identify forms of documentation or evidence that will monitor progress towards goals
(ie surveys, checklists, minutes of meetings etc, development of website etc.)
A series of meetings and workshops are then held to plan and implement the evaluation in
more detail
Example of Planning for the future exercise: Children’s hospital project
Key activity: Training staff
Goals Strategies Evidence
• Consensus as to what Family • Formal training pilot • Attendance checklists for

Centred Care is training
• Identify critical people
• Include medical (medical staff) • Pre and post test using Likert
scale
staff • Ongoing training
• Training materials
• Grouped by discipline or
• Complete training mutidisciplinary?
curriculum • Experimental studies
Use of EE to evaluate the Good Start Breakfast Club program
Background:
A school Breakfast Club was established in NSW by Australian Red Cross in 1991

The Sanitarium Health Food company has supported the Club since 2001
GSBC program launched in December 2003, following increased support from Sanitarium
Clubs in nearly 100 primary schools in New South Wales, Victoria, South Australia,
Queensland, Tasmania and the Northern Territory
Involves over 1,200 volunteers who deliver over 140,000 breakfasts to children in need each
year
Anecdotal evidence on program impacts include that it increases student’s ability to learn, and
improves their social and behavioural skills and nutritional knowledge
No evaluation had previously been conducted to determine the nutritional, social and
educational impacts of the program on children
Graduate School of Public Health, University of Wollongong approached by Sanitarium and

the Adventist Development Relief Agency to develop a research methodology for use in the
Breakfast Club
Project to develop practical methods to evaluate breakfast programs
ARC Linkage grant obtained by UOW in 2003 for a PhD scholarship and some research costs
for the project ‘Practical methods to evaluate school breakfast programs’
Following a literature review, EE was selected to evaluate the program - had demonstrated
strengths and simplicity, was congruent with values and objectives of GSBC program
A case study of the impacts of the EE approach on the delivery of the program will be
developed
An expected outcome of the project is the development of a practical and useful GSBC
Evaluation Toolkit
To date, the evaluation has involved:
1. Questionnaires distributed to volunteers and teaching staff in most program areas to enable
input into the EE process
2. EE workshops with GSBC coordinators and managers from around Australia held over two
days in May 2005

3. Two full day EE workshops with GSBC volunteers and teaching staff from schools in Sydney
and Western NSW in July 2005
4. Feedback questionnaires on EE methododology and workshops. Data also collected on gender,

age, role in program, location and prior knowledge of participatory evaluation
Outcomes so far
Development of proposed new mission and vision statements
Identification of key activities that will be evaluated (eg. ‘volunteer management and
support’; ‘providing breakfast to children in need’)
Individual and average ratings for each key activity and reasons for giving these ratings
For each key activity, a list of goals, strategies to meet these goals, and suggested forms of
evidence to monitor progress towards goals
Feedback on methodology and methods
Most thought the methodology was valuable
Opportunity to share information, experiences and ideas appreciated
Knowledge and understanding of participatory program evaluation increased
More time needed at some workshops for discussion on program’s strengths and weaknesses
and Planning for the Future step
Strengths of empowerment evaluation include:
Robust process; demonstrated effectiveness in improving community-based programs
Builds evaluation capacities and a culture of evaluation based on continuous improvement

and learning
Evaluation designed and controlled by program staff, participants and stakeholders
Process is participatory and inclusive
Methods aim to be democratic and empowering
Enables the ongoing collection of reliable, evidence based data

Can provide more open and honest assessments of a program’s strengths and weaknesses
The people concerned decide how they will gather evidence or evaluate.
The organisation builds capacity and capability in the process so they can do the work
themselves in the future.
Limitations and issues include:
Evaluators need a wide range of skills, including facilitation and training, and knowledge of
program evaluation
Requires careful management of power relations and differing agendas, values and
perspectives
Process requires time and resources that are not always available
Involvement of volunteers can be problematic
Criticisms of empowerment evaluation include:
Its reliance on self-study.
Potential lack of rigour and integrity or ‘pseudo-evaluation’.
Difficulty distinguishing empowerment evaluation from other participatory approaches.
Limited evidence of the success of the approach.
Conclusion
EE has many strengths that makes it valuable for improving community-based programs and
increasing their sustainability
However, a number of issues need to be considered, such as the time and resources required
to build capacities and include a diversity of people in planning and conducting the evaluation
To be effective, requires a commitment to its principles by senior management, staff and

participants.
2.7 TYPES OF EVALUATION

Identify and discuss the various types of evaluations of the development sector. Your
development should show under what circumstances each evaluation type is most suitable
(25 marks)

MAY/JUNE 2016 Q2
ATTEMPT
Formative evaluations are evaluations whose primary purpose is to gather information that can
be used to improve or strengthen the implementation of a program. Formative evaluations
typically are conducted in the early- to mid-period of a program’s implementation.
Summative evaluations are conducted near, or at, the end of a program or program cycle, and
are intended to show whether or not the program has achieved its intended outcomes (i.e.,
intended effects on individuals, organizations, or communities) and to indicate the ultimate
value, merit and worth of the program. Summative evaluations seek to determine whether the
program should be continued, replicated or curtailed, whereas formative evaluations are intended
to help program designers, managers, and implementers to address challenges to the program’s
effectiveness.
Process evaluations, like formative evaluations, are conducted during the program’s early and
mid-cycle phases of implementation. Typically process evaluations seek data with which to
understand what’s actually going on in a program (what the program actually is and does), and
whether intended service recipients are receiving the services they need. Process evaluations are,
as the name implies, about the processes involved in delivering the program.
 The defining theme of process evaluation is a focus on the enacted program itself – its
operations, activities, functions, performance, component parts, resources and so
forth.
 Process evaluation ‘verifies what the program is and whether or not it is delivered as
intended to the targeted recipients.’
 It does not assess the effects of the program on the recipients.
 Focus on service utilisation and program organisation
 Service utilisation – focus on the extent to which targeted population receives

intended services
 Program organisation – involves comparing the plan of what the program should be
doing with what is actually happening, especially with regards to service provision
 Resources – examination of what resources have been expended on the program
 Program process evaluations may take several forms:
 Once off OR continuous, may be internally or externally done

 May be process/implementation evaluation or continuous program monitoring
 It can stand alone as an evaluation of a program in circumstances where the only

questions at issue are about the integrity of program operations, service delivery, and
other such matters.
 A process evaluation may also constitute the major evaluation approach to a program
charged with delivering a service known or presumed effective, so that the most
significant performance issue is whether that service is being delivered properly e.g
whether prescribed medical treatment protocols for patients are being followed
 Can be used as a complement to impact evaluation
 It is not advisable to carry out impact assessment without minimal process evaluation
 Impact correlates or should correlate with implementation
Impact evaluations sometimes alternatively called “outcome evaluations,” gather and analyse
data to show the ultimate, often broader range, and longer lasting, effects of a program. An
impact evaluation determines the causal effects of the program. This involves trying to measure
if the program has achieved its intended outcomes.
An outcome is the state of the target population or the social conditions that the program is
expected to have changed
The International Initiative for Impact Evaluation (3ie) defines rigorous impact evaluations as:
Analyses that measure the net change in outcomes for a particular group of people that can be
attributed to a specific program using the best methodology available, feasible and appropriate to
the evaluation question that is being investigated and to the specific context”
Impacts (and outcome evaluations) are primarily concerned with determining whether the effects
of the program are the result of the program, or the result of some other unnecessary factors.
Ultimately, outcome evaluations want to answer the question, “What effects did the program
have on its participants (e.g., changes in knowledge, attitudes, behaviours, skills, practices) and
were these effects the result of the program?
There two types of outcomes
 Proximal outcomes – direct and immediate out – take away outcomes – they go with
them as they leave the door
 Distal/Ultimate outcomes

2.8 EVALUATION STANDARDS
Discuss the importance of evaluation standards in the evaluation profession (25 marks)
OCT/NOV 2016 Q1
ATTEMPT
Evaluation standards identify how the quality of an evaluation will be judged. They can be used
when planning an evaluation as well as for meta-evaluation (evaluating the evaluation).
1. Utility standards ensure that an evaluation will serve the information needs of intended
users.
2. Feasibility standards ensure that an evaluation will be realistic, prudent, diplomatic and
careful.
3. Propriety standards ensure that an evaluation will be conducted legally, ethically and
with due regard for the welfare of those involved in the evaluation, as well as those
affected by its results.
4. Accuracy standards ensure that an evaluation will reveal and convey technically
adequate information about the features that determine worth or merit of the program
being evaluated.
Utility Standards
The utility standards are intended to increase the extent to which program stakeholders find
evaluation processes and products valuable in meeting their needs.
 Evaluator Credibility Evaluations should be conducted by qualified people who

establish and maintain credibility in the evaluation context.
 Attention to Stakeholders Evaluations should devote attention to the full range of

individuals and groups invested in the program and affected by its evaluation.
 Negotiated Purposes Evaluation purposes should be identified and continually

negotiated based on the needs of stakeholders.
 Explicit Values Evaluations should clarify and specify the individual and cultural values
underpinning purposes, processes, and judgments.
 Relevant Information Evaluation information should serve the identified and emergent
needs of stakeholders.

 Meaningful Processes and Products Evaluations should construct activities,
descriptions, and judgments in ways that encourage participants to rediscover, reinterpret,
or revise their understandings and behaviours.
Timely and Appropriate Communicating and Reporting Evaluations should attend to the
continuing information needs of their multiple audiences.
 Concern for Consequences and Influence Evaluations should promote responsible and
adaptive use while guarding against unintended negative consequences and misuse.
Feasibility Standards
The feasibility standards are intended to increase evaluation effectiveness and efficiency.
Project Management Evaluations should use effective project management strategies.
 Practical Procedures Evaluation procedures should be practical and responsive to the

way the program operates.
 Contextual Viability Evaluations should recognize, monitor, and balance the cultural
and
political interests and needs of individuals and groups.
 Resource Use Evaluations should use resources effectively and efficiently.
Propriety Standards
The propriety standards support what is proper, fair, legal, right and just in evaluations.
 Responsive and Inclusive Orientation Evaluations should be responsive to stakeholders

and their communities.
 Formal Agreements Evaluation agreements should be negotiated to make obligations

explicit and take into account the needs, expectations, and cultural contexts of clients and
other stakeholders.
 Human Rights and Respect Evaluations should be designed and conducted to protect
human and legal rights and maintain the dignity of participants and other stakeholders.
 Clarity and Fairness Evaluations should be understandable and fair in addressing

stakeholder needs and purposes.
 P5 Transparency and Disclosure Evaluations should provide complete descriptions of

findings, limitations, and conclusions to all stakeholders, unless doing so would violate
legal and propriety obligations.

 Conflicts of Interests Evaluations should openly and honestly identify and address real
or perceived conflicts of interests that may compromise the evaluation.
 Fiscal Responsibility Evaluations should account for all expended resources and comply
with sound fiscal procedures and processes.
Accuracy Standards
The accuracy standards are intended to increase the dependability and truthfulness of evaluation
representations, propositions, and findings, especially those that support interpretations and
judgments about quality.
 Justified Conclusions and Decisions Evaluation conclusions and decisions should be

explicitly justified in the cultures and contexts where they have consequences.
 Valid Information Evaluation information should serve the intended purposes and
support valid interpretations.
 Reliable Information Evaluation procedures should yield sufficiently dependable and

consistent information for the intended uses.
 Explicit Program and Context Descriptions Evaluations should document programs

and their contexts with appropriate detail and scope for the evaluation purposes.
 Information Management Evaluations should employ systematic information

collection, review, verification, and storage methods.
 Sound Designs and Analyses Evaluations should employ technically adequate designs
and analyses that are appropriate for the evaluation purposes.
 Explicit Evaluation Reasoning Evaluation reasoning leading from information and

analyses to findings, interpretations, conclusions, and judgments should be clearly and
completely documented.
 Communication and Reporting Evaluation communications should have adequate

scope and guard against misconceptions, biases, distortions, and errors.

3.0 THEMATIC ISSUES
3.1 FOOD SECURITY

What are the indicators of food insecurity at a household, how can food insecurity problems be
minimised in Zimbabwe?
ATTEMPT
Definitions:
Food security means regularly having enough food to eat; not just for today or tomorrow, but
also next month and next year.
USDA, (2007) defines food security as “access by all people at all times to enough food for an
active, healthy life. Food security includes at a minimum of the ready availability of nutritionally
adequate and safe foods, and an assured ability to acquire acceptable foods in socially acceptable
ways (e.g., without resorting to emergency food supplies, scavenging, stealing, or other strategies
The Food and Agriculture Organization (FAO) of the United Nations suggests that food
security is the product of food availability, food access, stability of supplies and biological
utilisation (FAO, 2011). It is a situation that exists when all people, at all times, have physical,
social and economic access to sufficient, safe and nutritious food that meets their dietary needs
and food preferences for an active and healthy life other coping strategies.
Conceptual model of Household food security
FOOD SECURITY
AVAILABILITY ACCESSIBILITY UTILISATION
Production Income Dietary intake

Stocks Food prices Dietary safety
Trade Income distribution Hygiene

Availability
 Food should be available to people. Some people do not have food security because
food is just not available. Insufficient quantity of food of an appropriate nature and
quality in all parts of the national territory, irrespective of its origin (local production,
imports or food aid) culminate to food insecurity.
 Various factors can be responsible for unavailability of food; these may include poor
farming practices, lack of farming skills, lack of farming inputs, inconsistent
agricultural policies and droughts.
Access
 Some people lack access to the resources required to be able to acquire the food needed
by them for nutritionally adequate diet. These resources include not only financial
resources, but also rights of access to the resources required to produce food or to receive
it from others.
Stability
 Stability refers to the aspect of stability of access to food; the assurance of access by
people to food even in the face of natural or economic shocks. Some people do not have
the assurance of having food in the event of sudden shocks, sudden and unexpected
events which may immediately erode the little and visible food sources.
 A household or country need to have stability in regards to food sources, production and
supply for it to be food secure.
Utilization
 Citizens of a given country need to have adequate knowledge of how they can have
food fully utilized for their maximum benefit. It is not uncommon to find people
having stocks of food but falling to challenges of malnutrition often times.
 This happens because they have little or no knowledge on how food should be taken
for satisfactory utility. Satisfactory utility of food by people should not be inhibited
by health or hygiene problems (safe drinking water, sanitation or medical services,
etc.).
Biological usage
 The terminology is "new," the concept itself is nothing new; it is simply a person's ability
to consume the food they eat optimal or at least efficiently. Research has shown that this

capacity is intimately linked to the health status of an individual which is dependent on
important non-food inputs
 In fact, the need for adequate health and child care is shown to require optimum
biological use; clean water and sanitary services; sufficient awareness and the proper
implementation of such.
Indicators of food security
 Dietary Diversity –variety of that constitute of balanced diet
 Anthropometry- defined as the measurement of size, weight, body proportions

and ultimately the composition of the human body (Levine & Chastre, 2004). A
malnutrition free family shows that the family is food secure.
 Household income- the income of a household is an indicator of food security.

High income means the household is able to access food as they have the money
and buying power. The household income maybe through employment, business
ventures or projects.
 Access to means of production to be able to produce on your own or availability

of resources
How can food insecurity be minimized?
 Developing Transparent Policy Agendas
 Mobilizing Resources Strategically and Efficiently i.e. by development partners
 Building More Capable, Responsive and Accountable Institutions-

AGRITEX,VET,ARDA,MET DEPT
 Strengthening Local Public and Private Sector Institutions
 Incentivizing Investment Opportunities for the Private Sector:
 Conservation farming-(enable farmers to improve soil fertility through mulching)
 Buying and distribution of grain not to be monopolized by GMB
 Distributing land on merit rather than on partisanship
 Provision of incentives (monetary and non-monetary) for private investments eg financial

institutions- to offer financial assistance

 Construction of dams for irrigation so that farmers cannot rely on rain-fed agriculture
 Policies that allow NGOs to compliment the gvt efforts eg USAID responding to El-Nino
induced drought since June 2015 contributed 127 million dollars towards food assistance.
 The land reform program/ rural settlements
 Weather forecasting- for early warning systems i.e. if drought is forecasted farmers are
encouraged to grow drought resistant crops.
Causes of food insecurity in sub saharian Africa
Politically factors
 Land given to unprofessional farmers during Jambanja. Now not utilised fully or no
any agricultural activities
 Poor policies: farms cannot be used as collaterals. Also land ownership not clear
 Land given on partisan line
 Monopolisation of GMB as a centre for buying and distribution of grains
Environmental Factors
 Recurrent climate induced shocks leading to droughts
 El-Nino induced drought
 Climate Change=excessive heat, acidic rainfalls
 Cyclones may result in floods, waterlogging of fields, salinization-increase of salt content

in the soil, leaching
 Over-dependence on rain-fed agriculture
Economic factors
 High prices of inputs, unemployment, liquidity challenges, economic instability
 Poor pricing resulting in growing of cash crops with good prices eg cotton and tobacco
 No collaterals to secure loans
Social factors

 Old aged population in communities due to rural urban migration, deaths
 Pests eg army worm and poor storage facilities
 Diseases e.g HIV, Cancer
 Poverty
Technological factors
 High cost of buying and maintenance of machines. Eg tractors, harvesters, pivots
 Lack or little modern farming methods
 Low productivity agric practices
3.2 SUSTAINABLE DEVELOPMENT GOALS

To what extent is the government of Zimbabwe addressing climate change issues in line with
SDG 13?
ATTEMPT
Climate change refers to a change of climate which is attributed directly or indirectly to human
activity that alters the composition of the global atmosphere and which is in addition to natural
climate variability observed over comparable time periods.
According to Morton (2007), climate change is the significant variation of the mean state of
climate relevant variables such as temperature, precipitation and wind in a certain period of time,
usually over 30 years. These changes in the climate can be natural; resulting from the climatic
system and its internal dynamics, climate changes can also be induced through external
influences.
Sustainable Development Goal refer to a set of goals precisely seventeen (17) adopted at the
United Nations Development Summit on 25 September 2015 by world leaders. Zimbabwe
selected ten goals to be given priority in implementation
Sustainable Development Goal 13 calls for urgent action to combat climate change and its
impacts. It has three main ambitious global targets as follows:
13.1 Strengthen resilience and adaptive capacity to climate-related hazards and natural disasters
in all countries
13.2 Integrate climate change measures into national policies, strategies and planning

13.3 Improve education, awareness-raising and human and institutional capacity on climate
change mitigation, adaptation, impact reduction and early warning
Causes of climate change
 Industrialization -The production and use of CFCs and other carbons in various
industrial processes comprise about 24% p of the enhanced radiative forcing.
 Deforestation- biomass burning including fuel woodland other changes in land-use

practices release C 0 2 , C H 4 , and N 2 0 into the atmosphere and together comprise
about 18 percent (with an uncertain tyrange of 9-26 percent) of the enhanced radiative
forcing.
 Greenhouse gases such as methane, nitrous oxide, water vapour and aerosols- they
create an in balance in the incoming and outgoing radiation in the atmosphere
 Mining activities extraction of and processing of minerals releases some gases which
are harmful to the ozone layer.
 Ozone layer depletion: Ozone is both a natural and man-made gas. Ozone in the upper
atmosphere is known as ozone layer and shields both plant and animal life on earth from
a possible damage by the sun's harmful ultraviolet and infrared radiation (Whitefield et
al., 1998).
 Agriculture: Agriculture is a climate change trigger. Field forest clearing, crop residues
burning, rice paddies flooded, huge herds of cattle and other ruminants raised and
nitrogen fertilizer, all release greenhouse gases into the atmosphere (Rosenzweig and
Hillel, 1995).
Impacts of Climate Change
Low agriculture yields ( case study of Chiredzi)
Climate change and extreme weather events affects all dimensions of food security in several
ways ranging from direct effects on crop production for example, altered rainfall pattern leading
to drought or flooding, or warmer or cooler temperatures leading to changes in the length of
growing season, to changes crop yields.
Compromised food and nutrition security
Impacts of climate change on rainfall variability, rising temperatures and frequent heat waves,
droughts and floods continue destabilise agricultural production. The most affected and

vulnerable people are orphans, pregnant mothers, diabetics and people living with HIV. These
types of people are vulnerability to food insecurity and malnutrition.
Change in rainfall patterns
Gwimbi (2009) cites that of farmers in Gokwe observed increases in temperature, decreases in
rainfall and more frequent drought events, which reflects trends in the climatic variability on
cotton production, the vulnerability of cotton farmers to climatic variability and their adaptation
strategies. A study done by Phiri et al in Matobo district also confirms this.
Loss of livestock ( Case study of Matobo)
Wetlands are shrinking and drying due to high frequent droughts in southern Zimbabwe caused
by climate change and variability and desertification aggravated by human activities. Drying of
wetlands has resulted in death of livestock in areas like Silozwe, Ntunjambili villages ward 15&
16 Matobo district due to low water supply and harsh temperatures
Low water table (Umzingwane District)
Dliwayo (2010) notes that Surface water mostly rivers and dams is the major source of water in
Zimbabwe accounting for 90 per cent of supply. There are no large floodplains, swamps and
drying wetlands (amaxhaphozi) because of the semi-arid climate and topography. Areas that
have affected with water availability include areas like Esigodini where water table in dams like
Ncema, Mzingwane and Inyankuni have been reduced for the past 10years
Health ( case study of Chitungwizwa and Binga town)
Climate change has affected human health through increases in floods and storms causing an
increasing of epidemic diseases such as malaria especially in Binga. According to the IPCC
(2007) changes in temperature and precipitation are likely to alter the geographic distribution of
malaria in Zimbabwe, with previous unsuitable areas of dense human population becoming
suitable for transmission.
Loss of settlements (Case study Tokwe –Mukosi and Tsholotsho flood victims)
Extreme rainfall and floods have resulted in the destruction of homesteads, school buildings and
clinics, in some cases exposing families, students and patients to hostile weather conditions.
Tokwe- Mukosi flood victims were relocated to Chingiwizi transit camp where around 12 000
affected people stayed for about two years, Chimanimani cyclone idai.
Increase in wild fires (Case study of Hwange)
Mugwagwa(2006) cites that rise in temperatures has increased the vulnerability of many forests
to wildfire Areas such as Mabale in Hwange experience long periods of high temperatures are

associated with droughts that contribute to dry conditions and tend to drive wildfires Wildfire
smoke contains carbonmonoxide,nitrogen oxides, and various volatile organic compounds and
can reduce air quality.
Government efforts to address climate change
 In dire need to reduce the impacts of climate change the Government developed the
National Climate Policy to guide climate change work in the country. The National
Climate Change Response Plan, National Environmental Policy, and Policies support
the policy. Policy on renewable energy and forestry and other policies to achieve
sustainable growth. We can certainly agree from this point of view that such an act
was a way of obtaining funds from developing countries to fix climate change issues.
 The United Nations Development Programme, the National Adaptation Plan process
was launched through a project called Scaling-up Climate Change Adaptation in
Zimbabwe through the Strengthening of Integrated Planning Structures. The objective
is to reduce vulnerability to climate change impacts by building adaptive capacity and
resilience and to facilitate integration of climate change adaptation into relevant new
and existing policies, programmes and activities, in particular development planning
processes and strategies, within all relevant sectors and at different levels, as
appropriate.
 Through its Climate Change Education, Public Awareness and Outreach Program, the
Government has succeeded in resolving climate change concerns in the sense of the
SDG 13 aim of enhancing education, awareness raising and human and institutional
capacity to mitigate climate change, adaptation, mitigation of impacts and early
warning. The programme is being managed by the Climate Change Management
Department
 The Department is also collaborating with other Ministry of Primary and Secondary
Education departments to incorporate climate change into the curriculum of education
at all levels. Under Article 6 of the UNFCCC and Article 12 of the Paris Agreement,
this is required. It should be noted that education is a significant instrument of the
global agenda for climate change as it allows people to consider and resolve the
impacts of climate change, facilitates changes in their attitudes, behaviours and helps
them adapt.
 The Government of Zimbabwe is collaborating with communities within the support

of UNDP and with support from the Special Climate Change Fund (SCCF) of the
Global Environment Facility to combat climate change and create resilience to these
impacts. The 'Building Climate Resilient Rural Communities in Zimbabwe' project

works to reduce the vulnerability of rural communities by creating local government
plans and guidance documents for the integration and preparation of adaptation to
climate change
Challenges
In light of SDG 13, the government of Zimbabwe, like most developing countries, has struggled
to resolve climate change issues. Zimbabwe has had a set-back in implementing mitigation and
adaptation strategies, as these implementation goals are largely silent on interconnections and
interdependencies between objectives, regardless of their ambition to be universal, indivisible
and interconnected. This leaves open the prospect of unrealised synergies and perverse effects.
Examples include situations where achieving short-term human growth can undermine the ability
of the global life support system to maintain long-term improvements in human well-being; or
indeed, where environmental interventions undermine the rights and well-being of certain social
groups (Griggs et al, 2013).
Some of the frequently mentioned obstacles to the implementation of SDGs have been the lack
of clear guidance on policy changes or how the targets can be accomplished. This lack of
direction has resulted in different viewpoints, neglect of environmental goals, interpretations and
avenues for skepticism, especially in low-resource countries (Gil-Gonzalez et al, 2008).
Consequently, it can be noted that the lack of clear policy direction has made it difficult for the
Zimbabwean government to address issues of climate change in context of SDG 13.
On the other hand, one of the key disadvantages affecting evidence-based decision-making is the
fact that there has been little systematic research in the field of development on the
communication needs of policymakers in developed countries and how such research can be
used to inform short policy content and design (Jones & Walsh, 2008).
Moreover, as the European Commission (2010) recognizes, evidence-based policy making relies,
first and foremost, on the presence and availability of credible evidence. Therefore in the context
of climate change, it is critical that evidence-based decisions are taken to make policies
successful.
3.3 GOVERNANCE
What is good governance, what are the indicators of good governance, why is good governance
as a concept problematic in Africa?
ATTEMPT
 The concept of "governance" is not new. It is as old as human civilization. Simply put
"governance" means: the process of decision-making and the process by which decisions
are implemented (or not implemented). Governance can be used in several contexts such

as corporate governance, international governance, national governance and local
governance.
 Good governance has 8 major characteristics. It is participatory, consensus oriented,

accountable, transparent, responsive, effective and efficient, equitable and inclusive and
follows the rule of law. It assures that corruption is minimized, the views of minorities
are taken into account and that the voices of the most vulnerable in society are heard in
decision-making. It is also responsive to the present and future needs of society.
For the World Bank, good governance in essence comprises three fundamentals:
 Accountability and transparency in the public administration, efficiency in public service

and predictability in the rule of law (UNECA 2013).Within the socio-political domain of
Zimbabwe, the issue of governance is of considerable significance given the country’ s
chronic underperformance in various international governance indicators.
Indicators/characteristics of good governance
Participation
Participation by both men and women is a key cornerstone of good governance. Participation
could be either direct or through legitimate intermediate institutions or representatives. It is
important to point out that representative democracy does not necessarily mean that the concerns
of the most vulnerable in society would be taken into consideration in decision making.
Participation needs to be informed and organized. This means freedom of association and
expression on the one hand and an organized civil society on the other hand.
Rule of law
Good governance requires fair legal frameworks that are enforced impartially. It also requires
full protection of human rights, particularly those of minorities. Impartial enforcement of laws
requires an independent judiciary and an impartial and incorruptible police force.
Transparency
Transparency means that decisions taken and their enforcement are done in a manner that
follows rules and regulations. It also means that information is freely available and directly
accessible to those who will be affected by such decisions and their enforcement. It also means
that enough information is provided and that it is provided in easily understandable forms and
media.
Responsiveness

Good governance requires that institutions and processes try to serve all stakeholders within a
reasonable timeframe.
Consensus oriented
There are several actors and as many viewpoints in a given society. Good governance requires
mediation of the different interests in society to reach a broad consensus in society on what is in
the best interest of the whole community and how this can be achieved. It also requires a broad
and long-term perspective on what is needed for sustainable human development and how to
achieve the goals of such development. This can only result from an understanding of the
historical, cultural and social contexts of a given society or community.
Equity and inclusiveness
A society’s wellbeing depends on ensuring that all its members feel that they have a stake in it
and do not feel excluded from the mainstream of society. This requires all groups, but
particularly the most vulnerable, have opportunities to improve or maintain their wellbeing.
Effectiveness and efficiency
Good governance means that processes and institutions produce results that meet the needs of
society while making the best use of resources at their disposal. The concept of efficiency in the
context of good governance also covers the sustainable use of natural resources and the
protection of the environment.
Accountability
Accountability is a key requirement of good governance. Not only governmental institutions but
also the private sector and civil society organizations must be accountable to the public and to
their institutional stakeholders. Who is accountable to who varies depending on whether
decisions or actions taken are internal or external to an organization or institution. In general an
organization or an institution is accountable to those who will be affected by its decisions or
actions. Accountability cannot be enforced without transparency and the rule of law.
Why is good governance as a concept problematic in Africa? (b. Why has this term become
controversial in Africa? (20 marks) MAY/JUNE 2016 Q5/ OCT/NOV 2016 Q5
Good governance is an ideal which is difficult to achieve in its totality. Very few countries and
societies have come close to achieving good governance in its totality. However, to ensure
sustainable human development, actions must be taken to work towards this ideal with the aim of
making it a reality

From the foregoing therefore, underlying the litany of Africa’ s development problems is a crisis
of good governance (Adejumobi, 2000). Cubitt (2014) also demonstrates that there is a
convincing body of evidence to indicate that governance is not working for the majority of
African populations who encounter every day, the realities and consequences of ineffective
government in their states.
 These include a curious model of democracy where citizens observe, but do not receive
the benefits of economic growth;
 Corruption and greed
 The prevalence of violence or threat of violence and conflicts
 The lack of law and order in every corner of the continent, where the states do not adhere
to the Constitution.
 A lack of opportunity and regionalism where others groups in the country are not
recognised.
 The continuance of deep poverty and the persistent marginalization and disempowerment
of large sections of the population (Cubitt, 2014).
 Bad or failed governance, Cubitt further deposes is understood to be associated with

these continent-wide ills and to cure Africa of its disease, governance must be improved
by some means. In place of good governance however, the emphases in Africa
(incidentally by Africans too) has been more on democracy than on good governance.
3.4 CORRUPTION
“In Africa it is not that officials are corrupt but, but corruption is official” (Menelik 2016).
Examine the socio impacts of corruption in Zimbabwe and how the scourge can be addressed.
ATTEMPT
As Menelik (2016) says, it is not that officials are corrupt in Africa, but that corruption is
official. The statement gives the notion that it is more of corruption being viewed as the norm,
rather than certain figures or characters of society having the corruption trait in their DNA. From
a Zimbabwean perspective, evidence suggests that there is a combination of both, which just
shows the magnitude of corruption in Zimbabwe.
Socio Impacts of corruption
 Education, health, sector crippled…rampant strikes by teachers for better salaries and
wages

 Covid19 exposed the government that the country is not ready to deal with emergencies
 Looting, fraud and embezzlement of funds amidst COVID19 e.g Obadiah Moyo $60m
scam, war victims compensation fund scandal
 Decreased health situation, sanitation, and poor facilities in the country
 Food insecurity
 Poor infrastructure e.g roads
 Psychological damage with sextortion
 Brain drain
 Human rights violations
 Poverty
 Impediment of democracy- When citizens lack trust in the justice system, it not only
weakens the justice system but in actual fact, it increases cases of corruption as people
know that one can bribe their way out of any judgement that may be directed towards
them, thereby weakening the entire State on all fronts.
 Social inequality widened
 Economic development hindrance- no community beneficiation in natural resources
 Unemployment
 Press censorship and victimization of journalists
What can be done?
 A method to combat the scourge of corruption is through having a responsible press,

where corrupt officials would not be protected in their scandals
 Fair law enforcement and judgement system to hold everyone accountable esp. corrupt
officials
 undertake institutional reforms to improve the efficiency of the judiciary system and the
level of regulatory compliance
 introduce more of anti-corruption agencies like ZACC to bring corrupt officials to justice

 sensitization and awareness raising in the communities to encourage people to report
corruption and guard against it
 Leadership to walk the talk and lead by example
 Ethics commission to guard those in public office
 Have consequences for corrupt individuals as a lesson
3.5 YOUTH
What is a youth? What are the challenges that befall the youth in development in Zimbabwe?
ATTEMPT
Entity/ Organization Age Reference
UN Youth: 15-24 UN Instruments, Statistics

Secretariat/UNESCO/IL
O
UN Habitat (Youth Fund) Youth 15-32 Agenda 21
UNICEF/WHO/UNFPA Adolescent: 10-19, UNFPA
Young People: 10-24,
Youth: 15-24
UNICEF /The Child until 18 UNICEF

Convention on Rights of
the Child
The African Youth Youth: 15-35 African Union, (2006

Charter

• Youth” is best understood as a period of transition from the dependence of childhood to
adulthood’s independence and awareness of our interdependence as members of a
community. Youth is a more fluid category than a fixed age-group (UNESCO 2017).
• In Zimbabwe, youth are defined as persons between 15 and 35 years of age. This age
range is stipulated in the Constitution of Zimbabwe and is also in line with the
continental definition of youth as defined in the African Youth Charter (15 to 35)
(Zimbabwe Youth Policy 2013)
• However, age is the easiest way to define this group, particularly in relation to education
and employment. Therefore “youth” is often indicated as a person between the age where
he/she may leave compulsory education, and the age at which he/she finds his/her first
employment. This latter age limit has been increasing, as higher levels of unemployment
and the cost of setting up an independent household puts many young people into a
prolonged period of dependence.
Challenges that befall youth in development in Zimbabwe?
Unequal representation in government
 Young people make up a large chunk of Zimbabwe’s population, with about 67.7% of the
population falling between the ages of 15 and 35 (ZimStat, 2012). Despite this apparent
dominance in the demographic space, there are very few young people holding positions
in government.
 Youth participation in political discourses is very limited. In the current 51-member

cabinet of Zimbabwe (ministers and their deputies), none of the members are in the
‘youth’ category. Only 5 are under the age of 40, and these are Coventry (37), Muswere
(39), Ndlovu (39), Phuthi (39) and 37year old Machakaire (Govt. of Zimbabwe, 2020)
 In both the Lower and Upper Houses of assembly, lest that 6 % of the population is under
the age of 35, and the constitution of Zimbabwe has a minimum age of 40 for one to
qualify to run for the presidency which shuns youths from participating at all
Exploitation
 With the current economic meltdown in the country, characterised by the ever-rising
inflation rates, shortage of basic amenities, ever rising price of goods and services, empty
medical cabinets in hospitals among other things, it is the young people feel the heavy
brunt of this inclement economic climate. Murimi (2018) opines that young people have
been short-changed by the economic situation
 Youths engaging in prostitution to get employment

 Bribery and sexortion
Poverty
 It’s more than just the lack of the basic necessities of life. It encompasses things like not
having productive resources to ensure sustainable livelihoods as well.
 Its indicators include hunger and malnutrition, limited access to education, health, shelter
and other basic services, exclusion, discrimination as well as the lack of participation in
decision-making.
 In 2013, more than one-third (37.8 per cent) of employed youth aged 15‒24 in
developing regions were poor, with 17.7% of them living in extreme poverty at less than
US$1.25 per day (ILO, 2015). The above well defines the typical young person in
Zimbabwe.
Lack of access to resources
 One of the major issues that affect the young is that of not having access to resources.
Chen (2012) bemoans the lack of access as a major stumbling block to the emancipation
of young people in Zimbabwe and in other nations.
 Youths fail to get start-ups for their entrepreneurial projects
 They have no benefit in the natural resources they dwell in
Alcohol, Drugs and substance abuse
 Drug abuse has been defined as the excessive, maladaptive or addictive use of drugs for
non-medical purposes despite social, psychological, and physical problems that may arise
from such use (Rogers, 2011).
 In Zimbabwe there is anecdotal evidence of drug abuse among the youth especially in the
intimate and informal interaction networks (Ngwenya, 2019).
Marginalization & exclusion
 Chambers (2007) asserts that young people are marginalized, politically, economically as
well as culturally. In Zimbabwe, youth exclusion was strongly evident, often crossing
with other forms of marginalization related to gender, religion, tribe, culture and
community
Corruption

 Resources that are meant for the development of young people’s entrepreneurial and
business ventures is diverted to other uses by corrupt politicians and cartels. In the end,
young people get even more poor and desperate and many end up getting involved in
illicit and bad behaviours such as violence, thuggery, crime and other social ills.
Limited access to sexual reproductive health rights leading to diseases and teenage
pregnancies
Unemployment
 In Zimbabwe, perhaps the biggest and most common challenge that many youths are
faced with is that of unemployment.
 Munyanyi (2013) advances that Employment is perceived as the missing link between
economic growth and poverty reduction. This holds true, as many young people cannot
afford to meet their daily needs and the needs of their dependents owing to that they are
not employed.
What should be done for the betterment of youths?
 Youth inclusion in decision making
 Diversity and increased youth participation
 Abolishment of laws and policies that discriminate youths especially girls and young
women
3.6 CHILDREN
What is a child? What are the common abuses that children face? What can be done to safeguard
and protect children from such abuses?
ATTEMPT
What is a child?
• A child is a human being between the ages of 0 months and 18 years, this has been
concurred by the African Child Policy Forum (2013), the Legal Age of Majority
Act of 1982 as well as Unicef. This is supported by the periodic reports on the
Convention on the Rights of the Child: African countries, (2009 and following)
law conforms to the provisions of articles of the Convention, where the child is
generically defined as a, “human being below the age of 18 years.
• According to Schapiro (1999), a child is a person who in some fundamental way is

not yet developed, but in the process of developing. Since children are not yet

fully developed individuals, they require socialisation from the family, school,
religious groups and peers to be socially accepted individuals.
• A child is also considered a passive citizen. This means that a child cannot legally
own anything without the guardianship of a parent or guardian, as also noted by
Legal Age Majority Act (1982). A child cannot vote or make life changing
decisions on their own without the help of a parent.
• A child is regarded immature to have complete autonomy over their lives before the
age of 18 years. Therefore, a child is seen as a young, immature, developing,
passive and vulnerable individual below the age of 18 years in Zimbabwe and in
most countries.
What are the common abuses that children experience?
Child abuse is a severe and disturbing problem not just in Africa, but the world at large. Child
abuse in Africa is a major threat to the achievement of the sustainable development goals.
• ChildLine Zimbabwe defines abuse as all forms of harm directed toward a child by an
adult or another child with more power and/or authority.
• At the Federal level, the Child Abuse Prevention and Treatment Act (2010) has defined
child abuse and neglect as "any recent act or failure to act on the part of a parent or
caregiver that results in death, serious physical or emotional harm, sexual abuse, or
exploitation, or an act or failure to act that presents an imminent risk of serious harm."
Physical Abuse - use of physical force against a child with the intention of hurting or injuring
them. Physical abuse can be incited at home, at school or with other children. In as much as
physical abuse is common, it is not often reported as it should be. Children suffer from this form
of abuse cloaked under discipline hence fewer reports have been made on physical abuse.
Sexual Abuse
Sexual Abuse as a form of abuse is more prevalent in young children, due to their nativity and
vulnerability. Sexual Abuse is one which consists of sexual intercourse with a child, exposing
intentionally a child to sexual activities which include taking explicit pictures of a child, or
showing a child such pictures, (ChildLine, 2016). Touching a child in erogenous zone or private
parts or asking a child to do that to an individual is also regarded as sexual abuse. Statutory rape
and rape are also ways in which children are sexually abused.
Emotional Abuse

This is the type of abuse that affects children psychologically, where physical pain is hardly
noticed. Emotional abuse includes showing less care, love and affection to a child by those that
are supposed to be nursing and taking care of them. Emotional abuse can be incited by other
children. Forms of emotional abuse range from constantly insulting a child, name-calling, not
giving a child enough attention for their emotional well-being, to critising and belittling a child.
Multi-country study on drivers of violence affecting children and UNNICEF (2017). 58.1% of
persons between 18 years and 24 years experienced emotional violence before the age of 18
years, as recorded by Zimbabwe National Statistics Agency, UNICEF And collaborating centre
for operational Research and Evaluation (2013) emotional Abuse can lead to loss of self-esteem
as well as depression and suicide.
Bullying and Cyber-Bullying
Bullying is also recognised by UNICEF and ChildLine as one of the types of abuse that children
experienced. Bullying usually happens at schools where children are constantly ridiculed and
intimidated by other children and older students. Bullying in schools can at times be violent and
emotional. More so with the growing use of Technology and the world becoming digital,
children are facing cyber bullying where they are ridiculed over the internet on social media
platforms like WhatsApp, Instagram, Twitter and Facebook.
Child trafficking
Child trafficking is on its rise in Zimbabwe and other SADC countries. Children are being
trafficked to places they do not know where they experience all sorts of abuses like physical,
sexual and emotional. However, a lack of adequate enforcement of the law, leaves many children
vulnerable to child labour and to be sex workers. Consequently, more than 13% of children are
obliged to work. Some of the children are forced to take jobs in the farming sector, where living
and working conditions are extremely harsh. The global trafficking in Persons Report in 2014
noted Zimbabwe as a source, transit and destination country for trafficking. Thus child
trafficking is becoming a serious problem affecting children putting them in more danger of
other forms of abuse.
What can be done to protect children from such abuses?
According to Waldfogel (2009), child protection refers to measures taken after child
maltreatment has occurred these include support, care, and treatment of the traumatized child and
child maltreatment prevention refers to measures taken to prevent child maltreatment before it
occurs by addressing the underlying causes and risk and protective factors such as teaching
positive parenting skills to pregnant first-time mothers and parents
Sensitisation

• Agents of socialisation and children included should be educated about different forms of
abuses. In-depth knowledge should be given in order for victims and perpetrators to know
what is wrong and what is right. Children should be taught to have courage to report
anyone who sexually violates them whether verbally or physically.
Policy and statutory law formulation
• The Community, City council, government and the civil society should come together
and probe for new policies to be formulated and implemented as well as statutory laws.
Policies that protect children from child abuse should be put in place with necessary
measures too.
• If statutory laws that are harsher are put in place, perpetrators would limit abusing
children. For example, if those who sexually abuse children are chemically castrated or
given severe punishment rather than 5 years in prison, there would be decrease in child
abuse.
Mediation and counselling
• Since most forms of abuses take place within the family, there should be mediation for
the family to solve problems that might have led to issues like emotional and physical
abuse. A mediator would help the family to come to an understanding on how to treat
each other.
• Even so, children who have suffered from any type of abuse usually suffer from
psychological trauma. The best way to treat psychology trauma is through counselling.
• Non-Governmental Organisations and Clinics provide these services thus adults, parents
and guardians should take advantage of them to heal children from the pain that they go
through.
Engaging child protective services
• When one hears a crime committed against a child, that case should be reported. Cases of
child abuse can be reported to the police, social workers and Non-governmental
organisations like ChildLine.
• Reporting cases mean that there is high chance for perpetrators to be prosecuted and
charged properly. Children should also know that these services exist to help them and if
they need help, they should seek help from them.

3.7 DISABILITY
What is disability? Identify five models of disability, what are the challenges faced by people
with disability, what can be done to ensure that their needs are met?
ATTEMPT
• Disability is defined as a part of the human condition that almost everyone will be
temporarily or permanently impaired at some point in life, and those who survive to old
age will experience increasing difficulties in functioning.
• A disability is any continuing condition that restricts everyday activities.
• Disabilities can affect a person’s capacity to communicate, interact with others, learn and
get about independently.
• Disability is usually permanent but may be episodic (WA Disability Services Act 1993).
Models of disability
Charity model
• Retief & Letšosa (2018) state that the charity model sees PWDs as victims of
circumstance who should be pitied.
• The Charity Model sees people with disabilities as victims of their impairment. Their
situation is tragic, and they are suffering’.
• Many people in the disability community regard the charity model in a very negative
light. The model is often seen as depicting PWDs as helpless, depressed and dependent
on other people for care and protection, contributing to the preservation of harmful
stereotypes and misconceptions about PWDs
The moral and/or religious model
• The moral and/or religious model: Disability as an act of God The moral/religious model
of disability is the oldest model of disability and is found in a number of religious
traditions, including the Judeo-Christian tradition
• According to one of the primary forms of moral and/or religious models of disability,
disability should be regarded as a punishment from God for a particular sin or sins that
may have been committed by the person with disability.
• Henderson and Bryan (2011) offer a thorough explanation of the moral and/or religious
model of disability: Some people, if not many, believe that some disabilities are the result

of lack of adherence to social morality and religious proclamations that warn against
engaging in certain behaviour.
The medical model: Disability as a disease
• From the mid-1800s onwards, the medical (or biomedical) model of disability began to
gradually replace the moral and/or religious model in lieu of significant advances in the
field of medical science.
• Disability is seen as a medical problem that resides in the individual. It is a defect

in or failure of a bodily system and as such is inherently abnormal and pathological.
• The goals of intervention are cure, amelioration of the physical condition to the greatest
extent possible, and rehabilitation (i.e., the adjustment of the person with the disability to
the condition and to the environment).
The cultural model: Disability as culture
• Junior and Schipper (2013:23) outline the primary characteristics of the cultural model,
specifically in terms of how it differs from the medical model and social model. While
the medical model and the social model each focus on only one factor in their approach to
disability, the cultural model focuses on a range of cultural factors. Such factors may
include medical and social factors but are by no means limited to these factors.
Accordingly, the cultural approach does not seek to define disability in any specific way
but rather focuses on how different notions of disability and non-disability operate in the
context of a specific culture.
• The work of Snyder and Mitchell (2006) has played a critically important role in shaping
the theoretical contours of the cultural approach to understand disability. Snyder and
Mitchell (2006) argue that particular ‘cultural locations of disability’ have been created
on behalf of PWDs, locations where PWDs ‘find themselves deposited, often against
their will’. Some of these ‘cultural locations’ include:
• nineteenth century charity systems; institutions for the feebleminded during the eugenics
period; the international disability research industry; sheltered workshops for the ‘multi-
handicapped’; medically based and documentary film representations of disability; and
current academic research trends on disability.
The identity model: Disability as an identity
• This model is closely related to the social model of disability and can be referred to as the
affirmation model. The identity model shares the social model’s understanding that the

experience of disability is socially constructed, but differs in the sense that it ‘claims
disability as a positive identity’
• Under the identity model, disability is a marker of membership in a minority identity,

much like gender or race
• Under an identity model, disability is primarily defined by a certain type of experience in

the world a social and political experience of the effects of a social system not designed
with disabled people in mind
• While the identity model owes much to the social model, it is less interested in the ways
environments, policies, and institutions disable people, and more interested in forging a
positive definition of disability identity based on experiences and circumstances that have
created a recognizable minority group called ‘people with disabilities.
Swain and French (2007) discuss a number of ways in which the identity model of
disability, which they term ‘the affirmation model’, shapes the identity of PWDs:
• An acknowledgement of the socially constructed dimension of disability, especially as

articulated by the social model.
• Motivating PWDs to belong to a campaigning group, this aids in the development of a

collective identity.
• The collective expression of ‘frustration and anger’.
• A realisation that there is nothing wrong with PWDs embracing an identity as ‘outsiders’,
but PWDs should have the right to be ‘insiders’ if they prefer.
• Group identity has inspired many PWDs to endeavour for revolutionary ‘visions of
change, often under the flags of “civil rights” and “equal opportunities’.
• The identity model has influenced many in the disability community, inspiring PWDs to
adopt a positive self-image that celebrates ‘disability pride’ (Darling & Heckert
2010:207).
What are the challenges faced by people with disability
• Disability is a human rights issue because: People with disabilities experience ine-
qualities – for example, when they are denied equal access to health care, employment,
education, or political participation because of their disability.
• People with disabilities are subject to violations of dignity – for example, when they are
subjected to violence, abuse, prejudice, or disrespect because of their disability.

Some people with disability are denied autonomy – for example, when they are subjected to
involuntary sterilization, or when they are confined in institutions against their will, or when they
are regarded as legally incompetent because of their disability
• Disabled children in Zimbabwe are failing to access basic human rights such as education
and health that are enjoyed by their able-bodied colleagues, (UNICEF 2013)
• The ‘World Children’s Report for 2013’ shows that many disabled children fail to realise
their full potential as they struggle to access basic rights. The reports note that efforts by
Zimbabwe soon after independence to improve the lives of people with disabilities were
eroded by serious economic challenges.
• Few donors share or give resources for disabled children which makes disabled girls
become more vulnerable to sexual abuse, , (UNICEF 2013)
• 52% of the disabled children in Zimbabwe have no access to education because

government of Zimbabwe has failed to secure enough schools for the disabled &
privately run schools with facilities for the disabled are expensive, , (UNICEF 2013)
• Some professionals such as nurses, doctors, police officers and teachers fail to
communicate with the disabled hence sometimes most of them shun away and fail to seek
for such services although in need, (UNICEF 2013)
• Economic challenges -Due to high illiteracy levels of the disabled, their level of
participation in the economic arena is thus limited.
• Physical challenges - Have difficulties in accessing various facilities e.g. ablution

facilities in rural areas or towns not accessible by the handicapped, fail to manoeuvre due
to discriminatory manner buildings were built in the CBD
• Challenges when using public transport which is the only affordable option they have.
Some operators shun the disabled as they do not cater for the space to accommodate the
wheel chair
• Socio-Psychological challenges- Socio-emotional and psychological changes due to how

society views them. People usually pass comments or marks that are insensitive and
stigmatization when entering into marriage, reckoned as bad omen if a disabled marries
an able bodied person
• Education- Lack equal opportunities to attain education, their private schools are
expensive and the government has failed to secure enough affordable schools with special
facilities for them

• Health- Little access to sexual and reproductive education and general health e.g. use of
braille for the blind
Strategies in an attempt to address the needs of disabled people in Zimbabwe
• Zimbabwe is a signatory to the Salamanca statement and framework for action on special
needs education and several other inclusive educations related international charters and
conversions (Mpofu et al. 2007; Musengi et al. 2010; Chireshe 2011).
• Although Zimbabwe does not have an inclusive education specific policy, it has inclusive
education related policies like the Education Act of 1996 and the Zimbabwe Disabled
Persons Act of 1996 which advocates for non-discrimination in the provision of
education and non-discrimination of people with disabilities in Zimbabwe respectively.
• The constitution of Zimbabwe clear states the need for inclusion of people with
disabilities in development initiatives. Disabled Persons Act [Chapter 17:01] of
Zimbabwe state that discrimination against disabled persons in employment, and denial
to disabled persons of access to public premises, services and amenities are prohibited.
• Zimbabwe is a signatory to various international statutory on Human rights. Such as the

Human rights Charter,
3.8 POVERTY
Examine Robert Chambers ‘poverty trap’?
ATTEMPT
A poverty trap is “a self-perpetuating condition, in which an economy suffers from persistent

underdevelopment, vicious circle of poverty, created by circular causation due to the presence of
some external economies and/or strategic complementarities” (Matsuyama, 2008).
It is “a set of self-reinforcing mechanisms whereby countries start poor and remain poor: poverty
begets poverty, so that current poverty is itself a direct cause of poverty in the future”
It can also be defined as “a situation in which poverty has effects which act as causes of poverty”
It has “processes of circular and cumulative causation in which poverty outcomes reinforce
themselves”
The traps “occur when government-support payments for the poor decrease as the poor earn
increased income” (Lynham, n.d.). The poor end up with lesser income as the loss of government
support wholly or partly offsets any earnings obtained through working.

Poverty
 Chambers (1987) argues that there is no unambiguous definition of poverty. Several

concepts are commonly used, the main distinction being between absolute and
relative poverty. Under the absolute concept, the value of the minimum food intake
for survival and some non – food requirements are translated into a corresponding
income level that constitute the poverty line (IFAD 2001).
 The relative poverty concept is based on the notion that minimum needs vary with
increasing overall prosperity.
 Poverty is therefore defined as the situation of household or persons with lowest

income or expenditure , and the poverty line is determined as a proportion of the
average income per person usually half to two thirds of the GDP per person.
Powerlessness
 The weak are impotent. It is difficult for them to organise or negotiate, dispersed and
worried about access to services, jobs and incomes. Their power is mostly physically
frail and economically insecure.
 They are easy to neglect or manipulate depending on the influence of others. For the
rich, powerlessness is the least appropriate way to boost the condition of the poor
(IFAD, 2001). “Within existing social, economic and political power structures,
powerlessness results in dependency and a poor bargaining position” (Chambers,
1983 in CeDEP, 2019, 20).
 Corrupted communities also use their power to 'rob' the vulnerable as a result of a
lack of preparation and access to legal assistance to the non-pooled, police,
legislators, landlords or businessmen
Vulnerability
 Much prose is synonymous with 'vulnerable' and 'bad.' However, vulnerability is not
more widely defined than income poverty or poverty. It means exposure and
defenselessness, not lack of desire. It is the “inability to protect oneself or one`s
household against falls in income, sickness or loss of resources, against unanticipated
additional expenses or against any emergency or unanticipated event
 Poor people are said to “face extreme vulnerability to ill health, economic dislocation,
and natural disasters and are often exposed to ill treatment by institutions of the state
and society

 Vulnerability means not lack or want but exposure and defencelessness. It has two
sides: the external side of exposure to shocks, stress and risk; and the internal side of
defencelessness, meaning a lack of means to cope without damaging loss. Loss may
be several ways-physical weakness or economic weakness, social dependency,
embarrassment or mental damage.
 Hundreds of millions are becoming more vulnerable, and even as their incomes grow,
their livelihoods are less securely sustainable (SDC, 2003). Moreover, having access
or not, to tangibles and intangibles, at any one point in life all human beings are likely
to or will be vulnerable
Isolation
 Isolation implies peripheral isolation and isolation. Isolation was viewed as “social
and physical isolation having been caused by lack of access to goods and services,
ignorance and/or illiteracy” (Chambers, 1983 in CeDEP, 2019, 20).
 Poor people can be geographically isolated-they live in a remote region, they cannot
be read, isolated in communication, in lack of connections and knowledge, and in
lack of access to social services and markets. They can also be isolated because of
lack of social and economic support. The development professionals have ignored
five other aspects, influential in the realities of the poor and vulnerable.
 Age or lifecycle may be due to, received or associated isolation. They may be defined
socially as genetically inferior or disadvantaged, like sex, caste, race or ethnic group,
or as "lower," class, social group or profession or as being related to age, including
children and sometimes lawyers (SDC, 2003). In a study done for Qasreqand County,
it was found that illiteracy and having heads of households with low literacy rates
contributed in spreading isolation (Raiesi & Raiesi, 2017).
Physical Weakness
 Disability, illness, disability and pain in itself are evil. In addition, the body is the key
resource for many. The significance to those of the poor of the assets of a fit, healthy
body and the burden of a sick, frail or disabled bird is often undervalued by specialists,
who rely more than themselves on brain. Over and over, poor people have references to
physical impairment, disability or illness as both bad in themselves and their effects on
others in describing malady and health.
 The fact that a family member who is physically poor, ill or handicapped cannot
contribute to a household 's wellbeing but who needs to be fed and cared for is a common

explanation for income poverty and deprivation (Sen, 1999). Physical weakness is thus
seen as “caused by under-nutrition and high dependency ratios” (Chambers, 1983)
Examine the characteristics of urban poverty and how these can be minimized (25 marks)
MAY/JUNE 2014 Q2
ATTEMPT
Introduction
More than half of the world’s population is already living in cities with this number set to
increase. The United Nations (UN) estimates that the global urban population will increase from
3.9 billion to 6.4 billion between 2014 and 2050 – partly because of internal urban growth and
urbanisation (Sattelberger, 2017). Particularly in developing countries, cities are confronted with
the test of providing acceptable housing, basic infrastructure and social services for the budding
urban population. Currently, the development of urban infrastructure can scarcely keep stride
with the constant growth of the population. Consequently, many city residents and particularly
also new arrivals live in humble, informal settlements “slums” and countless numbers end up
there perpetually. The number of people dwelling in slums around the world is on the rise.
Therefore, this work explores the phenomenon of urban poverty and how it can be minimised.
The starting point here, is to come to a common understanding of the critical terms for the
purposes of this discourse and subsequently transition to a discussion of such characteristics as
slum dwellings, insecure tenure and inadequate housing, commoditisation, social fragmentation,
high crime rates and the deficiency of political influence, crime and violence, destitution, the
ability to build back better and basic services and issues of access.
Definition of key term
Prior to discussing urban poverty in a profounder depiction, carefully outlining and determining
poverty is fundamental since an inappropriate interpretation of poverty may result in an
imperfect discourse on it. According to Sen (2001), poverty is considered as deprivation of
several forms of capacity or “freedom” comprising both economic (income) and non-economic
aspects such as political, social, mental and cultural. Thus, people are considered poor when they
are powerless to dismiss hurdles that they are confronted within the attainment of their own
happiness. This definition appears to arrest a brilliant representation of what poverty is. Since
different people in different places have diverse terms of happiness and freedom, the same
divergent interpretations of poverty discourse can be realised.
Slum dwellings, insecure tenure and inadequate housing
The UN Human Settlements Programme (UN-Habitat) – the only source of internationally

comparable data on slum dwellers – estimates that 881 million people or 30% of developing
countries’ urban populations live in slums (UN-Habitat, 2014). This could rise to 3 billion or
60% by 2050 (UN DESA, 2014). It is hard to discuss urban poverty without focusing on slums,
as they are often where most poor people in cities in the developing world live. A large
proportion of urban dwellers in less developed countries live in slums. For example, in India,
Ghana, Cambodia, and Bolivia, more than 50 per cent of all urban residents live in informal
settlements (UN-Habitat 2013). The term slum has been used to cover a variety of housing
insufficiencies and lack of access to rudimentary services, as different organisations, even within
a country, often use varying characterisations. This variation makes it difficult to measure the
number of people living in such areas.
Such conditions appear where recognised housing markets and government housing initiatives
fail to keep pace with urban growth. Squatters typically inhabit idle state or peripheral land and
are perceived by many as a bane on the urban scenery. According to Malloney (2003), they are
tolerated only so far as there is low demand for the land they have occupied. Without legal titles,
or legitimately binding rental or tenancy agreements, squatters and occupants remain susceptible
to expropriation by land wheeler-dealers, developers and government agents. The urban poor
generally have no ownership rights to land in cities where they could legally build a place to live.
Many slum dwellers either must rent basic shelters in an existing slum, often at greatly inflated
prices, or look for free space where they can build a hut on their own as alluded to above. But
such have been victims of several government “initiatives” such as Murambatswina.
These settlers often find these spaces in precarious areas like steep hillsides, next to rubbish
dumps (Ngozi Mine, Bulawayo) or between train tracks. In these areas, they are considered
illegal settlers and are often at risk of eviction or exposure to environmental dangers such as
landslides or flooding as well as a myriad of epidemiological hazards. According to Sattelberger
(2017), due to a lack of land rights, there are few incentives for public or private actors (also for
the residents themselves) to improve their living conditions by investing in infrastructure.
Furthermore, city managements are frequently terrified that the informal settlements will develop
into enduring residences as a result, and this perpetuates their unending lack of unprotected
rights of residence and consequently the perpetuation of their insecurity of tenure and urban
poverty.
Commoditisation
Urban inhabitants rely principally upon wage labour to afford them money to pay for food,
water, shelter and clothing. According to the ILO (2002), primary dependence on a monetised
economy creates one of the key characteristics of urban poverty. A disruption in the flow of
income for an urban household means an immediate disruption in the ability to eat, making wage
labour (including in the informal economy) the centrepiece of urban livelihood strategies.

One of the important characteristics of the urban poor is that a large number work in the informal
sector where entry is easy, requiring less skill, less education and less capital. Another interesting
characteristic is that the urban poor do not constitute a separate world but are linked to the rural
world through visits, remittances and social, cultural and economic networks; most importantly,
through recruitment of people from rural areas (Rosida and Mataram 2018).
Being neglected, on the one hand, and being victims of misguided policies, on the other, the
urban poor have so far endured poor health. They bear the stress of migration from rural areas to
urban slums, and their experience in the workforce, mainly the informal sector, where they are
overworked. Stress induces them to indulge in vices. They are victims of industrial pollution and
have significantly higher mortality rates and morbidity prevalence than the general population.
With their impaired health, they are in no position to contribute positively to their ecosystem.
However, society requires a positive contribution from everyone, and because of this, it is
imperative that more and more efforts be directed towards ensuring the well-being of the poor,
particularly the urban poor.
The cost of living for the urban poor residents, in this heavily commoditised society, is often
comparatively high because of excessive rents, high inner-city transport costs and the need to
buy food and drinking water from merchants. On the other hand, the urban poor can often
generate a certain amount of income in cities by working odd jobs and providing micro services.
However, this may lead to the paradoxical situation that many slum residents, despite obvious
poverty, are not formally considered “extremely poor” as defined by the international poverty
line of currently USD 1.90/day.
Social fragmentation
Traditional methods of dealing with health hazards, economic uncertainty and social strain,
based for instance on community or communal and kinship ties, are inclined to crumble in the
barrage of urban environments. Faced with social fragmentation, families hit by illness or a
natural calamity may find themselves obligated to sell what possessions they may own, to forage
in the street or to participate in criminal doings to survive. Moser and Rogers (2005) assert that
migrants and local communities are thrown together in thickly inhabited areas and required to
compete for access to amenities and inadequate income-generating prospects. Beall (2006) is
convinced that under conditions of armed conflict these conditions are exacerbated as displaced
people flock to cities already under stress.
High crime rates and the deficiency of political influence
Another emblematic characteristic of urban poverty is insufficient rule of law in the slums and
the absence of political power among the poor residents’ dwelling. This goes together with a
dearth of security and a sense of unpredictability. Many people living in slums undergo violence

in their daily living. State security services are barely present in slums, hardly have any authority
there and are often perceived by slum inhabitants as more of a threat than enforcers of the law
(Satterthwaite 1997). Corruption is endemic. Urban poor residencies usually have no voting
rights in cities because they often live there illegally, making it almost impossible for them to
effectively protect their interests.
Correspondingly, conflict and fighting have long been constraints to development, with modern
warfare and terrorism typically affecting urban centres in developing and developed countries
similarly (Beall 2006). Moser and Rodgers (2005) opine that violence in “non-conflict”
situations has been progressively recognised as a fundamental security and development
primacy, and this too is often an urban phenomenon. They further assert that crime is
significantly higher in African and South American cities than in North American, European and
Asian ones. This is with regard principally to burglary, theft and assault. Violent crime can be
indicative of the susceptibility, vulnerability and frustration experienced by poor urban residents
in the background of a practically harsh comparison of prosperity and poverty that is typical of
present-day cities. According to UN-Habitat (2003), young men often have few prospects and
those aged fifteen to twenty-five are particularly vulnerable to street violence. The usual
response is to join youth gangs, in part to defend themselves and their neighbourhoods but also
to participate in criminal activity in the lack of stable sources of employment and in the lack of
actual social support mechanisms.
Crime and violence
Poverty is the primary cause of violence in areas of severe inequality and the urban poor are at
risk of heightening the potential for conflict, crime and violence (Vanderschueren, 1996 in
Moser, Moser and Winton, 2005). According to Moser, Moser and Winton, (2005), in urban
areas, the poor are likely to both be affected by crime and violence and be held responsible for
any committed crime. The violence and crimes committed usually differ with the age and gender
of the perpetrators, with the young more likely to be both offenders and victims. Studies have
exposed that men are often more likely to turn to a life of crime and violence. Whilst men tend to
turn to a life of crime and violence, women turn to prostitution, thereby exacerbating the spread
of HIV and AIDS.
Owusu (2016) posits that crime incidence or the fear of crime often affects areas of higher
poverty. Gladfelter, Graif and Matthews (2014) propose that the factors that feed into urban
poverty continue to forecast numerous crime-related outcomes, such as individuals’ exposure to
violence, risk of victimisation, juvenile violent crime, aggression, arrests for violent behavior,
gender based violence, imprisonment and reoffending. Oftentimes, poor urban living conditions
mean that the poor are at much greater exposure to organised crime, drugs and gang violence.
UNOWA (2007, p. 16) in Owusu (2016) posits that the rapid expansion of urban areas deters the
capacity of public, private or non-profit institutions to ensure provision of urban security or to

supply basic social infrastructure, such as, health, education, water and sewage disposal
facilities. Furthermore, Sampson (2006), Lersch (2007), Brunton-Smith and Jackson (2012) and
Landman (2012) in Owusu (2016) expound that unplanned urban areas with their socio-
economic indicators of poverty and deprivation can facilitate crime or the fear of crime. Since
poor urban areas are often characterised by high unemployment rates, social fragmentation,
crimes and social disruptions tend to produce high criminal behaviour (Sampson, 2006 in
Owusu, 2016).
The spread of HIV/AIDS is linked to prostitution which arises as a result of poverty. The spread
of the virus is entrenched in the socio-economic framework in which men have more social,
economic and legal status and access as compared to women, who lack access to these aspects.
Baker and Schuler (nd) expound that this feminisation of poverty shows the rude manifestation
of inequality and deprivation that is still faced by women, a fact that is shown by poverty
indicators that identify that many female headed households live below the poverty line.
Destitution
Urban areas are now hubs for homeless people. The cause for this could be attributed to lack of
community or household mechanisms that keep families together. According to Akinluyi (2014),
homelessness is aggravated by tenacious population increases, breakdown in the traditional
family structure, inadequate housing, natural disasters and uncontrolled urban growth.
Oftentimes, concentrations of poor people in urban areas tends to be less planned, Grant (2010)
states that governments become less responsive to the needs of the people, more sore to the
needs of homeless people. Grant (2010) postulates that not only are homeless people stigmatised
and blamed for their own poverty, but society deprives them of socio-economic and political
capital and they are prone to violence from others.
The ability to build back better
Poorly functioning land markets, urban collapse and poor public transportation push low-income
households to settle in disaster-prone areas (Moser, Moser and Winton, 2005). For example, in
Cape Town’s informal settlements, annual floods continue to disrupt the livelihoods of people
leaving them poorer than they were and prone to unhealthy living conditions. The poor are at
heightened risk from disasters because of the more hazardous locations in which they live and
the lower quality of their dwellings. Baker (2013) states that poor people living in slums are at
high risk from the impacts of climate change and natural hazards because they live in vulnerable
areas. They live in these areas because of the high costs attached to living in better living
conditions.
Furthermore, the overcrowded living conditions and weak infrastructures render the natural
hazards disasters because of the increased vulnerability of poor people (World Bank, 2000 in

Moser, Moser and Winton, 2005). When disasters occur to these places, the people are unable to
successfully restore their lives and they continue to spiral into a deep pit of poverty because of
the destruction to their homes, loss of livelihoods, diseases and loss of lives that are part and
parcel of disasters. In most cases, governments also do not adequately help these people, for
example, Haiti still has not recovered from the 2010 earthquake with people still homeless
despite billions of dollars that are being poured into the country. The poor are also less able to
recover from natural disasters, both because of their lack of resources and because of public
policies that may favor economic infrastructure in wealthier or more business-oriented parts of a
city. Satterthwaite (1997) expounds that urban poverty also includes the deprivation of assets that
help households to cope with shocks, stresses and rehabilitation.
Basic services and issues of access
The apathetic, hostile and indifferent attitude that prevails toward slums and the less affluent
sections of urban society as well as the informal settlements contributes to the under-provision of
basic services. While urban residents tend to have better access to such services than rural
dwellers, there is reason to be cautious of such assessments. Sattertwaite (1997) asserts that there
is no universal standard of adequate water and sanitation facilities, for example, so what may be
recorded as adequate in China may be classified as inadequate in South Africa. Consequently,
the above is a fitting qualifier for one to make a claim that basic infrastructure is inadequate in
informal settlements. Water supply and wastewater disposal are generally deficient. Most people
live in unhygienic conditions, often in overcrowded rooms or housing units. This results in high
rates of infection and illness that are worsened by the fact that basic health services are either
inadequate or too expensive for residents. Even when urban residents do have access to services,
they are often more expensive than equivalent services in the rural sector. For example, it is not
uncommon for poor people in urban areas to have to purchase water, one of life’s most basic
necessities, at exorbitant rates. In Nairobi, according to Hardoy et al. (2001), residents living in
under-serviced areas pay up to eleven times more for water sold by private vendors than those
who have access to piped water, while in Dhaka the figure is closer to twenty-five times more.
Furthermore, although a smaller percentage of urban than rural residents may go without basic
services, the consequences of limited provision can be more severe in cities, due to risks of
accelerated disease transmission in densely populated areas.
It can be argued that the unprecedented increasing pattern of urban poverty in all developing
countries seems to be a consequence of substantial urbanisation and mounting numbers of new
mega cities (Ravallion, 2007). Consequently, the high rapidity of urban population increase
stimulates snags for government predominantly in handling urbanisation problems in terms of
satisfying the demands of public service provisions such as infrastructure, decent housing, and
job opportunities (Elhadary and Samat, 2012).
Ways to minimise the characteristics of urban poverty

Some scholars have proposed several poverty reduction measures and strategies which might be
relevant to redress incidences of poverty in urban areas. To increase assets or income of urban
poor, Satterthwaite (1997) suggests employment creation which is supported by adequate public
infrastructures and services, provided credit or microfinance for small-scale industries, education
and vocational training.
To minimise urban poverty, the role of the government should be seen through the improvement
of housing and basic services, job creation, access to education and access to legal systems
(Satterthwaite, 1997). Satterthwaite (1997) asserts that governments must uphold human rights,
including the rights of poor people to be able to call on the government and politicians for
resources and services. In this regard, even the urban poor deserve security and policing in their
areas to control crime and violence.
The role of the government further emerges in tackling homelessness. Harris-White (2005) in
Grant (2010) proposes that destitution be institutionalised through laws and policies because
there tends to be high levels of mental health and drug abuse among the homeless. On the other
hand, the laws that are meant to help reduce homelessness also tend to make it worse. For
example, homeless children that are sent to shelters often find a way to return to the streets.
Resources that are poured into shelters often end up disappearing due to corruption. Hence,
government must play a huge role in ensuring the proper management of institutions that take in
homeless people.
Areas that are less favourable for human settlements should be either improved or closed off for
settlements. Government can provide housing for the poor in areas that are fine for human
settles, away from hazard prone and polluted areas. However, Hardoy and Satterthwaite (1989)
in Satterthwaite (1997) speculate that many housing systems that were meant to benefit the poor
end up benefiting middle- and upper-income groups. For example, RDP houses that are meant to
benefit people living in informal settlements in South Africa end up benefiting people that can
afford to pay for these houses and the poor continue to live in their horrible conditions.
A fresh trend, motivated principally by civil society organisations and the donor community, is
the development of community-managed service delivery structures that connect residents to
municipal officials in co-operative partnerships. For instance, CARE (2006) say that, water
supply, hygiene sanitation and solid waste management initiatives have been employed in cities
in Asia and Africa with some success, when community representatives and local governments
can come together on equitable terms. However, effective partnerships depend on a willingness
and capacity on the part of governments and development agencies to engage on issues that
affect poor people living in urban areas. They also require collective action, leadership and a
degree of technical knowledge on the part of low-income urban communities themselves or the
intermediary organisations with which they work.

Another response to urban poverty and vulnerability according to Soto (2000) is to formalise
informal settlements by offering greater security of tenure to their residents. Proponents of this
approach claim that by improving tenure security, poor people can unleash the hidden potential
of their existing assets and invest their way into a better life. This idea has gained much currency
in policy circles but it is not without problems and has been challenged by many practitioners on
the ground (Oxfam GB Research Report, 2007).
Payne (1997) is of the idea that at the local level, formal titling schemes can serve to reinforce
existing imbalances of power by favouring the wealthy, well-educated and well-connected
members of society who can manipulate the process to seize land or extort money from the less
fortunate. There is also a significant danger of marginalising women in places where women
traditionally do not have the right to “own” land or are without the knowledge or connections to
take advantage of land-titling processes. UN-Habitat’s policy paper (2003) on women and
gender points to the importance of land, housing and property rights for women’s livelihoods in
cities. It draws attention to the important link between women’s poverty, inadequate housing,
exclusion from land ownership and inheritance, as well as lack of access to credit due to the
absence of collateral.
Conclusion
Characteristics of urban poverty such as volatile and very low incomes, inadequate social
security systems and poor social infrastructure characterise the living conditions of the poor,
regardless of where they live. However, urban poverty also has several distinctive characteristics
which require specific measures to overcome it. The role of the government is key in the
implementation of measures to minimise urban poverty.
3.9 CLIMATE CHANGE

Examine Siri Eriksen’s Sustainable Adaptation theory?
ATTEMPT
Introduction
 Sustainability is defined as maintaining wellbeing over a long or indefinite period.

 Sustainable adaptation is an approach to climate change adaptation that emphasises the
importance of development pathways built on strong sustainability.
 It is based on an understanding of adaptation not as a single formal or informal measure
but as a process involving the interaction between decisions and practices by many actors
to manage climate change as a part of multiple socio-environmental changes facing them
(Eriksen,2013).

 In terms of climate change, adaptation has been defined as the process or adjustments
through which people reduce the adverse effects of climate on their health and well-
being, and take advantage of the opportunities that their climatic environment provides.
Other definitions have argued more forcefully that adaptation includes the reduction of
vulnerability (Smit et al., 2000; Debels et al., 2009).
 These definitions are summarized in the Intergovernmental Panel on Climate Change
(IPCC) definition of adaptation: the adjustment to practices, processes and systems in
order to ameliorate negative effects and take advantage of opportunities associated with
climate change (IPCC, 2007).
 Sustainable adaptation thus considers the wider effects of adaptive responses on other
groups, places and socio-ecological systems, both in the present and in the future.
 Sustainable adaptation can be considered necessary in response to three problems
highlighted in the vulnerability literature.
First, climate change is a global problem that affects both current and future generations, and
responses must be sensitive to both spatial and temporal consequences. Adaptations taken to
benefit one sector or group may undermine the security and well-being of others, such as by
influencing resource access and the integrity of ecosystems that many people depend upon for
their livelihoods (Eriksen et al., 2005).
Second, widespread poverty makes many individuals, households, communities and states
vulnerable to even small shocks and stressors. The tendency of poor people to be highly
vulnerable to climate change is often used as a justification for implementing adaptation;
however, whether or not the proposed adaptation measures will actually assist poor groups is
seldom assessed. Since not any and every adaptation intervention reduces poverty and inequality
(and some poverty reduction measures may aggravate vulnerability), sustainable adaptation
measures need to specifically target links between vulnerability and poverty (Eriksen and
O’Brien, 2007; Eriksen et al., 2007).
Third, the need to drastically reduce global greenhouse gas emissions and facilitate a rapid
transition to low-emission economies suggests that adaptation measures should emphasize low-
emission solutions. Responses to climate change can thus be seen as a means for promoting
alternative development pathways, such as transitions to low-carbon economies, organic
agriculture and horticulture, agroforestry, ecological sanitation, water harvesting, water
purification by the use of solar energy, alternative modes of transport, decentralized renewable
energy supply, recycling or participatory plant breeding (Ulsrud et al., 2008; Winkler and
Marquand, 2009).
Key principle 1: recognize the context for vulnerability, including multiple stressors

In order to develop measures that contribute to sustainable adaptation, it is necessary to address
the structural and contextual factors that create vulnerability, such as poverty, overcrowding and
social inequity. Measures also need to include an understanding of how livelihood dynamics
form part of the vulnerability context. For example, support from friends and relatives and
personal savings explain how a large proportion of disaster victims cope with its immediate
impacts. Sustainable adaptation measures must be sensitive to the need to sustain such support
networks. At the same time, however, measures would also need to address the vulnerability
context in the long term by complementing household mechanisms and addressing some of the
structural processes.
This could be achieved, for example, by facilitating livelihood diversification and formal support
systems that could relieve the stress on social networks in times of disasters. This first principle
of sustainable adaptation involves broadening responses to recognize, and where possible
address directly, the context in which climate change is experienced. This context includes
stressors such as the marginalization of urban dwellers in terms of infrastructure, services and
income opportunities, as well as physical developments that threaten environmental integrity and
exacerbate flood risk.
Key principle 2: acknowledge that different values and interests affect adaptation outcomes
Values and interests play an important yet seldom discussed role in climate change responses,
and they influence the adaptation strategies that are prioritized by different groups (O’Brien,
2009). Recognizing potential value conflicts can help to identify how adaptation responses taken
by one group may affect the vulnerability context of other groups. Strong vested interests within
particular adaptation strategies may act as a barrier to sustainable types of adaptation.
For example, the adaptive responses that distribute risk across market and subsistence production
in Ghana may in fact prioritize the maintenance of the status quo formen, at the cost of women’s
self determination (Carr,2008). Sustainable adaptation may thus involve a more transparent
political process that creates enabling conditions and access to information that supports
decision-making for adaptation. For example, linking democratization and empowerment efforts
with those of adaptation can potentially address differing and often conflicting adaptation
interests (Eriksen and Lind, 2009).
Key principle 3: integrate local knowledge into adaptation responses
The third principle of sustainable adaptation for both urban and rural contexts; shows the
importance of generating local knowledge and integrating it with other sources of knowledge in
order to develop successful responses to climate change and empower local decision-making.
Local knowledge in disaster risk management is critical for reducing vulnerability among the
poorest, and can be combined with policy efforts to address social equity and vulnerability. Any

policy intervention to strengthen adaptation and reduce risk would need to recognize community
participation in disaster prevention and response and strategies for living with environmental
variability (Wisner et al., 2004; Eriksen et al., 2005; Pelling and High, 2005; van Aalst et al.,
2008).
Recognizing and acting on an unusual level of rainfall, the community made use of both past
experience and knowledge about which areas would be most exposed and which people would
be hardest hit. Rather than waiting for external warning and help, people organized a refugee
camp, evacuated vulnerable community members and took turns to protect houses against
robbery (Aldunce et al., forthcoming). Faced with recurrent extreme events, the Aguïta de la
Perdiz community has shown itself capable of generating social learning, and the population has
a high level of risk awareness and knowledge about the physical environment and potential
vulnerability. This in turn has resulted in proactive behaviour in terms of well organized
community participation and leadership in disaster response, and improved capacity to adapt to
climate extremes. The high degree of social learning enabled people of Aguïta de la Perdiz to
assist neighbouring communities in their response and recovery, both during the 2005 deluge and
in other disasters. The key role of autonomous adaptation and local knowledge in adapting to
climate variability and change has been frequently illustrated in rural contexts (Eriksen et al.,
2005; Eakin, 2006; Reid and Vogel, 2006; Ziervogel et al., 2006).
Key principle 4: consider potential feedbacks between local and global processes
The fourth principle of sustainable adaptation – recognizing the interactions between local and
global processes –involves broadening responses from narrow short-term goals to instead
helping to transform society through enhanced resilience and flexibility in the face of
uncertainty, accommodating diverse needs, and recognition of both positive and negative
feedbacks from local measures.
Winter sports and leisure activities such as skiing and skating are ingrained in the Norwegian
national identity. A warming climate has led to deteriorating snow and ice conditions, especially
since the 1970s. In the Oslo region, inhabited by a fifth of the country’s population and where an
estimated 80% use the forests for recreation (Berg, 2004; Vaage, 2004), the number of days with
skiing conditions are projected to decline by 40% from the 1981–1999 period to 2050 (Iversen et
al., 2005). A transformation of recreational activities and ways of defining national identity may
be required in the long term.
However, current adaptations in the face of warming conditions appear to focus on

preservingexisting activities through ‘controlling’ local environmental conditions in the short
term in the face of changing weather conditions, often in ways that involve increased energy use.
For example, the municipal authorities and sports clubs now produce large quantities of artificial
snow and ice. In western Oslo, for example, there are now plans to construct the country’s

biggest artificial ice rink to enable people to skate despite warming winter conditions. Those
opposed are concerned about local increases in traffic, noise and light pollution. Completely
absent from the debate, however, are concerns about the global climate with respect to the
increased emissions that result from the energy used in producing artificial ice. The main
climatic consideration in the debate was the potential for local cooling due to the artificial ice.3
At this instance, local adaptation is clearly not placed in a global context. There is little
awareness on how the effects of local adaptation responses, through local and global linkages
and feedback processes, in turn affect global warming.
Sustainable adaptation in the case of Norway would involve both drastic cuts in GHG emissions
to reduce future deterioration of snow conditions as well as transformation towards new types of
recreation and cultural identities. In the current framing of the climate change problem, however,
local weather and responses are treated as isolated from global changes. Such an approach may
reinforce a dominant complacency regarding Norway’s ability to adapt its way out of climate
change (O’Brien et al., 2006) and stifle public and policy engagement for addressing climate
change.
Explain the impacts of climate change on the livelihoods of the rural populace in Southern
Africa.,
OCT/JUNE 2016 Q4
ATTEMPT
Definition
Climate change
 is a long term change in the average weather patterns that have come to define earth’s
local, regional and global climates.
 These changes have a broad range of observed effects that are synonymous with the term
Impact of climate change
1. Impacts on weather patterns
Flooding
Flooding is the most prevalent disaster in North Africa, the second most common in East, South
and Central Africa, and the third most common in West Africa (AWDR, 2006).
In North Africa, the 2001 disastrous flood in northern Algeria resulted in about 800 deaths and
economic loss of about $400 million. In Mozambique, the 2000 flood (worsened by two
cyclones) caused 800 deaths, affected almost 2 million people of which about 1 million needed

food, 329,000 people were displaced and agricultural production land was destroyed (AWDR,
2006).
Drought
Between July 2011 and mid-2012, a severe drought affected the entire East Africa region and
was said to be “the worst drought in 60 years.”
2. Impacts on Water Supply and Quality
Observable effects of climate change on water resources in Africa include: flooding, drought,
change in distribution of rainfall, drying-up of rivers, melting of glaciers and the receding of
bodies of water.
West Africa
Entire economies suffer when the water levels of Africa’s huge rivers drop. Ghana, for example,
has become totally reliant on the hydro-electric output of the Akosombo dam on the river Volta.
Mali is dependent on the river Niger for food, water and transport. However, great stretches of
the river is now facing environmental devastation as a result of pollution. In Nigeria, half the
population has no access to clean water.
Mount Kilimanjaro Glaciers
The gradual yet dramatic disappearance of the glaciers on Mount Kilimanjaro is a result of
climate change (IPCC, 2001). The glaciers act as a water tower and several rivers are now drying
up. It is estimated that 82% of the ice that capped the mountain, when it was first recorded in
1912, is now gone. (IPCC, 2001)
kilmelting
3. Impacts on Agriculture and Food
Across Africa the landscape is changing. Droughts, heat stress and flooding have led to a
reduction in crop yields and livestock productivity.
East Africa is facing the worst food crisis in the 21st century. According to Oxfam, 12 million
people in Ethiopia, Kenya and Somalia are in dire need of food. Rainfall has been below average
with 2010/2011 being the driest year since 1950/1951, a serious problem for a continent almost
entirely dependent on rain for its agriculture.
livestock
4. Impacts on Human Health

Climate-sensitive diseases and health impacts can be high in poor countries that have minimal
resources to treat and prevent illness. Examples of climate related health impacts include:
Frequent and severe heat stress linked to sustained increases in temperature
The reduction in air quality that often accompanies a heat wave can lead to breathing problems
and worsen respiratory diseases.
Impacts of climate change on agriculture and other food systems increases rates of malnutrition
and contributes to poverty — “With one in four people still undernourished in sub-Saharan
Africa, climate change impacts make it even more difficult for governments across the region to
improve food security and help reduce tensions.”
The spread of Malaria may increase in areas projected to receive more precipitation and
flooding. Increases in rainfall and temperature can cause spreading of dengue fever
5. Impacts on Shelter
Severe flooding and intense droughts has led to the destruction of many homes, shelters and
villages across Africa. Conflicts over resources also exacerbate these impacts and, in turn,
contribute to the ongoing migration within and between countries in Africa.
Extreme events displace large amounts of people, especially those who are unable to respond and
rebuild after disasters, due to lack of resources.
“South Sudan refugees residing in a UN camp are living in knee-deep, sewage-contaminated

floodwater, forcing some families to sleep standing up so they can hold their children out of the
water.”
6. Impacts on Vulnerable Population
Women, children and the elderly are more vulnerable to climate change impacts across Africa.
Women labourers often experience additional duties as caregivers and as well as from societal
responses to climate change after extreme weather events (eg, male migration).
The water scarcity places an additional burden on African women, who walk hours and
sometimes even days, to fetch it. (IPCC, 2014)
Children and the elderly face graver risks due to susceptibility to infectious diseases, such as
Malaria, limited mobility and reduced intake of food. The elderly face physical danger and even
death due to droughts, heat stress and wildfires. Children often die from starvation, malnutrition,
diarrheal diseases and flooding. (IPCC, 2014)
7. Impacts on National Security

Climate change impacts have the potential to exacerbate national security issues and increase the
number of international conflicts. Conflicts often occur over the use of already limited natural
resources, fertile ground and water. Access to consistent and dependable sources of water is
greatly valued in many African regions. However, changes in the timing and intensity of rainfall
have threatened water availability and are causing conflicts over this limited resource (IPCC,
2014).
“A United Nations report predicts that access to water may be the single biggest cause of conflict
and war in Africa in the next 25 years. Such wars are most likely to be in countries where rivers
or lakes are shared by more than one country.”
A young man from the Nyangatom tribe patrols a water access point on the border between
Ethiopia and Kenya. The site is one of ongoing conflict between the Nyangatom, the Kenyan
border police, and the Turkana tribe. (Image © vassar.edu)
The changes in precipitation and temperature are already affecting crop yields in Sub-Saharan
Africa. This has resulted in food shortages, that have triggered cross border migration and
intraregional conflicts, which has sparked political instability in Nigeria for example.
8. Impacts on ecosystems
Climate change has already led to changes in freshwater and marine ecosystems in eastern and
southern Africa, and terrestrial ecosystems in southern and western Africa. The extreme weather
events have demonstrated the vulnerability of some of South Africa’s ecosystems. The migration
patterns, geographic range and seasonal activity of many terrestrial and marine species have
shifted in response to climate change. The abundance and interaction among species has also
changed (IPCC, 2014).
Despite the fact that the African continent has contributed the least to anthropogenic factors
causing climate change, Africa is the worst hit.
3.10 VULNERABILITY
Discuss Martha Fineman’s Vulnerability Theory.
ATTEMPT
Introduction
- Martha Fineman’s vulnerability theory views the human condition as one of

universal and constant vulnerability.
- The implication is that we are all born defenceless, become feeble, must fear
natural disasters, and might be failed by social institutions.

This write up gives an overview of Fineman’s vulnerability theory outlining the
-
key elements of the theory which are rejection of the liberal subject, universality,
constancy, complexity, and particularity.
Key elements of the theory
Rejection of Liberal subject
- First and foremost, the vulnerability theory rejects the more traditional and common
liberal subject in favour of a vulnerable subject.
- The liberal subject in this context is a subject perceived by the conceptions of liberalism
that support the assumptions of American individualism and/or the belief that individuals
are distinctly separate, autonomous components of society who are capable and
ultimately responsible, through rational choice, of determining and controlling the
direction of their lives (Rich, 2018).
- On the contrary, the vulnerable subject is driven by two the presence of universal and
constant vulnerability and the large role institutions play in our lives.
- Busby and James (2010) add that the vulnerable subject does not have the power to
dictate the course of life through independent choices.
- Fineman’s vulnerability theory is thus built upon the realization that many (physically or
psychologically harmful) events are ultimately beyond human control (Cooper, 2015).
Universality
- The universality element of Fineman's definition is based upon her seeing everyone as
having the shared condition of being vulnerable. In other words, vulnerability theory
conceives of vulnerability as a universal part of the human condition (Cooper, 2015).
- In simple terms, everyone is vulnerable. For example, consumers lack the information
necessary, on their own, to prevent them from consuming a harmful product, and as such
consumers cannot possibly know the names and functions of the ingredients in the food
they buy, and the chemical compounds in the medicine they take, even the experts are
still vulnerable to a certain extent (Rich, 2018).
- The recognition of the universality of vulnerability encourages comprehensive
approaches by private and public institutions to addressing inequality and vulnerability
(Kohn, 2014).
Constancy
- Constancy of dependency on others is another important element of vulnerability theory

is the constancy of dependency on others.
- The constancy element conceives of vulnerability as a state of constant possibility of
harm and unavoidable dependency on each other and on the state.
- Rich (2018) notes that vulnerability is experienced constantly and people cannot escape
vulnerability as they are vulnerable from birth until death because people are unavoidably

embedded in a variety of dependencies. Thus, events such as a natural disasters (Cyclone
Idai in Chimanimani) and diseases (COVID-19), and in some instances there is nothing
we can do to completely eliminate our susceptibility to harm (Rich, 2018)
Complexity
- Fineman and Grear (2013) state that vulnerability is complex as it can manifest itself in
multiple forms.
- There are myriad ways that people could be physically, mentally, relationally,
institutionally, or otherwise harmed (Cooper, 2015).
- More so, these harms can interact with one another to exacerbate our vulnerabilities. This
means that simple physical harm can itself create harms to people’s relationships, and
these relationships could be with other people or with institutions.
- Vulnerability is thus the possibility of injury to both oneself and one's relationships.
The goal of vulnerability theory, in the simplest terms possible, is to argue for a more responsive
state. Resting on the values of fairness, a more genuine equal opportunity, and a positive
conception of liberty, vulnerability theory puts forth a powerful argument in favour of increased
government intervention.
Particularity
- Brown (2013) adds that the particularity of the human condition is meant to explain
complexity without reference to identities.
- Kohn (2014) add that according to the vulnerability theory, people differ in their
embodiment and social location within webs of economic and institutional relationships.
- This implies that having a different social status changes how a person or a group of
people are treated (Busby and James, 2010).
- In other words, variation or difference among humans means that there are particular
experiences of vulnerability.
- The first way in which particularity affects vulnerability is in embodied differences as
people are particularized by physical, mental, intellectual and other variations.
- Fineman (2017) acknowledges that such variations are not socially neutral, and historical
reaction to some human variations, particularly race and gender, has led to the creation of
hierarchies, discrimination, and even violence.
- However, Fineman insists that continuing to use differences in embodiment to define
who is vulnerable obscures the reality of universal vulnerability and stigmatizes those
groups (Rich, 2018).
- The second way that particularity affects vulnerability in Fineman's analysis is through
social location.

- In this case, our differential locations within relationships with other people and
institutions structure our options and create opportunities.
- Thus, social location is so important because institutions provide us with access to
resources such as education for addressing our vulnerabilities (Cooper, 2015).
- Proponents of the vulnerability theory suggest that identities are not especially important
because social location is key to acquisition of the resources to address vulnerabilities.
Criticism
- Nonetheless, critics of particularity argue that the particularity of vulnerability seems to

necessitate identities analysis.
- Consequently, this means that particularity has and will continue to be defined largely by
identities.
- In addition, Cooper (2015) notes that contrasting multiple identities with systems of
power does not hold up as identities have been a means of distributing resources that cut
across social institutions.
- Due limited resources, the state must prioritize certain issues but the vulnerability theory
explicitly goes against targeting specific vulnerable groups, and it is primarily because of
this lack of ability to prioritize that vulnerability fails in regard to its specificity
(Richman, 2018, citing Kohn, 2014).
- Martha Fineman’s vulnerability theory does not account for privilege. Cooper (2015)
calls for a vulnerability theory that includes identities as an aspect of complexity and
particularity by incorporating a theory of privilege. The benefits of a privilege, which is
an unearned asset automatically conferred by the operation of social norms that favour
one’s identity, are often invisible, even to their holders (Cooper, 2015). Proponents of
this argument strongly argue that the analysis of privilege will fit well within
vulnerability theory and better explain who is benefitted by social norms. In other words,
adding privilege analysis to the vulnerability theory will help explain how systems of
power both benefit some identities and make others more vulnerable.
Conclusion
In short, Martha Fineman’s vulnerability theory views the human condition as one of universal
and constant vulnerability and that all human beings are born defenceless, become feeble, must
fear natural disasters, and might be failed by social institutions.
3.11 MINING
What is small scale mining? Examine the laws that govern mining in Zimbabwe. What are the
problems bedeviling the mining sector?
ATTEMPT
Introduction

- Mining can be described as a process used to extract valuable resources from the ground.
- In a wider sense it includes extraction of any non-renewable resource such as petroleum,
natural gas, or even water (Aubynn, 2009).
- Modern mining activities are generally divided into either small scale or large scale
mining. These two categories employ different methods of mining.
- All these processes are regulated by Acts of Parliament and attendant regulations.
What is small scale mining?
- It is also used interchangeably with artisanal mining (ASM) without any definitional
distinctions (Aubynn, 2009)
- This is often in the informal sector.
- Stocklin-Weinberg et al (2019) describe small scale mining as referring to small groups
and individuals engaged in low-cost and labor-intensive excavation of minerals using
minimal mechanization.
- In small scale mining, according to Berger (1982), activities are characterized by various
forms of leasing, where miners either share the profit from the concession, sell minerals
to other small scale mine owners or form joint-ventures and cooperatives.
- While under normal circumstances, in Zimbabwe, small-scale miners are licensed,
operate on small pieces of land and required to market their produce through Fidelity
Printers, a subsidiary of the Reserve Bank of Zimbabwe, there are multitudes of illegal
small scale miners who practice their trade without any regularisation or licence from the
regulatory agencies.
- Small scale mining is very important to socioeconomic development. As noted by Hilson,
(2016), this type of mining offers employment to thousands of the unemployed youths,
supports government revenue in the form of taxes and foreign exchange earnings, and
serves as a reliable source of income in many poor rural communities (Fisher et al.,
2009). The World Bank estimates that approximately 100 million people worldwide
depend on Small Scale mining for their livelihood (World Bank, 2013).
Examine the laws that govern mining in Zimbabwe.
- All mineral resources in Zimbabwe are vested in the President who administers their
extraction and use through various commissions and state bodies according to the law.
- The norm is that the mineral resources are held by the state on behalf of the people of the
country.
- One acquires the right to search for and work the resources by obtaining a licence.
Mines and Minerals Act (Chapter 21:05)
The Minerals Corporation of Zimbabwe Act (21: 04)

Gold Trade Act (Chapter 21:03)
Precious Stones Act (Chapter 21:06)
Chamber of Mines of Zimbabwe Incorporation (Private) Act (Chapter 21:02)
Base Minerals Export Control Act (Chapter 21:01)
Environmental Management Act (Chapter 20:27)
Explosives Act (Chapter 10:08)
Forestry Act (Chapter 19:05) and Communal Land Forest Produce Act (Chapter 19:04)
Water Act (Chapter 20:24)
Mines and Minerals Act (Chapter 21:05)
- This is the Act that vests the rights to minerals in the President.
- The Act also provides for the establishment of Mining Affairs Board.
- In Part IV, it outlines the acquisition and registration of mining rights; highlighting issues
such as acquisition of prospecting licences, mechanisms for conflict resolution in disputes
between land owners and prospectors, reservations against prospecting and pegging as well
as obligations on partnerships and companies.
- It also outlines the rights of claim holders and land owners. In the same vein , the law
provides for the control on the siting of works on mining locations as well as forfeiture of
unregistered locations.
- In Part XXV the Act lists offences and penalties. The offences include for example illegal
pegging, cutting of wood in a concession, altering of beacons and pegs, false declarations and
eviction of squatters.
- Every provision in the Act applies equally the same to everybody in the mining industry in
Zimbabwe.
Explosives Act (Chapter 10:08)
- The Explosives Act regulates and controls the acquisition, possession, delivery, storage,
use, and handling of explosives including those used in mining activities.

- This is the law that is used to regulate the use of explosives such as dynamites used in
blasting rock in mines. This is done by all players including small scale miners in the
country.
- The Act defines explosives as gunpowder, dynamite, gun-cotton, blasting powder,
detonators, fuse and every other substance used to produce a practical effect by
explosion. It also goes on to qualify any other substance or device declared by the
President, by statutory instrument, to be an explosive for the purposes of this Act.
- It outlines several aspects to do with Explosives as most of the mining operations are
achieved through the use of explosives.
- Part II of the Act outlines talks about the prohibition of purchase of explosives, their
purchase, possession and delivery without relevant explosives permits.
- It also outlines the conditions and licenses under which a person can be given authority to
manufacture explosives. The other areas covered under this Act include storage, use and
conveyance of explosives.
- The mining industry can not do away with explosives hence the need to regulate them to
ensure they do not pose any danger to the people including the miners themselves. If not
regulated, explosives can also pose a threat to state security.
Gold Trade Act (Chapter 21:03)
- This is the law that regulates dealings in gold including disposal by persons authorized to
possess it.
- It also outlines acquisition of gold by licence and permit holders, what registers of
transactions to be kept by licensees or permit holders.
- It is also used to prohibit the possession of gold by unauthorized persons, and for other
purposes connected with the foregoing.
- Just like all the Acts in the mining industry, the Gold Trade Act has a part on offences
and powers of various officials including the Police and judicial officers.
Precious Stones Trade Act (Chapter 21:06)
- This Act is the legal provision that regulates the possession of and dealings in precious
stones.
- It controls the acquisition, sell, and pledge or exchange precious stones in Zimbabwe.
Environmental Management Act (Chapter 20:27)
- This Act provides for the sustainable management of natural resources and protection of the
environment.
- It is also used for the prevention of pollution and environmental degradation by miners, both
small scale and bigger companies.
- This Act has the following Regulations that bind all players in the mining industry including
small scale miners:

Air pollution Control regulations [SI 72/2009]
Control of Hazardous Substances [SI 268/2018]
Effluent and Solid Waste Regulations [SI 6/2007
Forestry Act (Chapter 19:05) and Communal Land Forest Produce Act (Chapter 19:04)
- These Acts are administered by the Forestry Commission. They make it an “offence to
cut, injure, remove and collect any forest produce without authority or to move firewood
from one place to another without a timber movement permit issued by the Forestry
Commission.
- Though the Communal Land Forest Produce Act allows inhabitants of a particular
communal land to exploit forest produce for own use but not for commercial purposes,
this does not apply to small scale mining players who need to abide by the dictates of
environmental conservation.
What are the problems bedeviling the mining sector?
Environmental impacts
Mining operations usually create a negative environmental impact, both during the mining
activity and after the mine has closed. Miners often become incentivized to mine quickly,
sell fast, and rapidly move on to new sites. These practices have devastating economic and
environmental consequences.
The environmental impacts include erosion and deforestation of protected areas, biodiversity loss
and water pollution from dumped tailings, alluvial river damage, acid rock drainage and river
siltation. These have knock on effects for health such as contaminated drinking water, stagnant
water that attracts mosquitos thereby increasing malaria.
Leakages of mineral resources to other countries
The small scale mining sector remains largely informal and rife with criminal activity. The
majority of diamond and gold exports flow through illegal channels, depriving governments of
revenues. For example the Henrietta Rushwaya (President of the president of the Zimbabwe
Miners Federation) was recently arrested for attempting to smuggle gold out of the country.
[reference]
Massive corruption

Nothing much has been recorded by treasury as mining royalties despite people being involved
in mining all over the country. The late former President RG Mugabe indicated that almost $15
billion disappeared from Chiyadzwa diamond fields.
Politicisation of the mining sector
This has a tendency of weakening government institutions. In the small scale mining sector,
institutions such as EMA, Police and the Courts have been weakened to the extent of failing to
reign in on some of the small scale miners who have caused massive land degradation and
committed serious crimes. It took time and a lot of lobbying for political intervention stop the
violence in mining areas purportedly caused by machete wielding groups popularly known as
Mashurugwi
Exploitation
Artisanal miners labor under archaic and difficult working conditions. They live in extreme
poverty, often receiving far much less than the retail price of the stones they extract.
Poor abidance of Rules and regulations by miners.
Small Scale mining activities are often viewed negatively by governments, environmentalists,
health practitioners and others. Concerns range from the use of child
labour and the potential for environmental damage (particularly through the use of mercury in
gold mining), violence, social disruption and conflict sometimes caused by ‘rush’ operations, the
high incidence of prostitution, and the spread of HIV/AIDS.
At the extreme, most governments consider the sector illegal and attempt to ban it through
different means. In the case of Zimbabwe, there many operations carried out by security forces
such as Operation Chikorokoza Ngachipere. In most cases the small scale mining activities fall
outside the regulatory framework hence law enforcement agencies simply Vulnerability
Vulnerability according to Wisner (2004) is a group’s particular characteristics or situation that

influences their ability to anticipate and overcome shocks and hazards. People are vulnerable
when they have limited ability to overcome unpredictable crises and shocks such as
environmental degradation and worsening terms of trade.
Small scale mining is itself a livelihood that exposes its participants to vulnerability. For
example, unstable mineral prices create vulnerability for those relying on mining as their main
livelihood. Price fluctuations affect a household’s ability to pay for food, schooling, health, and
other basic needs. Small scale mining communities are vulnerable to exploitation in trade, to
criminal activity as well as to increasing health risks (as few have access to local hospitals and
clinics).

Marginalisation
Murphy (2010) says that some small producer agency are described by their degree of
marginalisation than the size of their land. He says that the same approach can be applied to
artisanal and small-scale miners, regardless of their exact size or level of mechanization.
Small Scale miners face the same marginalisation as other ‘small-scale sectors. Many miners
operate in remote regions with poor transport and market access. They continue to suffer
geographical marginalisation. This makes them less able to access information, key technologies
and inputs. It also leads to political marginalisation, as communities far from the capital or
‘centre’ are less able to influence policy and keep ‘in sight of policymakers.
They may also be marginalised in terms of access to markets. They are forced to sell through Use
of child labour
Small scale mining is one of the worst industries that use child labour. It is the worst in putting
children at risk because of widespread and severe hazards that include death, injury and disease
(International Labour Organisation 2005).
In small scale mining areas, children undertake arduous activities such as heavy lifting, digging,
ore haulage and transport from as young as six years old. Some even work underground. Some of
these children are even involved in prostitution, drug and alcohol abuse and violence.
In the early 2000s the ILO estimated a million children were artisanal miners throughout the
world. This number is likely to have increased with the decline in economic performance of
many countries especially in sub Saharan Africa.
Pollution
Erosion of soils and mine wastes into surface waters For most mining projects, the potential of
soil and sediment eroding into and degrading surface water quality is a serious problem. Because
of the large area of land disturbed by mining operations and the large quantities of earthen
materials exposed at sites, erosion can be a major concern at hard rock mining sites.
Consequently, erosion control must be considered from the beginning of operations through
completion of reclamation. Erosion may cause significant loading of sediments and any
entrained chemical pollutants to nearby water bodies.
Impacts of mining projects on air quality.
Airborne emissions occur during each stage of the mine cycle, but especially during exploration,
development, construction, and operational activities. Mining operations mobilize large amounts
of material, and waste piles containing small size particles are easily dispersed by the wind.

Habitat loss
Wildlife species live in communities that depend on each other. Survival of these species can
depend on soil conditions, local climate, altitude, and other features of the local habitat. Mining
causes direct and indirect damage to wildlife. The impacts stem primarily from disturbing,
removing, and redistributing the land surface. Some impacts are short-term and confined to the
mine site; others may have far-reaching, long-term effects. The most direct effect on wildlife is
destruction or displacement of species in areas of excavation and piling
of mine wastes. Mobile wildlife species, like game animals, birds, and predators, leave these
areas. More sedentary animals, like invertebrates, many reptiles, burrowing rodents, and small
mammals, may be more severely affected.
Way Forward for Small Scale Mining in Zimbabwe (Recommendations)
Formalising the Sector
Provision of incentives for mitigating environmental impacts of this extractive sector. When
artisanal and small-scale miners’ rights to prospect and dig are formalised and secure, they are
more likely to sell through legal channels, enabling the government to track the origin of
minerals and prevent them from fueling conflict.
Assistance by bigger players in the industry
Large mining companies can contribute to safer and more productive small scale mining by
assisting the miners to form cooperatives that can access land legally. They can also assist by
sharing health and safety expertise and introducing new technologies. Mining corporations
benefit in turn through the minimisation of security risks, managing reputational risks and
contributing to a ‘social license to mine’ by maximizing community development opportunities.
The police must target criminals, the machete gangs, not small scale miners who carry tools of
trade.
Government must not ban artisanal mining but promote decriminalisation of artisanal mining, an
important source of livelihoods for millions of people in Zimbabwe. A special permit for
artisanal mining proposed by the mining technical working group on ease of doing business
offers a great starting point.
A multi-stakeholder committee must be established to probe violence in small scale mining

areas. Further a sustainable multi-stakeholder engagement platform dialogue on small scale
mining which involves relevant government ministry, political parties, industry, the security
sector, civil society must be established.

Government must move with speed to improve mineral resource governance in Zimbabwe in line
with the aspirations of the Africa Mining Vision and other international frameworks OECD
guidelines on due diligence for responsible mineral supply chains and to re-join LBMA.
3.12 RESOURCES
What is natural resource governance in the context of wildlife?
What are the laws that govern wildlife and forestry?
ATTEMPT
What is natural resource governance in the context of wildlife?
Natural resource governance refers to the norms, institutions and processes that determine how
power and responsibilities over natural resources are exercised, how decisions are taken, and
how citizens – women, men, indigenous peoples and local communities – participate in and
benefit from the management of natural resources
Why a focus on natural resource governance?
The effectiveness and equity of governance processes critically determine both the extent to
which ecosystems contribute to human well being and the long-term prospects for successful
conservation of nature. Securing rights and sharing power and responsibilities through
strengthened natural resource governance benefits both people and biodiversity. Thus,
governance is a necessary foundation for a just world that values and conserves nature and
contributes to the achievement of global sustainable development goals.
Governance is considered within the framework of power, process and practice and how these
shaped peasant access, control and use of natural resources.
CAMPFIRE aimed to change the governance of wildlife, seeking to integrate local communities
into the wildlife and natural resource management governance. The program is a culmination of
1998 amendment of the National Parks and Wildlife Act of 1975 where the minister was
empowered to give rural district councils appropriate authority over wildlife in their areas of
jurisdiction, (Murphree 1991). The introduction of CAMPFIRE resulted in a reduction of
poaching incidences. The communities had a greater appreciation of the wildlife resources
because they felt they had a stake in conservation and they benefited from capacity building
initiatives. Maveneke noted that community members were trained at village, ward and district
levels. Those who were trained included community workers, monitors, problem animal
reporters, guards, wildlife scouts and professional hunters. The local people elect those who go

for the training and they determine their responsibilities. The locals also receive management
training in aspects such as basic book-keeping (income and expenditure relationships), project
planning and implementation, as well as monitoring and evaluation.
The CAMPFIRE programme has worked with several partners that had different responsibilities.
These partners were all members of the CAMPFIRE Collaborative Group (CCG). Zimbabwe
Trust (ZIMTRUST) carried out capacity-building programmes. The Centre for Applied Social
Sciences (CASS) at the University of Zimbabwe used to carry out baseline social surveys and
training for monitoring. The World Wide Fund for Nature (WWF) carried out ecological
surveys.
Africa Resources Trust (ART) focused on international linkages, while Action Magazine was
involved in environmental curriculum development. The Ministry of Local Government
provided basic policy guidelines on rural development through the RDCs.
What are the laws that govern forestry in Zimbabwe?
1 The Forest Act: Chapter 19:05
The Forest Act establishes the Forestry Commission which is responsible for the management of
forest land and forest estates in the country. The Commission has of late established a
commercial entity under its portfolio known as Allied Timbers which is responsible for
processing wood into timber for various purposes. As a result, the Commission is more
concerned about timber-based forest produce because that is where most of their revenue comes
from.4 The Act also deals with the appointment of forest officers by the Minister whose duties
are to enforce the provisions of the Act, including those relating to access to forest areas and
possession of forest produce. Section 85 of the Act deals with wrongful possession of forest
produce and authorizes the Police and Forest Officers to confiscate any forest produce which
they reasonably suspect to have been wrongfully acquired and to arrest the person found in
possession of such produce.
2 The Communal Land Forest Produce Act; Chapter 19:04
The Act deals with the management of forest produce that is found within communal lands and is
critical for rural women because of their location in the communal areas of the country. It is the
Act that is widely used to determine access to and control of forest produce by rural women. The
Act defines forest produce as:
“all vegetation whether dead or alive in a plantation, woodland and forest and any part whether
alive or dead of any such vegetation including wood, bark, seed, fruit, gum, resin or sap”.

It goes on, however, to distinguish between major forest produce and minor forest produce with
major forest produce being defined as trees, palms and bamboos or any part thereof other than
flowers, leaves, fruit or seed. Access to major forest produce is subject to more stringent
conditions compared to minor forest produce although both are subject to a strict access and
control regime. In terms of Section 4 of the Act:
“the inhabitants of any communal land shall have the right within that communal land to exploit
for their own use any forest produce”
except major forest produce which requires a permit, even if its being exploited for personal use.
Forest produce that is exploited by the inhabitants of communal areas by virtue of their being
inhabitants of the producer locality cannot be sold and cannot be given to any other person who
is not an inhabitant of that communal area. In addition, once a permit has been granted to another
person to exploit certain forest produce, then no other person is entitled to exploit such produce.
In terms of Section 5, the Minister responsible for the environment may issue a license to any
person to exploit any forest produce within a communal area. Section 7 allows the Minister to
issue permits for the exploitation of forest produce in protected forests, while Section 8 allows
the Minister to issue permits for the exploitation of reserved trees. Forest produce acquired in
terms of a permit or license may be sold or given to a non inhabitant of the producer community.
3 The Environmental Management Act: Chapter 20:27
The Environmental Management Act is the key piece of legislation dealing with environmental
management in Zimbabwe. The Act’s formulation process started in 1994 and ended in October
2002 with the enactment of the Act in an attempt by government to comply with the provisions
of the Rio Declaration on Environment and Development.
Key environmental management principles that are contained in the Rio Declaration form the
basis of the Act. Of relevance to this study is the recognition by the Act of the need to:
“Secure ecologically sustainable management and use of natural resources while promoting
justifiable economic and social development” (Section 4 (1) (c ) (ii))
and that
“Environmental management must place people and their needs at the forefront of its concern”
(Section (4) (2) (b))
This shows a clear and laudable move away from previous environmental legislation (that
focused on the protection of the environment to the detriment of people who were denied access
to its resources) towards the recognition that environmental resources should be used by people
for their economic and social development. If properly and adequately implemented, this
provision can be of critical importance to women who depend on forest produce and other
environmental resources for their sustenance because it encourages sustainable, responsible and
ecologically friendly use of these resources, as opposed to total preservation and non-use.
4 The Communal Land Act: Chapter 20:04
The Communal Land Act vests all communal land in the President who shall permit it to be
occupied and be used in terms of the Act (Section 4). This means that rural people do not have
any title over the land that they occupy and therefore have to abide by the many regulations that
are put in place in the use of and access to communal land. Because the resources on the land are
inextricably bound up with the land itself, communal people cannot freely access forest produce
which is deemed to belong to the landowner, in this case, the presidents/state (Mcnamara and
Bradley, 1993).
5 The Traditional Leaders Act: Chapter 29:17
The Traditional Leaders Act gives traditional leaders powers to manage the environmental and
natural resources within their areas of jurisdiction. Section 5 deals with the duties of chiefs and
some of these duties include the following:
• Ensuring that land and its natural resources are used and exploited in terms of the law (section
5 (1) (l)).
• Controlling the indiscriminate destruction of flora (plants) and fauna (animals) (section 5 (1) (l)
(iii)).
• Preventing the degradation, abuse or misuse of land and natural resources in their area (section
5 (1) (l) (iv)).
The Chiefs can delegate some or all of these duties to the Headmen or Village Heads under their
jurisdiction. This explains the active involvement of traditional leaders in environmental
management in the rural areas.
What are the laws that govern wildlife in Zimbabwe?
The principal Acts governing wildlife conservation and utilization include the Parks and Wildlife
Act, Chapter 20:14; the Rural Districts Council Act, Chapter 29:13; and the Indigenisation and
Economic Empowerment Act, Chapter 14:33.
1.1 The Parks and Wildlife Act [Chapter 20:14] 1996
This is the pivotal Act with respect to wildlife management in Zimbabwe. The Act includes the
following sections:
1. Parks and Wildlife Board

2. Parks and Wildlife Estate and Parks and Wildlife Land
3. National Parks
4. Botanical Reserves and Botanical Gardens
5. Sanctuaries
6. Safari Areas
7. Recreational Parks
8. Specially Protected Animals
9. Specially Protected Indigenous Plants
10. Indigenous plants
11. Hunting, removal, viewing and sale of animal products
12. Protection of animals and Indigenous plants on alienated land
13. Fish Conservation
14. Evidence, prevention and detection of offences and additional penalties and forfeitures
15. Inspectors, Officers, employees and advisory committees
16. General
Act also defines the different types of land (Alienated land):
a) “Private Land” means land the ownership of which is vested in any person other than the
President.
b) “State Land” means land vested in the President other than Communal Land or trust land
vested in the President.
c) “Trust land” means any land, other than Communal land held in trust by the President or a
statutory body or by a person, whether solely or jointly with others, by virtue of his being the
holder of some office in a statutory body.
It is also through this Act that various legal entities are granted authority over wildlife outside the
Parks Estate. This is defined as “Appropriate Authority” in the Act. These authorities include
private land-owners (where the land is held under an agreement of purchase or lease), forest land

(such as Forestry Commission estates). For Communal Land, the Rural District Councils (RDC)
may be appointed the Appropriate Authority. The Minister of Environment grants this authority,
with input from the Zimbabwe Parks and Wildlife Management Authority. If appropriate
authority is not granted, the authority remains vested in Central Government.
This Appropriate Authority clause in the Act, paved the way for the implementation of the
Communal Areas Management Programme for Indigenous Resources (CAMPFIRE).
1.2 Wildlife Based Land Reform Policy
The Parks and Wildlife Act is also supported by a Policy for Wildlife, which was developed in
1992 and later revised in 2004 to cater for the Land Reform programme. The revised policy is
known as the Wildlife-Based Land Reform Policy.
The vision is to ensure profitable, equitable and sustainable use of wildlife resources, particularly
in areas where agricultural potential is limited.
In the Wildlife-Based Land Reform Policy it states that “the policy has been developed in the
context of Zimbabwe’s Land Reform Programme and is underpinned by recognition that wildlife
is a viable land-use option, that it can facilitate attainment of equity objectives and that it is
feasible. This policy is complemented by existing natural resources legislation and the state
protected area system.”
The policy also states that the key issues that were taken into consideration were;
� The state will continue to make provision for wildlife management outside the protected area
system, including setting aside certain core zones for wildlife production. In these areas wildlife
should be the only permitted primary land use option.
� Outside core zones, wildlife production, amongst other land use options, will be encouraged.
In these areas the most profitable and ecologically sustainable land use option must be allowed to
evolve in response to changing economic influences, notwithstanding the need to ensure food
security.
� The scale of wildlife operations must be allowed to vary from intensive to extensive,
depending on agro-ecological settings.
� All beneficiaries of wildlife operations, whether individually or jointly, must equitably share
the costs of production.
� Wildlife Management responsibility and authority must be devolved to the most appropriate
level for efficient resource management and production incentives must be maximized for
landholders.

� Security of tenure over resources is key to successful wildlife-based land reform.
These core areas should be identified.
The aims of the Wildlife-Based Land Reform Policy are listed as:
a) To facilitate the indigenisation of the wildlife sector and to ensure more equitable access by
the majority of Zimbabweans to land and wildlife resources and to the business opportunities that
stem from these resources.
b) To maintain a proportion of land outside state protected areas under wildlife production.
c) To enhance diversity of land uses through wildlife production.
d) To promote secure and equitable tenure.
e) To develop and implement appropriate institutional arrangements for wildlife-based land

reform.
The policy recognizes that wildlife production can be at different scales (spatial). The scale is
dependent on a number of factors that include the type of wildlife, management regime and
ecological conditions. Three categories are highlighted in the policy:
a) Intensive production systems with captive or semi-captive species such as crocodiles and
ostriches
(1 – 100 hectares).
b) Semi-intensive to semi-extensive production systems with free-ranging “plains game”

populations
(1,000 to 10,000 hectares).
c) Extensive production systems incorporating “big game” populations (over 10,000 hectares).
According to the Wildlife Based Land Reform Policy, two approaches to land redistribution will
be promoted;
1. A state leasehold approach which is based on the reallocation of leasehold leases.
o This approach entails the acquisition of the entire land-holding with compensation for
infrastructure, wildlife, etc.,
o The land will be reallocated to lessees under terms and conditions that will ensure sustainable
wildlife management, on-going investment and capacity-building in that area.

2. A corporate equity model that involves transfer of shares within a land-owning company.
o The transfer of shares will be in accordance with the Indigenisation goals and sound business
principles;
o Proposals from stakeholders must outline realistic ways in which new entrants can increase
their shareholdings well beyond an initial level, over a reasonable time scale.
o The proposals must make provision for immediate allocation of shareholdings to new
participants.
The Policy document also acknowledges that:
a) The two approaches can be applied in combination and shall be considered on a case by case
basis; and
b) the state may from time to time consider other approaches that meet the objectives of the
Wildlife
Based Land Reform Policy.
A very important recommendation is made in the policy document with respect to the gazetted
maximum farm sizes. It is noted that the current maximum farm sizes as defined in Statutory
Instrument 288 of 2000, are based on agricultural activities rather than wildlife-based activities.
In the Policy, it is recommended that a technical review be undertaken on the issue of maximum
farm sizes in order to address the issue of wildlife production. It is not clear whether this
recommendation has been acted upon.
1.3 The Rural District Councils Act Chapter [29:13] 2002
The Rural District Councils Act is important in the wildlife sector as it provides for a legal entity
(in Communal Lands) responsible for wildlife resources. Since the land in Communal areas is
not privately owned by the communities and given that most of the communities do not
constitute a legal entity, the Appropriate Authority status is conferred to the Rural District
Councils (RDCs). Thus the RDCs act as custodians of the wildlife resources on behalf of the
communities.
Efforts are now underway in some areas to form Community Development Trusts. There is
scope for these Community Development Trusts to be used as vehicles to further devolve
authority from the District level to the sub-district level, which will provide more income at a
community level and therefore increase conservation support from the community as they will
have a true vested interest. This model is used successfully across Africa. The feasibility of
granting Appropriate Authority to these Trusts in Zimbabwe needs to be assessed and piloted.

The major challenge with these Trusts is that of financial sustainability as they do not have
adequate funds to cater for their activities. Capacity-building of all Trust members is also a key
requirement to ensure institutional sustainability.
In the Rural District Councils Act, there are three key terms that will be described further: Ward,
Ward Development Committee and Communal Land. According to the Act, a “Ward” (an
administrative unit) means a ward into which a council area is divided or re-divided. Several
villages make up a ward. In the Act, a “Ward Development Committee” means a village
development committee established in terms of Section fifty eight of the Act. A Ward
Committee is made up of members who are elected from the community to represent the
community in discussions/meetings with the Rural District Council. The Act further defines
three different types of Wards. These are, Commercial Ward, Communal Ward and Resettlement
Ward. The Commercial Ward is a large-scale commercial ward or a small-scale commercial

ward. A Communal Ward is a ward consisting wholly or mainly of Communal Land. A
Resettlement Ward is a ward consisting wholly or mainly of Communal Land (as in the case of
the Communal Ward). It is important to establish whether in practice, the RDCs make this
distinction of the wards or whether they are all considered simply just as wards.
The “Communal Land” is defined a:
a) any land that is Communal Land in terms of the Communal Land Act [Chapter 20:04]; and
b) any other land that was within the area of a district council on the 19th August 1988.
2.4 The Indigenisation and Economic Empowerment Act [Chapter 14:33] 2007
This is a more recent Act in comparison to the Acts discussed prior. The general objective of this
Act is: “To ensure that at least fifty-one per centum of the shares of every public company and
any other business shall be owned by indigenous Zimbabweans.”
It should be noted that the Act also provides a temporary waiver of this general objective. The
waiver (of the 51% requirement) is that “...may prescribe a lesser share than fifty-one per centum
or a lesser interest than a controlling interest may be acquired by indigenous Zimbabweans in
any business referred to in subsections 1(b)(iii), 1(c)(1), 1(d) and (e) in order to achieve
compliance with those provisions, but in so doing he or she shall prescribe the generalmaximum
time frame within which the fifty-one per centum share or the controlling interest shall be
attained.”
The Act also provides for the establishment of a Board and a Trust, described in more detail
later. Some key definitions in the Act need to be included in this report in the context of this
study.

“Indigenisation” means a deliberate involvement of indigenous Zimbabweans in the economic
activities of the country, to which hitherto they had no access, so as to ensure the equitable
ownership of the nation’s resources.
“Indigenous Zimbabwean” means any person who, before 18th April 1980, was disadvantaged
by unfair discrimination on the grounds of his/her race and any descendant of such person, and
includes any company, association, syndicate or partnership of which indigenous Zimbabweans
form the majority of members or hold the controlling interest.
“Employee share ownership scheme or trust” means an arrangement the dominant purpose or
effect of which is to enable employees of a company or group of companies to participate in or
receive profits or income arising from the acquisition, holding, management or disposal of the
stock, shares or debentures of the company or group of companies concerned provided that a
management share ownership scheme or trust shall not include a share option scheme operated
for the benefit of any managerial employee . The text in italics was inserted in the Indigenisation
and Economic Empowerment (General) (Amendment) Regulations, 2010 (No. 2).
Under the Act, there is an Indigenisation and Economic Empowerment Board (IEEB). The Chief
Executive Officer of the Board is ex officio and other Board members (not less than eleven and
not more than fifteen members) are appointed by the Minister of Youth Development,
Indigenisation and Empowerment after consultation with the President.
The functions of the Board are;
a) To advise the Minister on the Government’s indigenisation and economic empowerment

strategies.
b) To advise the Minister on appropriate measures for the implementation of the objectives of
this Act.
c) To administer the Fund in terms of this Act (i.e. the Indigenisation and Economic
Empowerment Fund).
d) To oversee compliance with the Charter.
e) To perform such other functions as may be conferred upon the Board under this Act or any
other enactment.
According to the Act the Board is supposed to submit to the Minister an annual report upon
matters the Board has dealt with during the previous year. The Minister, will in turn submit the
report to Parliament.

Provision is made in the Act for the establishment of a Fund known as the National
Indigenisation and Economic Empowerment Fund. The five objectives of this Fund are:
a) To provide financial assistance to indigenous Zimbabweans for any of the following purposes:
i. the financing of share acquisitions;
ii. the warehousing of shares under employee share ownership schemes or trusts; and
iii. management buy-ins or buy-outs.
b) To provide finance for business start-ups, rehabilitation and expansion.
c) To finance market research in connection with the objectives of the Act.
d) To finance capacity-building projects on behalf of indigenous Zimbabweans.
e) Any other purpose which the Minister considers will promote the economic empowerment of
indigenous Zimbabweans.
The availability of adequate funding is very important if the Board is to fulfil its mandate.
The Act further states that the assets and liabilities of the National Investment Trust of
Zimbabwe were transferred to a special account of the National Indigenisation and Economic
Empowerment Fund called the “Unit Trust Account.”
The main subsidiary legislation to this Act is Statutory Instrument 21 of 2010; Indigenisation and
Economic Empowerment (General) Regulations, 2010. The regulations stipulate that businesses
with an asset value of or above five hundred thousand United States dollars (US$500,000) need
to comply with the requirements of these regulations.
The regulations also provide details on the extent to which procured goods and services (by non-
indigenous companies or businesses) are to be subcontracted to indigenous Zimbabweans. The
regulations also provide details on how an employee share ownership scheme or trust that
complies with Section 14 of these regulations may be taken into consideration when assessing
the extent to which a business that is a company has achieved or exceeded the minimum
indigenisation and empowerment quota (i.e. 51%).
WHO IS BENEFITING FROM THESE RESOURCES?

To ensure that communities living in natural-resource rich areas are key beneficiaries of those
resources, the Constitution sets out a number of very progressive provisions regarding benefit
sharing. The campfire programme has registered remarkable success in generating income at

district level and in some instances has developed to be the cash cows of rural district councils.
The revenue base of most rural district councils, which were characteristically lean, registered
increases in some cases by four folds, (Murphree 1991). Rural district councils formed national
CAMPFIRE councils to try and lobby for their interest at political centers and also to try and
capitalize on the wave of success generated. Beside the financial benefits there were a host flow
of other benefits that were accrued from CAMPFIRE programmes and they include, game meat,
money for projects and control of problem animals, (Madzudzo 1998). The model below
summarizes those that benefit from the Campfire.
3.13 INDIGENOUS KNOWLEDGE SYSTEMS

How viable is small grains production as a climate change production as a climate change
strategy?
ATTEMPT
Introduction

Climate change is one of the biggest threats facing humankind today and is already having
adverse impacts in Zimbabwe, particularly in rural areas where the majority of the population
(67%) lives and mostly depend on agriculture-based livelihoods (Apraku, Moyo, & Akpan,
2018a & Apraku, Akpan, & Moyo, 2018b; IPCC, 2014; Dube & Phiri, 2013; ZIMSTAT, 2013;
Adger, Huq, Brown, Conway, & Hulme, 2003). There are increasing calls for the production of
small grains, such as sorghum, millet, and rapoko instead of maize production in order to
enhance food security against the background of climate change in Zimbabwe (Gukurume,
2010). The Food and Agriculture Organization (FAO) & International Crops Research Institute
for the Semi-Arid Tropics (ICRISAT) (2008) argue that sorghum and millet have the potential to
contribute towards food security in many of the world’s poorest and most food insecure agro-
ecological zones like Zimbabwe. It has been argued that sorghum and millet have the potential to
improve household food security in semi-arid regions because of their adaptability to such
environments (Taylor, 2003).
The case for small grains (viability)
The rationale for a shift from maize production to small grain production is premised on a
number of scientific reasons. Firstly, sorghum and millet are believed to be more ecologically
compatible with semi–arid areas compared to maize because of their drought tolerance (Dube,
Mlilo, Moyo, Ncube, & Phiri, 2018; FAO, 2008). It is on the basis of their strong adaptive
advantage to climate change and lower risk of failure in comparison to maize that they are
advocated for. Secondly, Mukarumbwa and Mushunje (2010) postulate that small grains require
little input during growth and with increasing world populations and decreasing water supplies,
they will be important crops for future human use. Thirdly, Chazovachii, Chigwenya, and
Mushuku (2012) highlight that finger millet grows in a wide range of climatic conditions. It has a
long storage life and is seldom attacked by insects and molds. Small grains’ long storage life
makes them important as a risk avoidance strategy in food security (Chazovachii et al., 2012).
Small grains also serve other functions besides addressing the key issue of food insecurity.
Gukurume (2013) asserts that they can be used for non-alcoholic beverages and for beer brewing
in traditional ceremonies. However, despite these positive attributes of small grains within the
context of climate change, their uptake is very low among smallholder farmers in climate change
affected districts such as Tsholotsho and Gwanda in Zimbabwe (Dube et al., 2018). This paper
explores why smallholder farmers are resisting scientific advice to adopt small grains like
sorghum and millet.
Grain production trends in Zimbabwe
The study found out that contrary to efforts to promote small grains, small grain production in
Zimbabwe has actually been progressively declining over the past 14 years (Chanza, 2018;
Gukurume, 2013; Nhemachena, Mano, Mudombi, & Muwanigwa, 2014; Taylor, 2003). The
decrease experienced has been both in area and production. The Crop and Livestock Assessment

report for the 2012/2013 season indicated very low national average productivity levels of
sorghum (0.32t/ha), pearl millet (0.3t/ha), finger millet (0.24t/ha), against the expected level of 2
to 4t/ha. Finger millet has been decreasing sharply every year as most farmers are no longer
willing to grow the crop. Improving productivity of small grains is the key to food and nutrition
security in the context of climate change and variability (Matthew, 2015; Ndlovu, Mpofu, &
Moyo, 2019; Nhemachena et al., 2014). As already indicated climate change and variability has
led to increased frequency of drought and extended dry spells in both marginal and high potential
areas (Dube & Phiri, 2013; Kebede & Nicholls, 2012; Songok, Kipkorir, Mugalavai, Kwonyike,
& Ngweno, 2011). The decline in the production of small grains may be attributed to the low
incentives being given to farmers who produce it. These incentives out-compete the small grains
on farming land available. The government has also been funding to produce high yielding maize
varieties and also providing free maize seed to smallholder farmers.
Sorghum and millet are important cereals for the maintenance of food security in Africa (Food
and Agriculture Organization (FAO) & International Crops Research Institute for the Semi-Arid
Tropics (ICRISAT), 2008; Muchuru & Nhamo, 2019; Taylor, 2003). Taylor (2003) notes that
this is because of their high levels of adaptation to African conditions that small grains constitute
half the total of cereal production on the continent and as such could be a major source of protein
for the population if cultivated. However, despite these arguments, households in Zimbabwe
continue to prefer the production of maize.
1. Labor constraints of cultivating small grains
Smallholder farmers in Zimbabwe face labor-related challenges in sorghum and millet

production which lead them to prefer maize production. These challenges include the heavy
burden of cultivating sorghum and millet in comparison to maize. Alumira and Rusike (2005)
and Matthew (2015) reveal that rising labor costs in small grain production have affected most
farm operations, from land preparation, weeding, bird scaring to harvesting and grain processing.
In addition, the ease with which maize can be processed compared to the traditional staples of
sorghum and millet is the other reason why maize became widely accepted in Zimbabwe’s semi-
arid regions during the green revolution (Alumira & Rusike, 2005; Matthew, 2015). An elderly
research participant echoed that:
Conservation farming (Gatshompo) is unsuitable for the elderly farmers. Digging holes and
removing weeds at least three times is not what they are used to. Although in my opinion, the
yields are higher than on conventionally tilled land- the intense labour involved is simple a
deterrent. They cannot cope especially in the face of a scorching sun. (Household respondent 7,
Phumula ward).
Alumira and Rusike (2005) further assert that even under semi-arid conditions, it might be very
difficult for small grains to compete with maize. This is because sorghum and millet do not yield

much crop residue, which plays a very important role in smallholder farmers in terms of animal
feed and crop manure. Similar observations were noted by Wilhite, Hays, and Knutson (2005)
that livestock depends upon crop residues for survival during the winter, mainly from maize
stalks. Small grains do not offer fodder for cattle, unlike maize which feeds both the farmers and
their livestock. Consequently, smallholder farmers continually have an inclination towards maize
production.
According to (Chanza, 2018; Rukuni & Eicher, 1994; Scoones, 1998) higher labor costs in both
cultivation and processing and poor technology, are another reason for the non-adoption of small
grains. They further argue that lack of improved varieties and credit, weeds, pests, and diseases
limits the adoption of small grains as a strategy for climate change adaptation. Maunder and
Tembo (2006) argue that in Tanzania, poor cultural practices, lack of improved varieties,
diseases and pests, limited uses, unpredictable markets, and limited research hamper the adoption
of small grains. Carney and Ashley (1999) listed lack of good varieties, weeds, lodging, disease,
and moisture stress in dry areas as the contributory factors for a lack of interest in small grain
production. In Kenya, the challenges to small grain production were low research priority,
limited uses, and difficulty in management, lack of improved varieties, poor crop husbandry,
competition from other crops with better economic returns, and lack of commercial food
products (Chambers & Conway, 1992).
2. Quelea birds
Small grains production is unattractive to smallholder farmers because the crops are much prone
to consumption by quelea birds. Taylor (2003) argues that small grains face a major challenge of
depredations of the quelea birds on sorghum and millet than does on maize. Many people are
reluctant to grow millet and rapoko in fear of huge flocks of voracious +red-billed quelea birds
that have the potential to wipe out crops resulting in low yields (Dhliwayo, 2007). The red-billed
quelea bird is a major pest of small grain crops in Zimbabwe both on irrigated wheat and barley
in the winter and on sorghum and millet in the summer. The red-billed quelea birds have been a
continuing challenge on small grain crops in Zimbabwe. One of the respondents from the
household interviews remarked that:
Our sorghum and millet are labour intensive because of the quelea birds. From the month of
March to May we have to guide our fields from 6am to 6pm daily. We use whips, mud stones and
also burn moist leaves to drive them away. All other domestic chores are suspended during that
period. If you fail to guide the field, the crops will be completely destroyed. The quelea birds are
really a menace. (Household respondent 2, Dlamini ward)
The intensity of the challenges of these birds is concentrated in low- and middle-veldt areas in
both the north and the south of the country. While for the period January to April, these birds
feed on the ample wild grass seeds and insects, they sometimes have an impact on rain-fed crops

in particular, sorghum, millet, and rapoko. Locals know these birds very well and use various
scaring methods against them. However, these methods do not deter birds from flocking onto the
crops. Over the years, the problem of these birds on small grain crops has been reduced by
apparently changing to maize, a crop which these birds do not eat. Moreover, smallholder
farmers prefer maize productions which are prone to attacks by baboons and wild pigs which are
easier to chase away. Therefore, a major reason for the non-adoption of small grains by farmers
is the constant monitoring of the fields due to the quela birds which is a deterrent for the
production of small grains (Dhliwayo, 2007; Matthew, 2015).
3. Quantity of yields produced
According to (Sukume, Makudze, Mabeza-Chimedza, & Zitsanza, 2000; Brazier, 2015) the
production of maize continues to dominate in Zimbabwe’s semi-arid regions compared to small
grains as it offers higher yields. They further note that low yields of small grains have acted as a
major obstacle and challenge for smallholder farmers in Zimbabwe’s semi-arid regions to expand
and adopt production of small grains on a large scale compared to maize. This lower productivity
causes small grains to be very unattractive to communal farmers in the semi-arid regions (Food
and Agriculture Organization (FAO), 1995). Therefore, small grains face a major challenge of
low yields per hectare compared to maize hence most farmers prefer to grow maize regardless of
the region in which they are in. A household interview participant remarked that:
I would rather concentrate on planting maize rather than pearl millet. It is more profitable than
pearl millet. However, our climatic conditions do not favor maize cropping. Maize suffers from
moisture stress compared to pearl millet. Pearl millet is like our president Robert Mugabe. It
survives all adversity. I am forced to cultivate pearl millet over maize due to what you call
climate change. (Household interviews respondent 1, Dlamini ward).
According to sorghum is the third most important cereal crop in Zimbabwe and the principal
food for many Zimbabweans, predominantly those living in semi-arid rural regions (cited in
Winniefridah & Manuku, 2013). Furthermore, Chisvo (2001) argues that in Gokwe area, millet
has become unpopular with the new generation which does not appreciate the advantages of
traditional seed crops in resisting diseases and pests attack (cited in Winniefridah & Manuku,
2013). Tsiko (2007) also concurs and points out that this causes reduced exploitation of
traditional food which may have a better nutritional value than commercial foods. There is also a
social stigma associated with the consumption of traditional foods (Tsiko, 2007). These are
viewed as “poverty crops” making people to turn to them during floods and droughts. New
agricultural practices and urbanization have also reduced the availability of indigenous foods in
Zimbabwe and Africa. This is compounded by the fact that the production processes of small
grain crops are cumbersome; from weeding, harvesting, to post-harvesting processes like
threshing, winnowing, and post process.

4. Lack of government support
Rukuni and Eicher (1994) argue that lack of government support in Zimbabwe for production,
processing, and use of crops that are tolerant to drought has resulted in people in the drier areas
changing their tastes from small grains to maize. Mudimu (2003) asserts that there is no clear
policy promoting small grain crop production amongst smallholder farmers in Zimbabwe’s semi-
arid areas where they are said to have a comparative advantage over maize. As a result, the
production of small grains has been on the decline in Zimbabwe due to policies that favor the
production of maize which is considered a cash crop.
The government has been offering subsidized inputs in the form of mainly maize seeds and
fertilizer to resettled farmers and communal farmers. Nonetheless, Foti, Muringai, and
Mavunganidze (2007) observed that not much benefit has been achieved from the government-
subsidized input scheme, especially in the semi-arid regions because input packages and the
variety that are being issued do not tally with the agro-ecological location of the farmer. These
views are further supported by the Food and Agriculture Organization (FAO) (1995) and Food
and Agriculture Organization (FAO) (2015b) reports which argues that the Zimbabwe
government support measures for small grains have been shown to be relatively minimal
compared to maize, and the latter has encroached into sorghum and millet land. This is despite
studies that have shown that small grains have a comparative advantage in these semi-arid
regions over maize (Alumira & Rusike, 2005; Muchineripi, 2014; Muchuru & Nhamo, 2019;
Mukarumbwa & Mushunje, 2010). Commentators have pointed to the lack of government’s
support on small grains farming as the obstacle to the growth of small grains farming. An
optimal agricultural policy by the government would be one that provides small grains inputs to
farmers on arid lands and maize to those on good rainfall regions. One participant from the
household interview echoed that:
In our ward, seeds and fertilizer is only given to farmers who practice conservation agriculture
(Gatshompo). I understand they were registered and joined a particular group of farmers but I
do not know how because that information was not passed on everyone. So, should we suffer
because we don’t do conservation agriculture? Government should support all of us regardless
of what farming technique we use. (Household respondent 5, Phumula ward)
To support the above citation, an EMA official remarked that:
Availability of small grains seed is still a problem as you will realise that most seed retailers
have more of maize seed varieties compared to sorghum and pearl millet and thus it goes to
show that their supply is unstable. (Key informant, EMA).
Generally, there is a strong incentive for the production of maize rather than small grains which
is prompted partly by government policy and agricultural extension services that target maize

production, aggressive marketing by seed houses and millers, favorable pricing policies and good
demand (Muchuru & Nhamo, 2019; Taylor, 2003). High-yielding maize varieties and technology
are also readily available in comparison to small grains where there is little attention in terms of
breeding and genetic improvement of sorghum and millet crop varieties. Alumira and Rusike
(2005) suggest that if government policies are crafted in Zimbabwe that support the production
of sorghum and millet at the same level as maize, then an increased production in these crops can
be achieved in semi-arid areas.
Similar findings by Rukuni, Tawonezvi, Eicher, Munyuki-Hungwe, and Matondi (2006) show
that lack of government support in Zimbabwe for production, processing and use of crops that
are tolerant to drought has resulted in people in the drier areas changing their tastes from millet
and sorghum to maize. FAO (1995) argued that for sorghum and millet to compete with maize n
in the limited resources of the communal farmers, there is a need for them to outperform maize
in terms of yields. This entails massive investment by government and the private sector in the
development of hybrid sorghum and millet varieties that have higher yields and better taste than
maize (FAO, 1995).
5.5. Lack of knowledge
Farming of small grains like finger millet requires knowledge especially during weeding time as
it tends to have weeds that look exactly like the plant (Gukurume, 2013). To the unpracticed eye,
it is difficult to distinguish, and this may result in pulling out the finger millet leaving out the
weed. Therefore, there is a need for more education among the rural households especially the
young generation (Amnesty International, 2004). Furthermore, due to lack of knowledge, most
farmers do not allocate more inputs to small grains compared to maize. Some grow small grains
in their worst part of cropping land and others do not prioritize time of planting and fertilizer
management (Dube, 2008). This has a negative effect on their production. Many assume that
once the crop is planted, it grows up to harvesting without weed control. Currently, few farmers
use fertilizers on small grains (AGRITEX Tsholotsho, 2017; Mallet & Plessis, 2001). A young
farmer from the study area echoed that:
If I had my way like most of my peers, I would plant and cultivate maize. Sorghum and millet are
cumbersome and an arduous task for me. We are producing sorghum and millet in keeping with
the tradition of the elders and of its suitability in our village. The elders in our village assist us
with the knowledge of producing the drought resistant crops. Otherwise, as the young generation
our knowledge is limited. (Household respondent 10, Phumula ward).
In addition, AGRITEX Tsholotsho (2017); FAO (2008) supports the notion that inputs need to
suit farmer agro-ecological region for better returns to be realized if Zimbabwe is to address its
food insecurity situation through increased agricultural production. Inputs of sorghum and millet
should be distributed to low rainfall areas while inputs of maize should be distributed to high

rainfall areas. Rohrcach and Kiriwaggulu (2007) is of the view that there has been not much
diversification from maize as the dominant source of food in Zimbabwe. Even in drier areas
where small grains can be produced economically and sustainably, maize is the mainstay of
household food security.
6. Consumer preferences
A number of households do not like eating meals prepared using rapoko but prefer eating
isitshwala (Zimbabwe’s traditional staple food) from maize meal. Further, it is noted that not
many people, particularly in the urban areas, like to eat flour from these crops except on
prescription from medical doctors. This is because of their color, taste and flavor and the general
practices and lifestyles in some families. If consumers are reluctant to eat the products of millet,
there is no incentive to produce for them. Instead, the crop is mainly produced and used for
preparing traditional beer brands like Chibuku (Zishiri, undated).
FAO (1995) and Mengistu, Shimelis, Laing, & Lule (2018) also link production constraints
toward sorghum and millet to changing food preferences. The report highlights that as income
rise, consumers tend to purchase wheat, rice, and maize rather than traditional coarse grains. As a
result, smallholder farmers tend to view sorghum and millet production as having lower returns
than other enterprises. Real producer prices for sorghum, millet, and edible legumes dropped
considerably, since the trade liberalization program of the 1990s, compared to that of cash crops
and maize (Macgarry, 1994). This has also acted as a major reason why rural farmers have
shunned small grain production in favor of maize.
The decline in per capita consumption has been influenced by changes in consumer habits, rate
of urbanization, time and energy required to prepare food based on sorghum, condition of
marketing facilities, processing techniques, stability of supplies and relative availability of
sorghum products (Macgarry, 1994; Taremwa, Gashumba, Butera, & Ranganathan, 2016). These
changes in consumption habits have been largely concentrated in urban areas (Food and
Agriculture Organization (FAO), 1995). In addition, national policies in some countries have had
a negative influence on sorghum utilization as food. For instance, large imports of cheap wheat
and rice policies to subsidize the production of these crops in developing countries have had a
considerable negative impact on the production of sorghum (FAO/WFP, 2000; Mengistu et al.,
2018). Smallholder farmers generally prefer dual-purpose crops that can be used for household
consumption and also marketable whenever there is a surplus. Maize serves as a dual-purpose
crop while small grains are not. To substantiate the argument raised above, one respondent
remarked that:
Sorghum and pearl millet meal are generally disliked by people who come from urban areas.
They think it is dirty because of its dark brownish color. Maize meal is white. In addition,
sorghum and pearl millet meal consumption is associated with being very poor and also linked

to suffering from terminal illnesses. This stereotype is predominant especially by some
individuals who are not resident to our area. (Household respondent 3, Dlamini ward)
7. Lack of diverse processing technology
Sukume et al. (2000) have explained the lack of processing technologies as yet another factor
that has hindered the development of alternative formal markets for sorghum and millet. By
using traditional processing technologies, sorghum takes longer to process than maize especially
during harvesting. This factor has reduced its demand even amongst the poorest of the poor
communal households (AGRITEX Tsholotsho, 2017; Mazvimavi, Twomlow, Murendo, &
Tawedzengwa, 2007). Sukume et al. (2000) argue that the difficulty of processing small grains
and the hard labor involved in pounding the grain into flour is a major challenge.
In addition, the processing of maize is much more straightforward than the more labor-intensive
finger millet. Once the grain of maize is removed from the husk, it is dried and then taken to the
hammer mill for processing. However, Muchineripi (2014) reveals that once finger millet is
harvested and separated from the sheath, the hard shell of each grain needs to be removed
manually by pounding the grain. It is then sieved to remove any sand or sediments present. After
this, the grain needs to be roasted and then finally ground into fine powder. If any of these
processes are done wrongly, the outcome is a grainy mealie meal which further perpetuates the
stigma against producing small grains. Unfortunately, this additional work often falls on the
shoulders of women, who contribute to the majority of agriculture labor. While finger millet is
cheap to grow, farmers must be willing to invest the necessary additional time (Muchineripi,
2014). A household respondent exclaimed that:
There is simply no machinery or technology to process sorghum and millet. We rely on the
laborious traditional way of processing sorghum and millet. (Household respondent 15,
Phumula ward)
8. Lack of transportation and storage
According to the Food and Agriculture Organization (FAO) (1995), stockholding-related

constraints also contribute to the negative factors affecting the development of commercial
marketing of the commercial grain stocks for sorghum or pearl millet. Processors must be willing
to purchase and hold these stocks on their own, or they need access to traders willing to take the
risk of holding such inventories. Historically, sorghum and millet stocks were held by
government grain marketing parastatals. However, when markets were liberalized, these stocks
disappeared (though public stocks of maize were commonly maintained). Taylor (2003) further
argues that millers experimenting with the production of sorghum meal in Zimbabwe and
Tanzania have each complained about running out of sorghum grain stocks months prior to the
next harvest. Each country found it difficult to estimate their needs in this evolving market. Since

the costs of holding stocks are high, the proclivity of these processors is to hold more
conservative levels of stocks.
Nhemachena and Hassan (2007) state that smallholder farmers are located in areas where the
transport systems are poorly developed and may not attract investors in strategies such as
irrigation. Their income sources are limited and restricted to agricultural production and hence
strategies that require capital. Therefore, it can be noted that small grain farmers face a problem
of transporting their harvest to the market and also lack of storage facilities by the buyers, pose
as a challenge to small grains as a strategy to climate change (Taremwa et al., 2016).
An Agritex official indicated that:
Transport and storage for sorghum and millet in this district are not a challenge in the context of
scarcity and shortage. The problem is that small grains are locally produced and consumed and
have not yet reached a point of spilling over to that other districts. It is only contract farmers
who have access to reliable transport and storage facilities outside the district since they are
funded by private institutions for the purpose of beer brewing. (Key Informant Interview,
Agritex)
9. Marketing challenges
Marketing opportunities are limited for small grains. There are limited formal marketing
opportunities for the sorghum, millet, and rapoko, although a lot is being done to support the
crops (AGRITEX Tsholotsho, 2017; Gukurume, 2013). The sustainability of seed and grain
production hinges on assured markets. Without them, farmers have little incentive to produce.
Although efforts have been done by some partners to link farmers to niche markets such as
brewing companies—a big consumer of sorghum—as well as non-governmental organizations
involved in seed distribution programs in Zimbabwe, it has not yielded significant results. There
is clearly a lack of infrastructure to market the buying and processing of small grains, especially
in dry areas. It is easily recognizable that there are no shops selling small grain seed; neither are
there efforts to promote the buying of small grains. The lack of incentives, subsidies, storage
facilities, and effective transport arrangements also discourages farmers from adopting these
drought-resistant cereal varieties. A key informant from Agritex commented that:
Farmers in Tsholotsho do not have a facility to market their produce for trade purposes. As
Agritex office we make efforts to encourage them to produce drought resistant crops but do not
go beyond that. This discourages the increased uptake of small grains. The government is yet to
prioritize marketing of small grains country wide. (Key Informant Interview, Agritex)
Rohrcach and Kiriwaggulu (2007) notes that though sorghum and pearl millet are most
commonly consumed in various forms of thin and thickened porridge, industrial processing of
sorghum and pearl millet meal has been relatively limited. In comparison, maize meal is much

more widely produced on an industrial scale—particularly in southern and eastern Africa. There
are many reasons for the dominance of maize in these economies, not least the relatively higher
productivity of maize production in higher rainfall zones. Rohrcach and Kiriwaggulu (2007)
further argues that investments in maize production have also been reinforced by historical
market supports favoring maize, including price supports, and stockholding arrangements. Over
time, these have encouraged the optimization of maize processing systems. Maize now tends to
be more readily available to major millers at prices equal to or less than the price of sorghum.
Relative prices for pearl millet tend to be higher than those for maize. As a result, in many
countries, commercial millers are simply unfamiliar with the processing of sorghum and pearl
millet, and skeptical about levels of demand (Mallet & Plessis, 2001).
The market incentives for smallholder farmers producing small grains are currently not always
there. For instance, Moyo (2011) is of the view that over the past century, patterns of demand
and consumption adapted to these investments, with people becoming increasingly reliant on
eating white maize. Moyo (2011) bemoans the fact that in many rural areas, the price offered to
farmers for small grains by traders is often about 30% of the retail price in towns, whereas it
should be at least 60%. The idea of exporting small grains is not even on the cards. According to
Moyo (2011) capital investment whether domestic or foreign in small grains are almost non-
existent. The only exception to this is when breweries have launched out-grower schemes for
sorghum to produce low-cost beer. The vast majority of private finance and credit in
Zimbabwean agriculture is still targeted at traditional export crops, such as tobacco and cotton,
and the hybrid maize seed industry. In fact, Moyo (2011) further argues that investors are more
interested in importing cheap genetically modified maize into Zimbabwe than investing in
diverse nutritious foods like small grains and pulses. International donors have not appreciated
this reality, nor have they sought to change it.
Muchineripi (2014) observes that in Gutu, a combination of scant agricultural resources and the
over-reliance on maize has meant that many rural communities now consume more food than
they produce. The regulation and politicization of agricultural markets over the past century has
encouraged an assumption that traditional crops no longer have a place in the formal agricultural
economy. Where small grains are found, they are grown sporadically. Smallholder farmers are
too reliant on maize, at the expense of growing a variety of crops like sorghum and millet that
are suited to their natural environment.
Conclusion
This paper has examined the reasons for the low adoption rates for small grains as an adaptation
strategy against climate change in Zimbabwe. The study establishes that there are a plethora of
reasons for the low uptake of small grains as an adaptation strategy to hedge against climate
change. One of the main causes of this low uptake is that small grains production in Zimbabwe is
affected by high labor costs for land preparation, weeding, bird scaring, harvesting and grain

processing compared to maize. Other causes for the general maize preference include lack of
technology, non-availability of fertilizers and poor market infrastructure. These factors have
resulted in farmers finding maize as a more cost-effective crop to grow even in the face of
negative climatic changes. Cultural perceptions have also hindered progress towards a small
grains revolution. Local communities generally regard small grains as being associated with
poverty. This has been a disincentive in their adoption. Lastly, this study also found out that
small-grains generally tend to give comparatively lower yields per land area as compared to
maize. This is because of a general lack of investment into the research and development for
better and higher yielding local varieties of small grains.
Recommendations
The government should take practical steps to teach smallholder farmers in Zimbabwe so that
they know that it is strategic to grow and consume food which is suitable for their environments.
Not only would this increase food security, but would result in economic growth and
development. Further, the government should facilitate and encourage the development of the
commodities market of small grains through partnering with the private sector. This market
would not only assist in price discovery of small grains, but it would create forward and
backward linkages between food processors, financiers, investors, agro-dealers, speculators and
farmers to sustain the market of small grains. This study further recommends that government
and other stakeholders provide funding for research and development into higher yielding and
better tasting small grains varieties that are more acceptable to the market in order to enhance
their uptake as an adaptation strategy against climate change.
How important are indigenous knowledge systems in sustaining the livelihoods of rural
communities?
OCT/NOV 2016 Q6
ATTEMPT
Definition
 Indigenous knowledge systems (IKS) are part of Africa’s heritage, which dates back to
the pre-colonial era when they were developed in order to address various survival
challenges.
The term indigenous knowledge has diverse interpretations and meanings. It is also called local
and/ or traditional knowledge (Odero, 2011). IKS refers to what indigenous people know and do,
and what they have known and done for generations, practices that evolved through trial and
error and proved flexible enough to cope with change (Melchias, 2001 cited by Eyong, 2007:
122). This definition appears to be broad in interpreting the meaning of indigenous knowledge.
Mawere (2015: 59) defined indigenous knowledge as a set of ideas, beliefs, and practices of a

specific locale that has been used by its people to interact with their environment and other
people over a long period of time. Therefore IKS translates to the thoughts and beliefs existing
among the local people to which value is attached and transcended along the lines of descent as
being meaningful and correct in a particular locality.
Matsika (2012, 209-210) defines indigenous knowledge (IK) as:
 ‘the traditional and local knowledge that exists and is developed through the experiences
of the local community in the process of managing the conditions or context that
challenge the people’s everyday life’.
 They form the basis for community-level decision making in areas pertaining to food
security, human and animal health, education and more important in natural resource
management.
Consequently, it is a complex body of knowledge, skills and technology, which belongs to a
particular geographical community (Ndangwa, 2007). Since it is based on practical experiences,
it can be preserved and harnessed for the benefit of both present and future generations, which
live in these communities.
Matsika (2012) goes further to list the main characteristics of IK as:
 A home grown form of knowledge, which is derived from the solution of everyday life
problems
 It is part and parcel of a community’s cultural practices and ways of life
 Often it is not documented but has passed from one generation to another through oral
history
 It is used in solving the immediate problems that confront the community
 As a dynamic form of knowledge, it changes in line with events that may be taking place
in a society, and
 It is always under scrutiny since it is valued for its ability to solve prevailing problems.
According to Ward (1989), IKS in Africa are known by various names such as:
a) People’s science
b) Ethno-science
c) Folk-ecology
d) Village science, and
e) Local knowledge.

IKS have been neglected in most academic and non-academic disciplines. The main reasons for
their marginalization by outsiders (Webster, 1990) include: 92
a) Lack of documentation
b) Cultural prejudice
c) Professional pride
d) Problems of language
e) Political power exercised by outsiders, and
f) The gap between practitioner and academic cultures.
The practical value/importance of IKS in Zimbabwe:
Importance of indigenous knowledge
The World Bank President, James D. Wolfensohn, highlighted the importance of IK during his
addressing of delegates at the World Bank launch for Indigenous Knowledge for Development
Program (IKDK) in 1998. Wolfensohn remarked that, “Indigenous Knowledge is an integral part
of the culture and history of a local community. We need to learn from local communities to
enrich the development process” (Gorjestani, 2000:1). Indigenous Knowledge is an asset which
is controlled by even the poor rural residents. Other than the free control of IK, individuals in a
given area have familiarity with local practices, and this offers the residents natural learning and
adaptation, leading to the empowerment of the local communities. In Zimbabwe for example, IK
has a number of important roles offered in promoting food security. The use of conservation
farming for example, help Zimbabweans to reap good harvests on small portions of land, even
those with poor soils, just because the farming method, focuses on the use of concentrated cattle
manure and rotten tree leaves in the planting basins (Mushonga 2011). On the other hand, IK
help Zimbabweans to achieve food security in that different areas across the country can focus
on crops which are suitable for their respective areas.
Studies done in Gutu district have proved that areas which are generally dry due to low amounts
of rainfall will do well if residents grow small grain crops such as finger millet and sorghum as
opposed to maize which requires a lot of rainfall (Chazovachii, et.al., 2012). The other
Indigenous Knowledge practice which Zimbabwean farmers can adopt is that of intercropping
which is also known as mixed cropping, whereby, people grow different crops on one portion of
land. This practice is done elsewhere across the African continent, in West Africa, where
farmers in Ghana grew cowpeas, millet, sorghum and yams as mixed crops Lewicki, (1974). The
other type of intercropping is called row intercropping whereby two or more crops are grown
simultaneously in a row Dokora (1996). These cultivation methods help to promote food security

in that when one crop fails the other one may be harvested, thus providing food to communities.
Some farmers in Gutu district and many other parts of Zimbabwe practice intercropping and this
has helped in alleviating food shortages
Indigenous knowledge and the environment
a) Land management practices
b) Environmental conservation,
c) Biodiversity preservation, and
d) Maintaining clean environs.
Land management practices
In pre-colonial Shona society, there were three broad types of land use:
a) Arable land (minda)
b) Grazing land (mafuro), and
c) Un-inhabited forests (masango).
While the first type was devoted to the cultivation of crops, the second one provided grazing for
domesticated animals like cattle, goats and sheep. There were specific areas for grazing and
over-stocking was rare due to the abundance of land compared to livestock numbers (Riddell,
1978). According to Duri and Mapara (2007), livestock would be moved from one area to
another in search of greener pastures (transhumance).
Arable land was conserved through cow dung manuring, terracing and rotation or shifting
cultivation (Duri and Mapara, 2007). These practices maintained an ecological balance until the
advent of colonial rule when land dispossession took place resulting in the overcrowding of some
communal areas (Riddell, 1978). Overstocking was quite rare during the pre-colonial era due to
small livestock numbers and high mortality rates caused by such diseases as rinder pest, tick
borne, and foot and mouth.
Although it is a sustainable form of land tenure, communal tenure has been blamed for
encouraging environmental degradation throughout the country. Open access promotes un-
controlled exploitation of resources among peasants. For example, over-population and
overstocking in most communal areas of Zimbabwe have led to massive soil erosion,
deforestation and land degradation (Magadza, 1992). During the pre-colonial era such problems

were rare due to the abundance of land compared to the population, which was stagnant as high
birth and death rates kept it in balance. For example, at the time of colonization in 1890, the
country had less than a million inhabitants (CSO, 2002).
Environmental conservation
Pre-colonial Zimbabweans conserved some natural resources through the use of taboos. A taboo
is ‘any ritual prohibition on certain activities…It may involve the avoidance of certain people,
places, objects or actions’ (Jary and Jary, 1995:677). Some places were regarded as sacred and
could not be molested by human activities. Taboos were used in order to protect or safeguard
certain resources against possible damage. Consequently, they were kept in their natural state for
centuries without being degraded by human interference. Examples drawn from this study
include: mountains, rivers and water bodies, forests, caves and veld resources.
Mountains
Most of them are regarded as the homes of ancestral spirits. Most of them are regarded as the
homes of ancestral spirits. Durika in Chipinge is believed to be characterized by mysterious
sounds of drums. In some cases people are not allowed to climb these mountains without
conducting some rituals. In others, such as Rasa in Gutu visitors should avoid negative language
or speech. Some mountains are considered so sacred that they should not be climbed at all. This
is the case with Nyarushangwe in Chive District, Masvingo Province. Although these beliefs
lack scientific validity, they have been instrumental in the conservation of the mountainous
environments for centuries.
Open access to them would have led to degradation and damage of natural ecosystems leading to
the disappearance of endangered forms of flora and fauna (Chenje and Johnson, 1994).
Forests
Some forests are also believed to be sacred (Table 2). Examples include: Gonakudzingwa,
Chipangai, Chirinda, Chiumbulu, Chisere, and Umguza. Visitors to Chiumbulu are not allowed
to divulge what they see lest they risk madness. At Chiseure, they should avoid the use of vulgar
language, gossip, plucking down fruits or using smelly soap when bathing. They should also clap
their hands before drinking water and never smile as long as they are in the forest. Chirinda
Forest is ever green due to its rainy climate. This is because its ecosystem has not been disturbed
by human activities.
The forest around the Great Zimbabwe Monuments near the city of Masvingo is also regarded as
sacred and is protected against human interference. Consequently, its vegetation is more natural
compared to that in surrounding communal areas, which are overcrowded, overgrazed and
deforested.

Rivers, water bodies and natural caves
Some rivers, water bodies and natural caves are also regarded as sacred. Rivers include: Save
(Buhera), Runde (Mwenezi), Mvumvumvu (Chimanimani), Musirizwi (Chipinge) and Musairezi
(Shurugwi). Water bodies such as: Lake Kariba (Zambezi River), Lake Chivero (near Harare),
Manjerenje Dam (Chiredzi) and Lake Mutirikwi (Masvingo) are also believed to be sacred as
they are associated with mermaids. People who violate their taboos risk mysterious
disappearance into the water bodies. Consequently these natural resources have to be treated with
great caution and respect, a fact which accounts for their preservation. Waterfalls, which are
regarded as sacred in Zimbabwe are: Victoria (Zambezi River), Bridal Veil (Chimanimani) and
Chizindima (Chipinge).
Perhaps the most ‘sacred’ caves in Zimbabwe are located in the Chinhoi area. According to local
tradition, talking in the caves is prohibited and those who violate this norm risk disappearance in
the pool that is located at the centre of the caves and is believed to be the abode of mermaids and
ancestral spirits. As mentioned previously, traditional norms and beliefs have been instrumental
in the conservation of natural resources including mountains, rivers, water bodies, forests and
some caves. As part of IKS, they have proved to be an effective tool of natural resource
conservation since the pre-colonial era.
Biodiversity preservation
One of the most common traditions in Zimbabwe is totemism, which has been defined as the
‘practice of symbolically identifying humans with non-human objects (usually animals or plants).
The classic case of totemism is when a clan claims an animal as a mythological ancestor,
however, the term has been used to cover a wide range of symbolic practices’ (Jary and Jary,
1995:692-3). Sociologists hold different views on the value of totems in society. While
functionalists regard them as symbols of group solidarity, structuralists view them as expressions
of vital ‘features of human experience and are thus used to construct a mythology of the
concrete’ (Jary and Jary, 1995:693). However, from an ecological point of view, totemism can
be valued for its role in the preservation of biodiversity in a given area.
In the case of hunting and gathering communities, it reduces competition for some edible
animals, birds, reptiles, insects or plants (Table 3). This is because it is ‘taboo for one to eat his
or her totem animal; one risked losing teeth or some catastrophe would befall him or her for
violating this taboo’ (Duri and Mapara, 2007:106). For example, during hunting operations,
members of the ‘zebra’ clan would not kill zebras as they were considered as sacred to them. The
same applied to those who venerated the buffalo, eland, lion, elephant, baboon, kudu, birds,
snakes and ants. Consequently, totemism encouraged selective rather than indiscriminate hunting
thereby preserving any endangered species from possible extinction.

In pre-colonial Shona society, strict taboos were used to discourage people from transgressing
these norms. Some of the calamities, which were believed to afflict transgressors included: bad
luck, tooth decay or loss, madness, sickness and disease, infertility, death and the loss of
ancestral protection. Transgressors would also be punished through the payment of fines to the
head of the clan or chief. In some cases, they would be banished from their communities. Such
penalties were effective in the conservation of various natural resources and species.
Maintaining clean environments
In an attempt to maintain clean environments, human waste was disposed in bushes or buried in
the grounds surrounding homesteads. This reduced the spread of diseases through vectors such as
flies. Burial places for human corpses were located either close to homes or far away while strict
rules on safeguarding sources of drinking water such as wells and springs were enforced. Often
wooden fences were erected around them in order to prevent water contamination from children
and livestock. Some water bodies were considered as sacred thereby preventing swimming,
bathing and other activities, which could pollute them. Fishing was prohibited in sections of
some rivers while veld fires were controlled using water or tree branches. Although veld fire was
occasionally used during hunting excursions, it was controlled in order to protect pastures and
the environment in general.
Overstocking and overgrazing were reduced through strategies such as loaning some cattle to
friends and relatives, transhumance and trading out surplus cattle. Forests were conserved in
various ways including designating some of them as sacred places, which were protected against
human activities like settlement, cultivation and deforestation.
Indigenous knowledge and agriculture
Crop cultivation
Management of soil fertility
Preservation of seeds/crops
Control of pests, insects and diseases
Animal rearing
Predicting weather patterns
Crop cultivation
The interviewees narrated about the IK which dates back to the yester-year generations. For
example, interviewees explained that people grew small grain crops such as rukweza, (finger-
millet) mapfunde (pearl millet) and mhunga (sorghum), other than chibage (maize) which has

become the popular crop grown in Gutu in recent years. The small grain crops ensure
sustainability even during seasons when rainfall is limited. Other crops grown include nzungu
(groundnuts) nyimo (roundnuts) and nyemba (peas). It was also revealed through interviewees
that the Gutu communities also grew chinyamugagu (small seed type of maize). This type of
maize was able to withstand limited amounts of rainfall, similar to the small grain crops. In order
to ensure high productivity in agriculture, during the 1920s, farmers periodically used the
rotational farming method. As Muchineripi, (2008:8) puts it, rotational farming involved people
clearing a piece of land, grow crops for several years until the soil became depleted, then move
to a fresh plot of land for the next harvest. Cultivation was mainly done through the use of the
badza (hoe) and it was purely a manual process of kurima chibakera (digging using the hoe).
However, the interviewees lamented that Gutu district was experiencing food shortage just
because people had abandoned the growing of small grain crops for maize, yet the small grain
crops are sustainable under adverse climatic conditions, unlike the maize crop. Chard, (2006),
assessing Zimbabwe’s agro-ecological conditions for regions 4 and 5, similar to Gutu, explained
that the rainfall in the region is too low and uncertain for cash crops such as maize, which
demand high rainfall. This is true considering that regions 4 and 5 have an annual rainfall
averaging between (400 to 600 mm). Experience, spanning over years is a good yardstick of IK.
The elders, who have lived in Gutu district for several years, know the type of crops which are
suitable for the climatic conditions of the region.
Management of soil fertility
The interviewees explained that land was abundant during the 1920s, before the introduction of
land segregation laws such as the 1930 Land Apportionment Act, which divided land on racial
lines. Soil fertility was good although promoted through the rotation of farming land. Farmers
also selected areas which were adjacent to ant-hills where soils were fertile. In other instances,
farmers cultivated the crops near the foot of hills where soils were fertile due to the decayed tree
leaves. Other than relying on the natural fertility of the soil, farmers also used livestock manure
to replenish soil fertility. Yet another method of promoting fertility in the soil was to leave the
stalks of crops from the previous harvest to decay in the fields. The system of crop rotation was
also employed as a method of improving soil fertility. For example, farmers would rotate legume
crops such as peas, beans and groundnuts with maize to maintain soil fertility since legumes have
a natural way of fixing nitrogen in the soil.
Preservation of seeds/crops
The indigenous people of Gutu district used IK in the preservation of seeds to be used in the
forth-coming farming season. Interviewees explained that after harvesting crops, people selected
well molded grain for seed preservation. The grain crops were hanged in the huts used for food
preparation so that smoke would act as a preservant against grain borers. As for the rest of the

harvested crops, these were adequately dried, thrashed and stored in granaries. In preserving
grain seeds, the granary walls are smeared with cow dung so that moths are repelled by the dung
smell. After storing seeds in the granaries, they are completely sealed such that the grain would
last for several years. The IK practices of grain preservation are still in use in spite of the
availability of modern chemicals for pests, in instances where chemicals are affordable; they are
used for total protection of the preserved grain seeds.
Control of pests, insects and diseases
The interviewees explained that people in the traditional time had different ways of controlling
pests, insects and diseases which attacked their crops. One of the methods used to control
diseases was to burn all the crop stalks after the harvesting period. In other instances, crops
would be rotated or to use ashes which would be sprinkled in the field in order to clear aphids.
The interviewees highlighted that the use of natural ways of dealing with pests, insects and
diseases was much better than the use of modern chemicals since they are associated with several
side-effects to people and may also affect the soil.
Animal rearing
Gutu communities keep livestock such as cattle, sheep, goats, donkeys, pigs and chickens.
Livestock is a source of wealth which serves different purposes among those who possess the
animals. They provide with draught power to farmers, though traditional times a few individuals
would use ox-drawn ploughing since ownership of ploughs was a preserve of a few wealth
individuals. However, cattle were used to draw home-made carts.
People managed the health of animals through the use of herbs and other natural remedies to
treat sick animals. For example, interview explained that chin’ai (soot) mixed with water is used
to treat animals which show signs of constipation, while the muvengahonye (maggot tree leaves)
is used to treat animal wounds. The gavakava (aloe vera) is cut into pieces and mixed with
drinking water for chickens as a way of treating coccidiossis.
Predicting weather patterns
Another aspect of IK education is that, through observing the tell-tale signs of the weather, the
youths learn about the connectivity of the environment and humanity. For example
knowledgeable elders would explain that if a day begins with mist coverage, it is an indicator
that it is going to be a hot day. Another example is that, when there is absence of dew in the
morning during the summer season, it is a sign that rains are not far away. Within a few days of
the signs recurring, rains will fall. This type of IK continually accumulates into a body of
knowledge which is preserved in order to be shared with successive generations.

3.14 CONSRVATION FARMING
What is conservation farming?
Is it a sustainable technique farming technique in Zimbabwe?
ATTEMPT
ATTEMPT 1 (traditional view)
Conservation Farming
The farming method dates back to the pre-colonial period in which inhabitants of some parts of
Africa did not have mechanized tools for agricultural production and had to rely on the digging
hole. Conservation farming is also known as conservation agriculture. The practice is, “a concept
for resource-saving agricultural crop production that strives to achieve acceptable profits
together with high and sustained production levels while concurrently conserving the
environment” (FAO, 2007).
Conservation farming is a labour intensive farming method which uses zero tillage. It allows
farmers to make use of available resources in their environment, such as manure, grass,
decomposing tree leaves as well as equipment that is easily accessible, such as a hoe. The hoe is
used to dig a planting basin in which layers of manure and soil are used to fill up the planting
basin up to the point where the seed is planted and is covered to prepare for germination. The
field is then mulched using grass. Conservation farming has gained prominence among Gutu
District residents particularly those who are working in conjunction with Oxfam, a non-
governmental organization. The farming method was adopted as a mitigation measure following
years of successive droughts in Gutu district due to below average rainfall. More so,
conservation farming has the advantage of low cost inputs (Oxfam Blog 2010). Conservation
farming is friendly to the environment since it allows soils to regain compactness and fertility, a
development which helps in the protection of soil against erosion.
Benefits of Conservation agriculture
Conservation farming is associated with numerous advantages and these were highlighted by Dr.
Joseph Mushonga, a Community Technology Development Trust plant breeder. When presiding
over a field day function for one successful conservation farmer in Chihota district, South East of
Harare, (Mushonga 2011) highlighted the benefits of the farming method as follows:
ng climatic conditions;

– (instead of ploughing the entire field, individual planting
basins are prepared by a hole;
soil fertility;
outbreaks;
imbabwe, had findings that shows

conservation farming as generally producing on average more maize per hectare than
conventional farming;
ATTEMPT 2 (modern view)
What is conservation agriculture?
Farmers are increasingly adopting conservation agriculture practices. This sustainable farming
method is based on three principles: crop diversification, minimal soil movement and permanent
soil cover.
If not practiced sustainably, agriculture can have a toll on the environment, produce greenhouse
gases and contribute to climate change. However, sustainable farming methods can do the
opposite — increase resilience to climate change, protect biodiversity and sustainably use natural
resources.
One of these methods is conservation agriculture.
Conservation agriculture conserves natural resources, biodiversity and labor. It increases

available soil water, reduces heat and drought stress, and builds up soil health in the longer term.
What are the principles of conservation agriculture?
Conservation agriculture is based on the interrelated principles of minimal mechanical soil

disturbance, permanent soil cover with living or dead plant material, and crop diversification
through rotation or intercropping. It helps farmers to maintain and boost yields and increase
profits, while reversing land degradation, protecting the environment and responding to growing
challenges of climate change.
To reduce soil disturbance, farmers practice zero-tillage farming, which allows direct planting
without plowing or preparing the soil. The farmer seeds directly through surface residues of the
previous crop.

Zero tillage is combined with intercropping and crop rotation, which means either growing two
or more crops at the same time on the same piece of land, or growing two different crops on the
same land in a sequential manner. These are also core principles of sustainable intensification.
What are the benefits and challenges of conservation agriculture?
Zero-tillage farming with residue cover saves irrigation water, gradually increases soil organic
matter and suppresses weeds, as well as reduces costs of machinery, fuel and time associated
with tilling. Leaving the soil undisturbed increases water infiltration, holds soil moisture and
helps to prevent topsoil erosion. Conservation agriculture enhances water intake that allows for
more stable yields in the midst of weather extremes exacerbated by climate change.
While conservation agriculture provides many benefits for farmers and the environment, farmers
can face constraints to adopt these practices. Wetlands or soils with poor drainage can make
adoption challenging. When crop residues are limited, farmers tend to use them for fodder first,
so there might not be enough residues for the soil cover. To initiate conservation agriculture,
appropriate seeders are necessary, and these may not be available or affordable to all farmers.
Conservation agriculture is also knowledge intensive and not all farmers may have access to the
knowledge and training required on how to practice conservation agriculture. Finally,
conservation agriculture increases yields over time but farmers may not see yield benefits
immediately.
However, innovations, adapted research and new technologies are helping farmers to overcome
these challenges and facilitate the adoption of conservation agriculture.
Conservation agriculture contributes to Zimbabwe economic recovery.
Key facts
The economy of Zimbabwe – once considered the breadbasket of southern Africa – has begun to
turn around after a decade-long recession that saw a sharp drop in agricultural production, falling
incomes and increasing food shortages. With some 70 percent of people relying on agriculture
for their livelihoods, the strength of this sector is key to economic recovery. FAO has worked
with the government to increase farmers’ uptake of conservation agriculture – a no-till system
that increases yields while protecting fields from erosion, improving soil quality and mitigating
the effects of drought. In its initial stages, conservation agriculture is more labour-intensive than
conventional methods, so FAO has initiated a programme of training and demonstrations, and
introduced laboursaving mechanical planters to win over farmers. As a result, Zimbabwe has
seen “spontaneous adoption”, meaning farmers see gains on their neighbours’ farms and make
the decision to adopt conservation agriculture. Today more than 300 000 Zimbabwean farmers
are practising this method and have nearly tripled their production.

When conservation agriculture was introduced to Zimbabwe, rural areas became dotted with
what observers called “NGO plots” – parcels of land where farmers practised the approach.
However, these small plots were surrounded by other fields where farmers continued their
conventional methods. Initially, FAO and other development groups supplied farmers with
enough seed and fertilizer to plant half a hectare under conservation agriculture – enough to get
them started. However, the fact that they did not expand these plots made it obvious that, while
farmers welcomed the inputs, they were not convinced enough to convert all of their land. There
were reasons for their initial scepticism. Conservation agriculture is built on three principles –
minimum soil disturbance, permanent soil cover and crop rotation – that are known to reduce
erosion, improve soil quality, conserve water, reduce fuel costs and, above all, improve yields.
However, from the smallholder’s point of view, each principle had its own problems.
Overcoming skepticism with evidence of success and use of mechanization
Minimum soil disturbance means farmers do not plough but, instead, hand dig individual holes –
15x15x15 cm basins – to plant their thousands of seeds. This, of course, is more labour intensive
than planting in ploughed furrows. Moreover, weeds grow faster in the undisturbed soil,
requiring more effort to keep the fields clean. Maintaining a permanent soil cover also requires
more labour. Farmers must gather the stalks and leaves left in the field after harvest to use as
mulch, which protects the soil from erosion and holds in moisture. Crop rotation calls for farmers
to alternate legumes with their maize crops in order to improve soil fertility, but they are often
averse to giving up field space where they normally grow their major crops.
In reality, these issues are only problematic in the first season or two. By the second or third
season, farmers can re-use the seed basins they have already dug and, as the mulch cover
becomes more embedded, it helps control weeds. Yet, in spite of this, Zimbabwe’s farmers were
slow to adopt conservation agriculture and, when free inputs stopped, some farmers dropped out
entirely.
As this happened, FAO changed its strategy, narrowing its focus to the small core group of
farmers who were seriously convinced of the benefits. It also established demonstration fields
where farmers could observe the increased yields of conservation agriculture compared with
other farming techniques.
FAO also identified, tested and introduced new mechanized technologies that reduce the amount
of labour involved in conservation agriculture without compromising its principles. It provided
extensionists, agriculture colleges and NGO groups with sample devices so they could
demonstrate them to the farmers and students. With these machines, farmers no longer need to
hand-dig planting basins. They can plant up to two hectares a day from a standing position, using
levers to release the seed and simultaneously measure microdoses of fertilizer.

Farmers cut costs, increase yields, mitigate climate change
The Government of Zimbabwe supports conservation agriculture because of its success in

mitigating the adverse effects of climate change and in conserving soil and water resources. The
Ministry of Agriculture, Mechanization and Irrigation Development co-chairs the National
Conservation Agriculture Task Force with FAO, and meets regularly with farmers, extensionists,
researchers and the private sector to discuss, refine and advance research on conservation
agriculture. An estimated 300 000 Zimbabwe farmers have now adopted conservation
agriculture.
Once farmers pass the initial labourintensive, start-up seasons, their conservation agriculture
techniques cut down on waste of inputs and thus reduce their costs. While only five percent of
Zimbabwe’s maize-growing area is currently under conservation agriculture, those farmers who
have adopted it have been able to harvest more from their small plots, averaging around two
tonnes per hectare for maize, which is nearly triple what they produced under conventional
agriculture. Meanwhile legume production has doubled. The farmers are not only harvesting
enough maize and legumes to feed their families – the increased yields actually provide a surplus
they can sell, thereby improving their livelihoods while contributing to the national food basket.


4.0 QUANTITATIVE AND QUALITATIVE METHODS FOR EVALUATION
STUDIES
4.1 NARRATIVE ANALYSIS
Outline the strengths and weaknesses of narrative analysis, giving examples (30 marks)
OCT/NOV 2017 SUPP Q1
ATTEMPT
Introduction To Narrative Research
There are a number of different connotations that are commonly connected to the use of the
terms narrative research that is:
 narrative inquiry,
 and narrative analysis
According to Hinchman and Hinchman (1997), cited in Riessman (2005), narratives represent
storied ways of knowing and communicating different experiences.
- narratives attempt to explain or normalize what has occurred; they layout why things are the
way they are or have become the way they are.
Is a strategy of inquiry in which the Researcher identifies the essence of human experiences
about a phenomen on as described by the participant (Creswell2009).
It is derived from the verb ‘narrate’ which means to tell a story in detail.
It is a method in which researchers describe the lives of individuals, collect and tell stories
about people’s lives and write narratives of individual experiences.
ROLE OF RESEARCHER: The researcher establishes “a close bond with the participants”.
May help connect research to practice (Creswell,2015)
Qualitative research methods utilize observations, stories and story telling in order to come up
with deductions and conferences as to how people make meaning to experiences they go
through.
One of the methods used to analyze these stories to come up with a meaningful narrative for a
particular audience is narrative analysis.

Narrative design typically focuses on studying a single person, gathering data through the
collection of stories, reporting individual experiences and discussing the meaning of those
experience for the individual.
Types of narratives
A biography study
Personal narratives
Autobiography
Life writings
Auto ethnography
Personal experience stories
A life history
Novels
An oral history
Drama
Diaries Interviews
Journals
Key Features of Narrative research
Focused on Individual experiences
Chronology of the experiences is important
Collecting individual stories (should have time, place, plot and scene)
Involves coding for themes
Flexible in nature (direction of research is depended on the story of participant)
Restoring is used
Context or setting (includes the people and physical settings involved in the story)
Good collaborating with participants.

When should it be used
When there are individuals willing to tell you their stories and you as a researcher are willing
to report their stories.
When the stories you gathered follow a chronological order
When you want to connect practical, specific insights particularly in the education field.
When conducting a impact assessment e.g the challenges before an intervention and after an
intervention
Application of narrative analysis/when it should be used in M & E
Tracking programme impact
•During project evaluation
•Assessing the theory of change
•Confirming whether there has been either positive or negative change brought by the project.
•This is usually done at outcome level
Gathering life testimonies from project beneficiaries
Life stories collected from project beneficiaries during routine monitoring exercises,that may
assist in redesigning or modelling the project strategy.
Project beneficiaries will be explaining out the way their livelihoods would have improved
due to project activities.
Answering the question of attribution
To measure the substance of the programme and attribute that substance to activities
undertaken by the intervention.
This can be done at Output level monitoring during the course of project implementation.
When sharing experiences and lessons learnt
Provides platform for learning from stakeholders who could have gone past the phase.
This can be done during KAP (Knowledge Attitude and Practise) studies.
This can be done at any level in the project cycle

Building up case studies
Create an account of the project and relating it to a true told story.
This assist in developing new and adopting winning strategies.
Usually this is done at the end of the project
Documentary compilation
Documentary production can be done during and after the project.
It spells out the achievements of the project which maybe done in a video or a book.
It will assist to keep track of events and visualize the progress where necessary.
Steps in taking a narrative research
1) Identify the phenomenon – that addresses an educational problem.
2) Purposefully select one or more individuals to learn about the phenomenon –many narrative
studies examine one individual but several individuals maybe studied as well. Participants are
carefully selected on their experiences and can provide an understanding of the issue at hand.
3) Collectstoriesfromtheindividualthatreflectpersonalexperiences-
throughinterviews,fieldtextsalsoprovideinformation,journalsordiaryentries,letterssenttoindividual
s,photographs,memoryboxesandstoriesacquiredthroughfriendsorfamilymembers.
4) Re-story or retell the individual story –involves examine the raw data, identifying key
elements, organizing and sequence elements and then retelling the story that describes the
individual experiences.
5) Collaborate with participant, storyteller in all phases of research –the researcher works closely
with the participant to ensure that the participants’ experiences are accurately portrayed.
6) Write a story about the participant’s personal and social experiences –highlight the specific
themes that emerge throughout the story and involving a section about the importance of
narrative research can be helpful to readers.
7) Validate the accuracy of the report –conferring with individuals and searching for
disconfirming will protect the story’s credibility. An accurate story is essential in preserving the
story.

Steps in Narrative Research
1. Hearing the stories and experiencing each other’s emotions by the interviewer and the
interviewee
2. Transcribing the material
3. Interpreting the individual transcripts
4. Scan the different domains of experiences depicted in each story
5. Linking the personal with political
6. Commonalities and differences among stories
7. Writing the academic narrative
Step 1 Hearing the stories and experiencing each other’s emotions
Done during interviews or after interviews have been conducted.
Analyst reflects on the body language the interviewee used and the feelings they depicted.
How each interview starts, unfolds and ends also gives clues to the meanings the interviewee
intents to portray.
Step 2 Transcribing the material
Writing down of the interview verbatim.
Transcriptions offer a more accurate record of the interview as could be done by memory
alone.
Researcher has to also indicate things like silences and pauses at the point at which they occur
as they also give meaning to the narrative.
Step 3 Interpreting the Individual Transcripts
Unpacking stories especially those where the speaker jumps from one subject to another.
Here the researcher can divide the talk into plots.
Beal (2013) defines a plot as those events and actions that are temporally linked, and the
individual considers significant to their story.

Step 4 Scan the different domains of experiences
Done to prevent situations where the stories under analysis maybe fixed on one dimension of
life.
Avoids problems of social determinism (Mccabe, 2003).
Domains include intrapersonal, interpersonal, cultural and structural.
Step 5 Linking the personal with political
Involves the deliberation of how dominant discourses and their social conventions constitute
an interpretive framework for understanding the stories.
Pay attention to references made to popular discourse such as feminism.
Step 6 Looking for commonalities and differences
• Similarities and differences in content, style and tone.
•Differences and similarities form themes.
•Aided by listing, numbering and naming the stories.
Step 7 Writing the academic narrative
•Braiding and retelling of all the stories analyzed into meaningful composite narratives that will
enable to engage the reader
•Keep checking that the reports or analyses produced are corresponding with the stories told
while at the same time addressing the research objectives.
Advantages of narrative research
More importance given to participant. It’s conducted in a participatory manner which allows
the interviewer to probe for more information making it flexible and evolving.
Extensive collection of firsthand information.
interviewer to identify and take care of non verbal cues emotions/feelings, facial
expressions, etc, from the subject.
It uses a number of data collection techniques (triangulation of information).
It is descriptive and detailed.

Storytellers interpret the past rather than reproduce it as it was.
Can be used to generate theories.
Help others understand topics.
Captures everyday familiar data.
Collaboration increases the validity of the story. (active involvement of the participant
throughout inquiry, reporting and evaluation)
The researcher provides structure for the individuals that are seldom heard in educational
research.
It allows the researcher to explore the personal and the social aspects of learning, which
include the individual’s learning and the shared environment in which the learning place
(Riessman2008 as cited by Cowgerand Tritz2019).
CONS
Can be misinterpretation due to cultural barriers or the interviewer can overlook or leave out
imperative information.
Participants can fake the stories (story authentic?)
Telling horrific experience.
Ownership of the story (Does the researcher have permission to share it?)
Sensitive but critical information is difficult to share.
Hawthorne effect–(subjects telling you what they think you want to hear and not the actual
facts)
It is time consuming to come up with one story when you get different narratives from
subjects in the same area of study.
Imagination and interests influence how storytellers choose to connect the events and make
them meaningful for others.
Narratives does not mirror but refract the past.
Not appropriate for studies with large numbers.

Danger of overpersonalising the personal narrative or the researcher sympathizing with the
subject.
The information gathered and analysed through this research approach may see interpretations
distorted by subjectivity as to an understanding the key issues, subject manipulation, self-
selection of target audience, and generalisation of results.
Where it has been used
EXAMPLE ONE:
Voices from the periphery: A narrative study of the experiences of sexuality of disabled
women in Zimbabwe (Christine Peta, Judith McKenzie & Harsha Kathard, 2015).
The article focused on studying a single case, that of Tsitsi to illuminate the intersectional
nature of her experiences of sexuality through collection of the experiences of sexuality of 16
Shona women with disability in Zimbabwe. Her narrative is robust in illuminating the confluence
off our themes found to be common across all the narratives of the larger study: 1) disregard andr
ejection; 2) health consequences of gendered sexual stigma; 3) gendered differences in
experiences of disability; and 4) gendered cultural discourses on disability.
EXAMPLE TWO
Autobiography: Long Walk to Freedom is an autobiography written by South African

President Nelson Mandela, and first published in (1994) by Little Brown and Co. The book
profiles his early life, coming of age, education and 27 years in prison.
Narrative Research has been used in narrating biographies where characterization of

participants in its diverse modalities, forms and dimensions, highlighting the reasons and
current post modern problems. An example being the biography of Nelson Mandela which
narrates chronological events stemming from his birth, upbringing, fighting for freedom,
imprisonment, presidency, up to his death. Problems such as fighting for freedom, good
leadership are addressed.
4.2 CONTENT ANALYSIS

Discuss the relevance of quantitative analysis in content analysis (30 marks)
OCT/NOV 2017 Q2
ATTEMPT
Content analysis is a research method used to identify patterns in recorded communication. To

conduct content analysis, you systematically collect data from a set of texts, which can be
written, oral, or visual:
Books,
Newspapers and magazines
Speeches and interviews
Web content and social media posts
Photographs and films
Content analysis can be both quantitative (focused on counting and measuring) and qualitative
(focused on interpreting and understanding). In both types, you categorize or “code” words,
themes, and concepts within the texts and then analyze the results.
Quantitative content analysis is a research method in which features of textual, visual, or aural
material are systematically categorized and recorded so that they can be analyzed. Widely
employed in the field of communication, it also has utility in a range of other fields. Central to
content analysis is the process of coding, which involves following a set of instructions about
what features to look for in a text and then making the designated notation when that feature
appears. Conducting a successful content analysis requires careful attention to unitizing
(segmenting the texts for analysis), sampling (selecting an appropriate collection of units to
analyze), reliability (different researchers making codes consistently), and validity (using a
coding scheme that adequately represents the specified phenomena).
Quantitative content analysis is an empirical method used in the social sciences primarily for
analyzing recorded human communication in a quantitative, systematic, and intersubjective way.
This material can include newspaper articles, films, advertisements, interview transcripts, or
observational protocols, for instance. Thus, a quantitative content analysis can be applied to
verbal material, and also to visual material like the evening news or television entertainment.
Surveys, → observations, and quantitative content analysis are the main three methods of data
collection in empirical communication research, with quantitative content analysis the most
prominent in the field (→ Survey). In other disciplines like psychology or sociology quantitative
content analysis is not used as widely.
In this article, qualitative content analysis is defined as a research method for the subjective
interpretation of the content of text data through the systematic classification process of coding
and identifying themes or patterns.
Researchers use content analysis to find out about the purposes, messages, and effects of
communication content. They can also make inferences about the producers and audience of the
texts they analyze.

Content analysis can be used to quantify the occurrence of certain words, phrases, subjects or
concepts in a set of historical or contemporary texts.
Quantitative content analysis example
To research the importance of employment issues in political campaigns, you could analyze
campaign speeches for the frequency of terms such as unemployment, jobs, and work and use
statistical analysis to find differences over time or between candidates.
In addition, content analysis can be used to make qualitative inferences by analyzing the
meaning and semantic relationship of words and concepts.
Qualitative content analysis example
To gain a more qualitative understanding of employment issues in political campaigns, you could
locate the word unemployment in speeches, identify what other words or phrases appear next to
it (such as economy, inequality or laziness), and analyze the meanings of these relationships to
better understand the intentions and targets of different campaigns.
Because content analysis can be applied to a broad range of texts, it is used in a variety of fields,
including marketing, media studies, anthropology, cognitive science, psychology, and many
social science disciplines. It has various possible goals:
Types of Content Analysis
There are two general types of content analysis: conceptual analysis and relational analysis.
Conceptual analysis determines the existence and frequency of concepts in a text. Relational
analysis develops the conceptual analysis further by examining the relationships among concepts
in a text. Each type of analysis may lead to different results, conclusions, interpretations and
meanings
A Brief History of Content Analysis
Historically, content analysis was a time consuming process. Analysis was done manually, or
slow mainframe computers were used to analyze punch cards containing data punched in by
human coders. Single studies could employ thousands of these cards. Human error and time
constraints made this method impractical for large texts. However, despite its impracticality,
content analysis was already an often utilized research method by the 1940's. Although initially
limited to studies that examined texts for the frequency of the occurrence of identified terms
(word counts), by the mid-1950's researchers were already starting to consider the need for more
sophisticated methods of analysis, focusing on concepts rather than simply words, and on
semantic relationships rather than just presence (de Sola Pool 1959). While both traditions still
continue today, content analysis now is also utilized to explore mental models, and their
linguistic, affective, cognitive, social, cultural and historical significance.

Uses of Content Analysis
Identify the intentions, focus or communication trends of an individual, group or institution
Describe attitudinal and behavioral responses to communications
Determine psychological or emotional state of persons or groups
Reveal international differences in communication content
Reveal patterns in communication content
Pre-test and improve an intervention or survey prior to launch
Analyze focus group interviews and open-ended questions to complement quantitative data
Applicability of content analysis in Monitoring and Evaluation
Content analysis plays a critical role in monitoring and evaluation processes. The major focus of
monitoring and evaluation is program planning, administration, implementation and performance
assessment (Krippendorff, 2004). In this context, content analysis can be utilized in monitoring
and evaluation planning. For example, the use of content documents such as diaries, videos,
songs, drawings among others can be tapped in understanding the community needs. This can
allow monitoring and evaluation officer to use the inference derived from these documents to
carry out a social mapping and transect walk which expedites the process of understanding the
community problems. Monitoring and evaluation officer can use content analysis at formative
stage of project planning where previous documents and data can be analyzed to understand
community needs.
Use of Logframe files can allow the project monitor and evaluator to understand the progress
being made in the implementation of projects. Holloway and Todres, (2003) argue that content
analysis is stringent on procedures which increases data reliability. For example, in the
implementation of National Action Plan for Orphans and Vulnerable children (NAP for OVC),
Department of social welfare used to analyses the contents of child protection committee
documents (such previous meetings) in order to strengthen the structures of child protection
(Muwoni, 2013). Drawing from above observations, it can be seen that content analysis have
great utility in program planning phases especially when program implementers use previous
data or documents to get the general view of community needs.
Content analysis has demonstrated its utility in analyzing the impact of implemented projects.
Lincoln and Cuba (2011) argue that documents such as diaries and minutes can be used to
understand the outputs of any program. During the implementation and execution of projects
people carry out a lot of activities such as meetings, drawings, drama, among others. These
activities can be and analyzed to carry out impact assessment processes to determine the progress

being made in the project execution. This can also include the understanding of community
attitude, perceptions and knowledge with regards to project under implementation. It can be
argued that monitoring and evaluation officer can use content analysis to analyze data collected
during and after project implementation. Content analysis is best method in understanding
people’s behavior and attitude towards certain activities (Garrison, 1992). Monitoring and
evaluation officer can use images, words and roles plays and make interpretation on how the
program has impacted on the lives of people. For example, in the implementation of child rights
programs, communities can use symbolic presentation on how they understand child abuse
issues. Drawings showing different types of child abuse can provide theoretical and practical
lenses to monitoring and evaluation officer on the importance of child rights based programs.
Premised upon these observations, one can argue that content analysis is vital in understanding
the impact of the program.
Content analysis can further enhance the data collection techniques for monitoring and
evaluation officer. Content analysis is useful in describing communicative messages, the
research process is relatively unobtrusive, and content analysis provides a relatively safe process
for examining communicative messages, but it can be time-consuming and presents several
methodological challenges (David & Theo, 2005). Using content analysis, monitoring and
evaluation team can quantify qualitative data and draw importance statistical inferences. This can
be useful in assessing program performance and decision pertaining to program under
implementation. More so, content analysis define other data collection methods such narrative
and thematic analysis depending on the deliverables of the project being implemented
How to conduct content analysis
If you want to use content analysis in your research, you need to start with a clear, direct research
question.
Example research question for content analysis
Is there a difference in how the US media represents male and female politicians in terms of
trustworthiness?
Next, you follow these five steps.
1. Select the content you will analyze
Based on your research question, choose the texts that you will analyze. You need to decide: The
medium (e.g. newspapers, speeches or websites) and genre (e.g. opinion pieces, political
campaign speeches, or marketing copy). The criteria for inclusion (e.g. newspaper articles that
mention a particular event, speeches by a certain politician, or websites selling a specific type of
product). The parameters in terms of date range, location, etc. If there are only a small amount of

texts that meet your criteria, you might analyze all of them. If there is a large volume of texts,
you can select a sample. To research media representations of male and female politicians, you
decide to analyze news articles and opinion pieces in print newspapers between 2017–2019.
Because this is a very large volume of content, you choose three major national newspapers and
sample only Monday and Friday editions.
2. Define the units and categories of analysis
Next, you need to determine the level at which you will analyze your chosen texts. This means
defining: The unit(s) of meaning that will be coded. For example, are you going to record the
frequency of individual words and phrases, the characteristics of people who produced or appear
in the texts, the presence and positioning of images, or the treatment of themes and concepts?
The set of categories that you will use for coding. Categories can be objective characteristics
(e.g. female, aged 40-50, lawyer, mother) or more conceptual (e.g. trustworthy, corrupt,
conservative, family oriented).
Your units of analysis are the politicians who appear in each article and the words and phrases
that are used to describe them. Based on your research question, you have to categorize based on
gender and the concept of trustworthiness. To get more detailed data, you also code for other
categories such as the age, political party, and marital status of each politician mentioned.
3. Develop a set of rules for coding
Coding involves organizing the units of meaning into the previously defined categories.
Especially with more conceptual categories, it’s important to clearly define the rules for what
will and won’t be included to ensure that all texts are coded consistently.
Coding rules are especially important if multiple researchers are involved, but even if you’re
coding all of the text by yourself, recording the rules makes your method more transparent and
reliable.
In considering the category “female politician,” you decide which titles will be coded with this
category (senator, governor, counselor, mayor). With “trustworthy”, you decide which specific
words or phrases related to trustworthiness (e.g. honest and reliable) will be coded in this
category.
4. Code the text according to the rules
You go through each text and record all relevant data in the appropriate categories. This can be
done manually or aided with computer programs, such as QSR NVivo, Atlas.ti and Diction,
which can help speed up the process of counting and categorizing words and phrases.

Following your coding rules, you examine each newspaper article in your sample. You record
the characteristics of each politician mentioned, along with all words and phrases related to
trustworthiness that are used to describe them.
5. Analyze the results and draw conclusions
Once coding is complete, the collected data is examined to find patterns and draw conclusions in
response to your research question. You might use statistical analysis to find correlations or
trends, discuss your interpretations of what the results mean, and make inferences about the
creators, context and audience of the texts.
The results reveal that words and phrases related to trustworthiness appeared in the same
sentence as a male politician more frequently than they did in the same sentence as a female
politician. From these results, you conclude that national newspapers present male politicians as
more trustworthy than female politicians, and infer that this might have an effect on readers’
perceptions of women in politics.
Advantages of content analysis
Unobtrusive data collection
You can analyze communication and social interaction without the direct involvement of
participants, so your presence as a researcher doesn’t influence the results.
Transparent and replicable
When done well, content analysis follows a systematic procedure that can easily be replicated by
other researchers, yielding results with high reliability.
Highly flexible
You can conduct content analysis at any time, in any location, and at low cost – all you need is
access to the appropriate sources.
 looks directly at communication via texts or transcripts, and hence gets at the central
aspect of social interaction
 can allow for both quantitative and qualitative operations
 can provides valuable historical/cultural insights over time through analysis of texts
 allows a closeness to text which can alternate between specific categories and
relationships and also statistically analyzes the coded form of the text
 can be used to interpret texts for purposes such as the development of expert systems
(since knowledge and rules can both be coded in terms of explicit statements about the
relationships among concepts)

 is an unobtrusive means of analyzing interactions
 provides insight into complex models of human thought and language use
 When done well, is considered a relatively “exact” research method
 Content analysis is a readily-understood and an inexpensive research method
 A more powerful tool when combined with other research methods such as interviews,
observation, and use of archival records. It is very useful for analyzing historical material,
especially for documenting trends over time.
Disadvantages of Content Analysis
 Can be extremely time consuming

 Is subject to increased error, particularly when relational analysis is used to attain a
higher level of interpretation
 Is often devoid of theoretical base, or attempts too liberally to draw meaningful
inferences about the relationships and impacts implied in a study
 Is inherently reductive, particularly when dealing with complex texts
 Tends too often to simply consist of word counts
 Often disregards the context that produced the text, as well as the state of things after the
text is produced
 Can be difficult to automate or computerize
4.3 QUANTITATIVE AND QUALITATIVE ANALYSIS

Quantitative and qualitative analysis are key into construction of any knowledge. Discuss the
strengths and weaknesses of each of these two methods, giving clear examples (30 marks)
OCT/NOV 2017 Q1
ATTEMPT
QUANTITATIVE ANALYSIS/RESEARCH
Quantitative research involves information that deals with quantities and numbers. That is
different from the qualitative approach, which is known for observation and description. You can
measure quantitative results, but you cannot do so for the qualitative work.
The research takes on a systematic approach that relies on an empirical investigation of

observable phenomena. It uses statistical models, computational techniques, and mathematics to
develop and employ hypotheses or theories regarding specific ideas. The process of
measurement is central to the success of this work.
It is used widely in psychology, sociology, and marketing as a way to provide evidence that a
hypothesis is correct. Instead of relying on instinct or opinion, this method of research seeks out

facts before suggesting an outcome. That is why the research gets closely affiliated with the
scientific method.
Several advantages and disadvantages of quantitative research are worth reviewing when there is
a hypothesis under consideration.
List of the Advantages of Quantitative Research
1. The quantitative approach allows you to reach a higher sample size.
When you have the ability to study a larger sample size for any hypothesis, then it is easier to
reach an accurate generalized conclusion. The additional data that you receive from this work
gives the outcome greater credibility because the statistical analysis has more depth to review. A
larger sample makes it less likely that outliers in the study group can adversely impact the results
you want to achieve impartially.
2. You can collect information quickly when using quantitative research.
Researchers collect information for the quantitative research process in real-time scenarios so
that statistical analysis can occur almost immediately. Experiments, surveys, and interviews
provide immediate answers that become useful from a data-centered approach. Fewer delays in
the acquisition of these resources makes it easier to find correlations that eventually lead toward
a useful conclusion.
Quantitative research doesn’t require the separation of systems or the identification of variables
to produce results. That’s why it is a straightforward process to implement.
3. Quantitative research uses randomized samples.
When research participants suspect that a study wants to achieve a specific result, then their
personal bias can enter into the data spectrum. The answers provided on the included materials
are partial truths or outright lies as a way to manipulate the work. That’s why the quantitative
approach is so useful when trying to study a specific hypothesis within a large population
demographic.
This approach uses a randomized process to collect information. That excludes bias from
appearing in most situations. It also provides an advantage in the fact that the data can then get
statistically applied to the rest of the demographic being studied. There is always a risk of error
to consider, but it is this method that typically supplies the most factual results.
4. Results duplication is possible when using quantitative research.
When opinions are a valid substitute for facts, then anything becomes possible. Quantitative
research eliminates this problem because it only focuses on actual data. The work validates itself

because the results always point toward the same data, even though randomized conditions exist.
There can be minute variations found over time, but the general conclusions that researchers
develop when using this process stay accurate.
That’s why this information is useful when looking at the need for specific future outcomes. The
facts provide statistics that are suitable to consider when difficult decisions must get made.
5. Quantitative research can focus on facts or a series of information.
Researchers can use the quantitative approach to focus on a specific fact that they want to study
in the general population. This method is also useful when a series of data points are highly
desirable within a particular demographic. It is a process that lets us understand the reasons
behind our decisions, behaviors, or actions from a societal viewpoint.
When we can comprehend the meaning behind the decisions that people make, then it is easier to
discover pain points or specific preferences that require resolution. Then the data analysis can
extend to the rest of the population so that everyone can benefit from this work.
6. The research performed with the quantitative approach is anonymous.
As long as researchers can verify that individuals fit in the demographic profile of their study
group, there is no need to provide personal information. The anonymous nature of quantitative
research makes it useful for data collection because people are more likely to share an honest
perspective when there are guarantees that their feedback won’t come back to haunt them. Even
when interviews or surveys are part of this work, the personal information is a screening tool
instead of an identifying trademark.
7. Quantitative research doesn’t require direct observation to be useful.
Researchers must follow specific protocols when using the quantitative method, but there isn’t a
requirement to directly observe each participant. That means a study can send surveys to
individuals without the need to have someone in the room while they provide answers. This
advantage creates a better response rate because people have more time and less pressure to
complete the work.
Although the difficulty of the questions asked or the length of a survey or interview can be
barriers to participation, the amount of data that researchers collect from the quantitative process
is always useful.
List of the Disadvantages of Quantitative Research
1. This method doesn’t consider the meaning behind social phenomena.

The quantitative approach wants to find answers to specific questions so that a particular
hypothesis can be proven or disproven. It doesn’t care about the motives that people have when
sharing an opinion or making a decision. The goal of this information collecting process is to
paint a present-time picture of what is happening in the selected demographic. That means this
option cannot measure the ways in which society changes or how people interpret their actions or
that of others.
2. Every answer provided in this research method must stand on its own.
Quantitative research does not give you the option to review answers with participants. The
replies provided to researchers must stand by themselves, even if the information seems
confusing or it is invalid. Instead of following a tangent like other methods use, the quantitative
option has very few opportunities to ask for clarity.
Part of this disadvantage is due to the anonymous nature of the data that researchers collect. If an
answer provides inconclusive results, then there is no way to guarantee the validity of what was
received. It is even possible to skew results when a question might be incorrectly formatted.
3. Quantitative research sometimes creates unnatural environments.
Quantitative research works well when a verifiable environment is available for study.
Researchers can then take advantage of the decisions made in that arena to extrapolate data that
is useful for review. There can be times when this approach generates an unnatural scenario
based on the questions asked or the approaches used to solicit information. Just as a participant
can attempt to skew results by providing falsified answers, researchers can attempt the same
result by influencing the design of the work in its initial stages.
4. Some efforts at randomization will not create usable information.
The quantitative approach doesn’t look for the reason why variables exist in specific
environments. Its goal is to find the different aspects of a demographic in a particular setting to
extrapolate data that can be used for generalization purposes. Although the impact of
randomization adds validity to the final result, there can be times when the information isn’t
usable.
One person might decide to purchase pizza because they’ve had a long day at work and don’t
feel like cooking at home. Another individual could make the same decision because it’s
Tuesday, and they always purchase pizza on that day. A third household might become
customers of a pizzeria because they are celebrating a family birthday. Quantitative data looks at
the fact that everyone bought pizza, and it doesn’t care about the reasons why.
5. There is no access to specific feedback.

Quantitative research could be best described as a pass-fail grade. You know for certain that a
majority of a population demographic will feel a specific way about a particular situation
because of the data that researchers collect. You know that everyone purchases pizza, but what
you don’t know is how many people enjoyed the experience and will come back for another
transaction in the future.
The statistics that researchers gather when using this approach are useful for generalizations that
let you see if goods or services earn a passing grade in a specific demographic. What this data
cannot produce are specific feedback incidents that allow for positive refinement.
6. Quantitative research studies can be very expensive.
If the price is an issue when research work must be done, then the quantitative approach has a
significant barrier to consider. A single result may cost more than $100,000 when corporate
interests are seeking more data to analyze. One of the most popular methods when using this
approach is to use a focus group. Working with groups of participants to solicit answers is about
40% cheaper than other information collection methods, but it is still a problematic approach for
small businesses to manage.
There are some affordable methods to use when considering the quantitative research method,
such as online polling or emails, but you don’t have any guarantees that the respondents fit into
your targeted demographic.
7. Answer validity always creates a cloud of doubt on the final results.
Researchers have no meaningful way to determine if the answers someone gives during a
quantitative research effort are accurate. This work always gets based on the assumption that
everyone is honest and each situation. Since direct observation isn’t always possible with this
approach, the data always has a tinge of doubt to it, even when generalizing the results to the rest
of the population.
This disadvantage is the reason why you see so many duplicated quantitative research efforts.
When the same results occur multiple times, then there is more confidence in the data produced.
If different outcomes happen, then researchers know that there are information concerns that
require management.
8. Individual characteristics don’t always apply to the general population.
Researchers are always facing the risk that the answers or characteristics given in a quantitative
study aren’t an accurate representation of the entire population. It is relatively easy to come to
false conclusions or correlations because of the assumptions that are necessary for this work.
Even the randomized sampling that takes place to remove bias from the equation isn’t 100%

accurate. The only certainty that we have from this data is that if we gather enough of it, then the
averages that come out of the data analysis offer a path toward something usable.
Conclusion
The use of quantitative research is uncontroversial in most biological and physical sciences. It
often gets compared with qualitative methods because the same truth applies to that approach.
Each one gets used when it is the most appropriate option.
It is more controversial to use the quantitative method in the social sciences where individuality
is sometimes more important than demographical data.
We use quantitative methods to provide testable and precise expressions to qualitative ideas.
Then we use the qualitative methods to understand the conclusions that we generate from the
statistical analysis of the quantitative approach.
QUALITATIVE ANALYSIS/RESEARCH
The University of Utah College of nursing defines qualitative research like this. “[It] is the
process of naturalistic inquiry that seeks in-depth understanding of social phenomena within their
natural setting.”
If we were to put that observation into layman’s terms, then we would say that qualitative
research wants to answer the questions of “why” when examining a situation instead of looking
at the “what.” It relies on the direct experiences that we have as humans as meaning and making
agents as we go about our daily lives.
Researchers using the system look at multiple components of inquiry for the study of human-
related activities and existence. They may use case studies, biographies, discourse analysis,
ground theory, and even phenomenology.
There are three primary areas of focus for qualitative research: cultures, communication, and
individuals. Even though there are several methods of inquiry in qualitative research, each has a
common assumption. This process considers knowledge to be subjective rather than objective,
and it requires the research to learn from participants to understand the meaning of their lives
through a neutral perspective.
Here are the qualitative research pros and cons to consider when looking at this particular
method.
List of the Pros of Qualitative Research
1. It provides more content that is useful for practical application.

If you want the ability to form relationships in the modern world, then authenticity must be your
top priority. Understanding the core concepts of how someone defines themselves is challenging
from an outside perspective. The qualitative research process encourages social scientists to
understand why people make the choices they do each day. That makes it possible to see how
lives are structured, making it possible to develop content that becomes useful for practical
application. It is a way to make something that solves actual problems in life.
2. It uses a smaller sample size than other research methods.
Most qualitative research studies are completed rapidly because they use smaller sample sizes.
This structure makes it possible for social scientists to glean data from participants quickly,
creating a generalization that can then become useful for a demographic or the general
population. With the faster results, researchers can move forward confidently because of the
quality of the information they obtained.
3. It offers the chance to develop specific insights.
Humans are complex creatures. We tend to make decisions based on convenience and comfort,
but we also move forward in ways that are comfortable for our moral or ethical positions. The
way that we talk, the words that we use, and even on our non-verbal communication all create a
foundation for social scientists to understand us better. When they use this method to look at the
problems or choices that we face every day, it becomes possible to find insights within that data
which can help to solve problems for everyone. This process is an opportunity to understand the
context of what is going on instead of looking at only the choices or behaviors individually.
4. It eliminates the potential for bias within the data.
One of the significant issues that social research faces is the unconscious bias. People have
preconceived notions about specific demographics and people that could influence the research.
Even scientists and researchers are not immune to this process. Qualitative research makes it
possible to set aside these judgments because it looks at the actual structure of the decision-
making process. It collects data from the events which lead up to the choice instead of looking at
it after the fact. That’s why the information collected from this process is often more accurate
than other methods, making it possible to create a predictable outcome.
5. It can be an open-ended process.
One of the significant advantages of the qualitative research process is that it does not rely on
closed questioning. Researchers are able to ask open-ended questions whenever they feel it is
necessary to collect some more information from the individuals involved in the study. This
structure makes it possible to understand why emotional responses develop in the first place. It

can also help social scientists discover information that might otherwise be overlooked because
there is more emphasis placed on the interview portion of the world.
6. It turns individual experiences into usable data.
One of the reasons why diversity is a buzzword in today’s business climate is because the
elements of life that make humans different is what will make them stronger as a group. It is like
taking the concept of yin and yang on a massive scale. What qualitative research offers is an
opportunity to turn these unique individual experiences into data that is usable in a variety of
ways. Once we understand why people make the choices they do, it becomes possible to find
ways to improve that process.
7. It uses a fluid operational structure instead of rigid guidelines.
Qualitative research relies on social scientists being able to watch and experience situations with
the subjects they are studying to produce usable information. Instead of focusing on a specific
framework that require zero deviation from the process, researches can pursue any event, fact, or
statistic that they feel is relevant to their data collection efforts. It is a way to incorporate the
complexities of the human experience into a structure that creates a database of conclusions that
becomes useful for the general population.
8. It focuses on the purpose of a decision instead of the details.
Imagine a scenario of a moment where there is a father of four children who is unemployed.
They do not receive any social welfare benefits, and there isn’t a food bank available to use. He
has asked food providers in his community to help his family, but the response has always been
negative. They have now gone three days without food. Everyone is hungry. The father decides
to steal what his family requires in the least harmful way possible to ensure his children get
something to eat.
Qualitative research looks at the purpose of the decision as the primary data point, so it would
examine the reasons why hunger was there in the first place. Other research methods would look
at the behavior, which is a crime. We need to know the full story behind decisions to make
improvements to society. If we only get part of the picture, then we can only achieve partial
results.
9. It still offers a predictive quality.
The information that researchers gather through the qualitative research process still offers a
predictive quality, even though the perspectives and experiences of those involve can vary by a
substantial amount. People who grow up in similar circumstances will often prefer specific
situations and outcomes to reduce their pain points. Although this data cannot be applied to the
general population, there is an opportunity to understand more about the processes of ultra-
specific demographics. This process promotes an opportunity to develop responses, services, or
products that can help those people.
10. It is more affordable than other research methods.
Focus groups often rely on the qualitative process for gathering information because it is fast,
affordable, and effective. You can sit a few people down at a table, ask them specific questions,
and then get the answers that you want right away. Compared to the lengthy studies that other
methods require, you can proceed with an idea much faster using this process.
List of the Cons of Qualitative Research
1. It creates subjective data.
Although there are several benefits to consider when using the personal perspective of
researchers in the qualitative research method, there will always be a subjective quality to the
data that they gather. Some people will always believe that certain vital points are more critical
to their findings than others. You can place three researchers in the same room to observe an
event and then receive three differing perspectives. You can receive highly detailed information
with this option, but it can also be incredibly inaccurate.
2. It takes a lot of time to collect the data points.
One of the significant advantages of the qualitative research method is that it creates a lot of
potential data points which are usable to the social scientists. This process also creates a
disadvantage which must be considered by researchers as well. When there is a lot of
information available from this research process, there must be a time commitment to sort
through the elements to determine what is usable and what is not. It is an element of uncertainty
that is never truly eliminated from this option.
3. It does not offer statistical representation.
Qualitative research does not care about percentages or statistics. It wants to find commonalities.
Although this process is helpful for looking at specific areas of concern within ultra-local
demographics, it can be challenging to apply the findings to a broader population. The best result
researchers can produce is a comparison of data that can help them understand why some things
happen the way that they do. If a process requires a broader perspective, then this is not the best
option to choose.
4. It requires researchers to be knowledge about what they are reviewing.
The opportunities that are possible through qualitative research become possible because of the
industry-related expertise that researchers have. If an interviewer is unfamiliar with the subject

involved, then they cannot ask the relevant questions that are necessary to get the results that are
desired. Every research method requires some level of personal knowledge of those involved, but
this disadvantage can lead to a complete waste of time for everyone involved if no one can
interpret the responses correctly.
5. It requires researchers to identify unspoken data points.
Researchers are trusted to connect all of the dots when they gather information through the
qualitative process. They must read non-verbal cues, have an empathetic response, and
understand the situation behind each action a person takes when going through this process.
There is a lot of info that comes to the social scientists in a form that goes beyond observational.
Missing this data can lead to incomplete results, false conclusions, or worse.
If there are any questions regarding this disadvantage in the final research summary, it is possible
that the scientific community may not accept the findings. The only way to counter this issue is
to repeat the work with different researchers, have third-party verification, or take steps to pursue
the findings even if no one else agrees with them.
6. It may require repetitive research efforts.
Because qualitative research focuses on a smaller sample size to develop a rich data profile, the
complexity of the questions involved becomes a potential disadvantage. When there is a critical
decision to be made, then discovering the potential consequences on both sides of that equation
can help to develop a better SWOT profile. Since the smaller size of the sample is not always an
accurate representation of an entire demographic, there may need to be several follow-ups
involved to ensure that there is accuracy throughout the process.
7. It is challenging to replicate results using this method.
Theories become fact because third-party researchers can verify the information that the initial
studies produce. When others can duplicate your work, it becomes useful to the betterment of
that demographic. Qualitative research is highly subjective, so finding opportunities for
duplication are incredibly rare. If you need someone else to verify your results, then the scope of
information collection will be limited. This disadvantage would then offer an incomplete look at
the subject matter, which could then produce ineffective decisions down the road.
8. It can be subjective to research influence.
The data points collected during the qualitative research process can be influenced subtly to
produce specific results that look authentic. It is possible to support a biased point of view by
asking targeted questions that generate a specific result. Unless controls are in place to remove
this potential for intended influence, there is always the possibility that the results generated by
this effort are questioned as to its authenticity.
9. It does not offer data rigidity.
The qualitative research process tries to find points of common ground that people share in
specific demographics. It is like having one person say, “I like the color green,” and then having
other people agree with that statement. When researchers want to pinpoint specific opportunities
for advancement or improvement, the generic nature of common ground makes it impossible to
create meaningful results. Even though everyone might like green, one person might prefer lime,
another olive, a third sage, and someone might even mention chartreuse. That’s why this process
looks more at the reasons behind the color preference in the first place instead of trying to
determine a specific outcome.
The pros and cons of qualitative research look at how we are diverse as a people to create a
better understanding of why we are who we are. This process makes it possible to look deeper
into the issue of choice to determine why specific pain points exist for certain demographics.
When researchers can see recurring patterns develop, then they can start to find solutions that
benefit everyone. That leads to better processes, products, and opportunities for everyone in the
future.
4.4 THEMATIC ANALYSIS

Use relevant examples to outline steps that are involved in thematic analysis (30 marks)
OCT/NOV 2017 Q4
Outline steps taken in thematic analysis with clear examples (30 marks)
OCT/NOV 2017 SUPP Q3
Outline steps taken when one n is using thematic analysis, use relevant examples (30 marks)
OCT 2020 SUPP Q3
ATTEMPT
 Thematic analysis is one of the most common forms of analysis in research. It

emphasizes pinpointing, examining, and recording patterns (or "themes") within data.
Themes are patterns across data sets that are important to the description of a
phenomenon and are associated to a specific research question
 Thematic analysis is a method for identifying, analysing, and reporting patterns (themes)
within data. It minimally organises and describes your data set in (rich) detail. However,
it also often goes further than this, and interprets various aspects of the research topic
(Boyatzis, 1998). The range of different possible thematic analyses will further be
highlighted in relation to a number of decisions regarding it as a method.

The six steps are as follows:
1. Familiarising yourself with your data
 This step requires the researcher to be fully immersed and actively engaged in the
data by firstly transcribing the interactions and then reading (and re-reading) the
transcripts and/or listening to the recordings. Initial ideas should be noted down. It
is important that the researcher has a comprehensive understanding of the content
of the interaction and has familiarised him/herself with all aspects of the data.
This step provides the foundation for the subsequent analysis.
 Immersion usually involves ‘repeated reading’ of the data, and reading the data in
an active way - searching for meanings, patterns and so on. It is ideal to read
through the entire data set at least once before you begin your coding, as your
ideas, identification of possible patterns will be shaped as you read through.
 At this phase, one of the reasons why qualitative research tends to use far smaller
samples than, for example, questionnaire data will become apparent – the reading
and re-reading of data is time consuming. It is, therefore, tempting to skip over
this phase, or be selective. We would strongly advise against this, as this phase
provides the bedrock for the rest of the analysis.
 During this phase, it is a good idea to start taking notes or marking ideas for
coding that you will then go back to in subsequent phases. Once you have done
this, you are ready to begin the more formal coding process. In essence, coding
continues to be developed and defined throughout the entire analysis.
Transcription of verbal data
 If you are working with verbal data such as interviews, television programmes or political
speeches, the data will need to be transcribed into written form in order to conduct a
thematic analysis.
2. Generating initial codes
 Once familiar with the data, the researcher must then start identifying preliminary
codes, which are the features of the data that appear interesting and meaningful.
These codes are more numerous and specific than themes, but provide an
indication of the context of the conversation.
 There are a number of ways of actually coding extracts. If coding manually, you
can code your data by writing notes on the texts you’re analysing, by using

highlighters or coloured pens to indicate potential patterns, or by using ‘post-it’
notes to identify segments of data.
3. Searching for themes
 The third step in the process is the start of the interpretive analysis of the collated
codes. Relevant data extracts are sorted (combined or split) according to
overarching themes. The researcher’s thought process should allude to the
relationship between codes, subthemes, and themes.
4. Reviewing themes
 A deeper review of identified themes follows where the researcher needs to

question whether to combine, refine, separate, or discard initial themes. Data
within themes should cohere together meaningfully, while there should be clear
and identifiable distinctions between themes. This is usually done over two
phases, where the themes need to be checked in relation to the coded extracts
(phase 1), and then for the overall data set (phase 2). A thematic ‘map’ can be
generated from this step.
 Essentially, you are starting to analyse your codes, and consider how different
codes may combine to form a predominant theme. It may be helpful at this phase
to use visual representations to help you sort the different codes into themes. You
might use tables, mind-maps, or you might write the name of each code (and a
brief description) on a separate piece of paper and play around with organising
them into theme-piles.
 This phase involves two levels of reviewing and refining your themes. Level one
involves reviewing at the level of the coded data extracts. This means you need to
read all the collated extracts for each theme, and consider whether they appear to
form a coherent pattern. If your candidate themes appear to form a coherent
pattern, you then move on to the second level of this phase.
 Level two involves a similar process, but in relation to the entire data set. At this
level, you consider the validity of individual themes in relation to the data set, but
also whether your candidate thematic map ‘accurately’ reflects the meanings
evident in the data set as a whole.
 At the end of this phase, you should have a fairly good idea of what your different
themes are, how they fit together, and the overall story they tell about the data.
5. Defining and naming themes

 This step involves ‘refining and defining’ the themes and potential subthemes within the
data. Ongoing analysis is required to further enhance the identified themes. The
researcher needs to provide theme names and clear working definitions that capture the
essence of each theme in a concise and punchy manner. At this point, a unified story of
the data needs to emerge from the themes.
 By ‘define and refine’ we mean identifying the ‘essence’ of what each theme is about (as
well as the themes overall), and determining what aspect of the data each theme captures.
It is important not to try and get a theme to do too much, or to be too diverse and
complex. You do this by going back to collated data extracts for each theme, and
organising them into a coherent and internally consistent account, with accompanying
narrative.
 It is important that by the end of this phase you can clearly define what your themes are,
and what they are not. One test for this is to see whether you can describe the scope and
content of each theme in a couple of sentences
6. Producing the report
 Finally, the researcher needs to transform his/her analysis into an interpretable piece of
writing by using vivid and compelling extract examples that relate to the themes, research
question, and literature. The report must relay the results of the analysis in a way that
convinces the reader of the merit and validity of the analysis. It must go beyond a mere
description of the themes and portray an analysis supported with empirical evidence that
addresses the research question.
 It is important that the analysis (the write-up of it, including data extracts) provides a
concise, coherent, logical, non-repetitive, and interesting account of the story the data tell
– within and across themes.
 Choose particularly vivid examples, or extracts which capture the essence of the point
you are demonstrating, without unnecessary complexity. The extract should be easily
identifiable as an example of the issue.
Describe a situation in monitoring and evaluation where thematic analysis can be used (30
marks)
OCT 2020 SUPP Q3
ATTEMPT
Thematic analysis is the first qualitative method of analysis that researchers should learn, as it
provides core skills that will be useful for conducting many other forms of qualitative analysis.

Through its theoretical freedom, thematic analysis provides a flexible and useful research tool,
which can potentially provide a rich and detailed, yet complex account of data.
Researchers conducting qualitative analysis should select the most appropriate method to the
research question. The method of analysis should be driven by both theoretical assumptions and
the research questions.
Thematic analysis provides a flexible method of data analysis and allows for researchers with
various methodological backgrounds to engage in this type of analysis. Reliability with this
method is a concern because of the wide variety of interpretations that arise from the themes, as
well as applying themes to large amounts of text. Increasing reliability may occur if multiple
researchers are coding simultaneously, which is possible with this form of analysis. To increase
reliability with these method researchers should plan for monitoring themes and codes tables
throughout the process.
Use of thematic analysis in monitoring and evaluation
 Enable project evaluators to understand the common community challenge
 Data acquired during the Learn phase will reveal insights and challenges that lead to
research question development and can often provide clues to potential interventions.
 Therefore , it is part of problem analysis’ especially on preliminary analysis’ of the

problem
 It can be used to analyze qualitative information and to systematically gain knowledge

and empathy about a person, an interaction, a group, a situation, an organization or a
culture.
 Applied during problem framing, thematic analysis helps researchers move from a broad
reading of the data toward discovering patterns and framing a specific research question.
 By using thematic analysis to distill data, researchers determine broad patterns that will
allow them to conduct more granular research and analysis.
 Biographic thematic data can be used to analyze the impact of the programme or projects
 Thematic analysis helps in summarizing key characteristics of large data sets as

evaluators are forced to adopting a well-structured strategy in handling and managing
data so as to generate a clear and organized monitoring and evaluation report (King, 2004
in Nowell et al, 2017).

 The analysis allows the researcher to do data collection and have more time for data
evaluation thus helping to avoid wrong or hasty conclusions being made (Ibrahim, 2012).
It assists in producing qualitative analyses that are suitable for policy developmental
concerns. The analysis allows evaluators to compare objectives with those of the model
branch.
 Thematic analysis is applicable in monitoring and evaluation when research seeks to find
out about opinions, values, experiences, views and knowledge of people from a set
qualitative data, such as, interview transcripts, responses of a survey and profiles on
social media. The analysis provides a complete picture and allows an evaluator to analyze
connections among participants` data, ideas and thoughts gathered through observations
(Ibrahim, 2012).
 The analysis is also applicable in sociological and psychological research allowing

evaluators to interpret qualitative data. It can be used within a participatory research
paradigm where participants act as collaborators.
 It is applicable in monitoring and evaluation as a research tool and provides core skills
for other analyses. Themes can take basis on project and program objectives, verifiable
indicators, learning and questions on evaluation, change dimensions and lines of enquiry
4.5 COMPARE
Compare the use of content analysis and thematic analysis in monitoring and evaluation
(30 marks)
OCT/NOV 2017 Q4
ATTEMPT
Content analysis is a research technique used to make replicable and valid inferences by
interpreting and coding textual material. By systematically evaluating texts (e.g., documents, oral
communication, and graphics), qualitative data can be converted into quantitative data.
Content analysis is a research method for studying documents and communication artifacts,
which might be texts of various formats, pictures, audio or video. Social scientists use content
analysis to examine patterns in communication in a replicable and systematic manner.
CRITERION NARRATIVE CONTENT THEMATIC

Definition Focus on the lives of An approach of empirical, A method for identifying, analysing,
individuals as told methodological controlled and reporting patterns (themes) within
through their own analysis of texts within their data. It minimally organises and
stories context of communication, describes your data set in (rich) detail.
following content analytic rules
and step by step models, without
rash quantification
Focus or aim Make use of Analyzing nursing sensitive Analyzing narrative materials of life
people’s stories to phenomena, exploratory work on stories
interpret the world the unknown phenomenon
Philosophical Inductive/ Communication theory Realist/essentialist and constructionist
background interpretivism perspective
Analysis More attention on: Description and more Description and interpretation, both
process functional and interpretation, both inductive and inductive and deductive, emphasizing
structural analysis deductive, danger of missing context, integration of manifest and
context, possibility of finding a latent contents, drawing thematic
theme based on the frequency of map, nonlinear analysis process, no
its occurrence, division of peer checking
manifest and latent contents,
nonlinear analysis process
Research Qualitative design: Common in quantitative but also Most qualitative research
Design ethnography, Focus in qualitative. Survey data-
Group Discussion quantitative documents
(FDGs)
Data analysis Transcription and Data coding is fundamental Themes are given more prominence
coding of data
patterns is key
Suitability Analyzing Well suited to analyses the multi Subjective human experience
qualitative impact of faceted important sensitive
programmes phenomenon
Similarities  Narrative  Understanding of themes is  Like narrative analysis it relies on
analysis can use part of data analysis in subjective understanding and
both content and content analysis interpretation of researcher(s)
thematic
approach to  It can be used in both  Researcher skills are important
comprehend qualitative and quantitative
human stories research approach
and its meaning  Researcher skills are
 It can be used in important
the same context
with thematic
analysis

situations
Use of content analysis in monitoring and evaluation
 In evaluating the project activities by utilizing project team’s diaries, videos,

drawings, songs
 It is mostly applicable in assessing the outputs of projects such as minutes of

meetings, resource use and distribution
 Monitoring and evaluation officer can utilise content analysis to understand

people’s response to programs through the activities which the community is
using to accomplish the goals of projects
 It can enable evaluator to understand programs beneficiaries and provider

interactions in terms of meanings, frequencies, etc
 Use of Logframe files can allow the project monitor and evaluator to understand
the progress being made in the implementation of projects
Use of thematic analysis in monitoring and evaluation
 Enable project evaluators to understand the common community challenge

(problem identification)
 Data acquired during the Learn phase will reveal insights and challenges that lead
to research question development and can often provide clues to potential
interventions.
 Therefore , it is part of problem analysis’ especially on preliminary analysis’ of

the problem
 It can be used to analyze qualitative information and to systematically gain

knowledge and empathy about a person, an interaction, a group, a situation, an
organization or a culture.
 Applied during problem framing, thematic analysis helps researchers move from a
broad reading of the data toward discovering patterns and framing a specific
research question.
 By using thematic analysis to distill data, researchers determine broad patterns

that will allow them to conduct more granular research and analysis.

 Biographic thematic data can be used to analyze the impact of the programme or
projects
Outline major differences and similarities of narrative analysis and content analysis (30 marks)
OCT 2020 SUPP Q2
ATTEMPT
Narrative analysis focuses on the lives of individuals as told through their own stories and
content analysis is an approach of empirical, methodological controlled analysis of texts within
their context of communication, following content analytic rules and step by step models,
without rash quantification.
Make use of people’s stories to interpret Analyzing nursing sensitive phenomena, exploratory work on the
the world unknown phenomenon
Inductive/ interpretivism Communication theory
More attention on: functional and structural Description and more interpretation, both inductive and deductive,
analysis danger of missing context, possibility of finding a theme based on
the frequency of its occurrence, division of manifest and latent
contents, nonlinear analysis process
Qualitative design: ethnography, Focus Common in quantitative but also in qualitative. Survey data-
Group Discussion (FDGs) quantitative documents
Transcription and coding of data patterns is Data coding is fundamental
key
Analyzing qualitative impact of Well suited to analyses the multi-faceted important sensitive
programmes phenomenon
Similarities Similarities
 Narrative analysis can use both content  Understanding of themes is part of data analysis in content
and thematic approach to comprehend analysis
human stories and its meaning  It can be used in both qualitative and quantitative research
 It can be used in the same context with approach
thematic analysis situations  Researcher skills are important
Comparisons: Narrative, and Content
• All of them are methods used for analysing qualitative data.
• Content analysis is usually used with a purpose of classifying and quantifying data, while
thematic employs a more flexible and reflective process and is usually used the capture
the richness and in-depth nature of qualitative data.

• Content and narrative are used to study individuals, groups, cultures or historical periods.
• Narrative approach is a methodology which incorporates epistemological and ontological

assumptions whereas thematic analysis is a method or tool for decomposing data into
themes, which can be used within different research perspectives.
• Whilst content analysis may deal with both verbal and nonverbal materials narrative
analysis only deals with verbal materials (Smith 2000).
• Using a narrative approach also helps to keep accounts as wholes, rather than
fragmenting them into components as in thematic and content.
General Applicability
1. Narrative Analysis
 Enable programme evaluator to understand the lives of people including their

power relations, gender analysis’ and other religious system in the community
 It is part of problem analysis in the community where people can narrate their
stories and meanings behind each story. Programme implementers may utilise
Naratology to employ evaluation techniques such as community mapping,
transect walk etc
 Use of narrative template can allow programme evaluators to understand different

community needs in terms of age, gender, income level etc
 Hall (2011) believes that narrative analysis’ is best way to know the communities
and customisation of projects in the society
 It can be used to understand the impact of the programme e.g. how the
programme changed the community’s way of living
2. Content Analysis
 In evaluating the project activities by utilising project team’s diaries, videos,

drawings, songs


people’s response to programmes through the activities which the community is

 It can enable evaluator to understand programs beneficiaries and provider
interactions in terms of meanings, frequencies, etc
 Use of Logframe files can allow the project monitor and evaluator to understand
the progress being made in the implementation of projects
Outline in detail how narrative analysis can complement content analysis in coming out with new
theories (30 marks)
OCT/NOV 2017 Q3
ATTEMPT
Use of narrative analysis
 Narratives or stories occur when one or more speakers engage in sharing and recounting
an experience or event. Typically, the telling of a story occupies multiple turns in the
course of a conversation and stories or narratives may share common structural features.
 focuses on the ways in which people make and use stories to interpret the world
 views narratives as social products that are produced by people in the context of specific
social, historical and cultural locations
 Narrative analysis allows the researcher to see how respondents impose their order on
experience and environment by commenting upon their relationships between events and
actions through stories. Therefore, narrative enables the researcher to identify the
transitional stages leading to a given situation, and to identify similarities and differences
between groups.
 It’s conducted in a participatory manner which allows the interviewer to probe for more
information making it flexible and evolving.
 Extensive collection of firsthand information
 Allows interviewer to identify and take care of non-verbal cues-emotions /feelings, facial
expressions etc., from the subject
 It uses a number of data collection techniques (triangulation of information)
 It is descriptive and detailed
 Story tellers interpret the past rather than reproduce it as it was

 Can be used to generate theories e.g. in the generation of a theory of recovery from
substance abuse through an occupational transition, a researcher analysed narratives of
recovery from substance abuse and highlighted how such a transition can be used in
rehabilitation.
Application of the narrative analysis
Tracking programme impact
-During project evaluation
-Assessing the theory of change
-Confirming whether there has been either positive or negative change brought by the project.
-This is usually done at outcome level
Answering the question of attribution
-To measure the substance of the programme and attribute that substance to activities undertaken
by the intervention.
-This can be done at output level monitoring during the course of project implementation
When sharing experiences and lessons learnt
Provides a platform for learning from stakeholders who could have gone past the phase.
-This can be done during KAP (Knowledge Attitude and Practise) studies.
-This can be done at any level in the project cycle.
Building up case studies
-Create an account of the project and relating it to a true told story.
-This assist in developing new and adopting winning strategies.
-Usually this is done at the end of the project
Documentary compilation
-Documentary production can be done during and after the project.
-It spells out the achievements of the project which may be done in a video or a book.
-It will assist to keep track of events and visualise the progress where necessary

 Content analysis is a research method for studying documents and communication
artifacts, which might be texts of various formats, pictures, audio or video. Social
scientists use content analysis to examine patterns in communication in a replicable and
systematic manner.
 Content analysis is a research method for studying documents and communication

artifacts, which might be texts of various formats, pictures, audio or video etc
An approach of empirical, methodological controlled analysis of texts within their context of

communication, following content analytic rules and step by step models, without rash
quantification” (Mayring, 2000, p.2)
 Quantifies the meaning of text, can uncover terminology and frequency of

occurrence among texts
 High in reliability as it follows systematic procedures to be replicated can be

based on words, images or sounds and is a major source of research on the media
 In evaluating the project activities by utilizing project team’s diaries, videos,

drawings, songs


people’s response to programs through the activities which the community is
4.6 CODING
Success and failures of qualitative analysis is hinged on coding. Discuss the view showing
clearly processes that are involved in coding (30 marks)
OCT/NOV 2017 Q3
ATTEMPT
 Data coding is the process of driving codes from the observed data. In qualitative
research the data is either obtained from observations, interviews or from questionnaires.
The purpose of data coding is to bring out the essence and meaning of the data that
respondents have provided.
 The data coder extract preliminary codes from the observed data, the preliminary codes
are further filtered and refined to obtain more accurate precise and concise codes. Later,

in the evaluation of data the researcher assigns values, percentages or other numerical
quantities to these codes to draw inferences. It should be kept in mind that the purpose of
data coding is not to just to eliminate excessive data but to summarize it meaningfully.
The data coder should ascertain that none of the important points of the data have been
lost in data coding.
 Coding qualitative research to find common themes and concepts is part of thematic
analysis, which is part of qualitative data analysis. Thematic analysis extracts themes
from text by analysing the word and sentence structure.
 Coding qualitative data makes it easier to interpret customer feedback. Assigning codes
to words and phrases in each response helps capture what the response is about which, in
turn, helps you better analyse and summarize the results of the entire survey.
1. Choose whether you’ll use deductive or inductive coding.
 Deductive coding means you start with a predefined set of codes, then assign those codes
to the new qualitative data. These codes might come from previous research, or you
might already know what themes you’re interested in analyzing. Deductive coding is also
called concept-driven coding.
 Inductive coding, also called open coding, starts from scratch and creates codes based on
the qualitative data itself. You don’t have a set codebook; all codes arise directly from the
survey responses.
2. Read through your data to get a sense of what it looks like. Assign your first set of codes.
3. Go through your data line-by-line to code as much as possible. Your codes should
become more detailed at this step.
4. Categorize your codes and figure out how they fit into your coding frame.
5. Identify which themes come up the most — and act on them.

5.0 MONITORING AND EVALUATION PLANNING
5.1 PERFORMANCE INDICATORS

Discuss the importance of indicators in monitoring and evaluation planning, showing the key
issues you would consider in selecting monitoring and evaluation indicators (25 marks)
JAN 2016 Q4/MAY/JUNE 2016 Q6
ATTEMPT
Definition
 Simply put, performance indicators are measures that describe how well a program is
achieving its objectives.
 Indicators are usually quantitative measures but may also be qualitative observations.
 They define how performance will be measured along a scale or dimension, without
specifying a particular level of achievement. (Planned levels of achievement – targets --
are separate from the indicators themselves).
 Performance indicators are measures of project impacts, outcomes, outputs, and inputs
that are monitored during project implementation to assess progress toward project
objectives. They are also used later to evaluate a project’s success. Indicators organize
information in a way that clarifies the relationships between a project’s impacts,
outcomes, outputs, and inputs and help to identify problems along the way that can
impede the achievement of project objectives.
 An indicator is a variable that is normally used as a benchmark for measuring program or

project outputs. It is “that thing” that shows that an undertaking has had the desired
impact. It is on the basis of indicators that evidence can be built on the impact of any
undertaking. Most often, indicators are quantitative in nature, however, in some few
cases, they are qualitative.
Importance
STRATEGIC PLANNING. For any program or activity, from a development project to a sales
plan, incorporating performance measurement into the design forces greater consideration of the
critical assumptions that underlie that program’s relationships and causal paths.1 Thus
performance indicators help clarify the objectives and logic of the program.

PERFORMANCE ACCOUNTING. Performance indicators can help inform resource allocation
decisions if they are used to direct resources to the most successful activities and thereby
promote the most efficient use of resources.
FORECASTING AND EARLY WARNING DURING PROGRAM IMPLEMENTATION.

Measuring progress against indicators may point toward future performance, providing feedback
that can be used for planning, identifying areas needing improvement, and suggesting what can
be done.
MEASURING PROGRAM RESULTS. Good performance indicators measure what a program

has achieved relative to its objectives, not just what it has completed; thus they promote
accountability.
PROGRAM MARKETING AND PUBLIC RELATIONS. Performance indicators can be used to

demonstrate program results to satisfy an external audience. Performance data can be used to
communicate the value of a program or project to elected officials and the public.
BENCHMARKING. Performance indicators can generate data against which to measure other
projects or programs. They also provide a way to improve programs by learning from success,
identifying good performers, and learning from their experience to improve the performance of
others.
QUALITY MANAGEMENT. Performance indicators can be used to measure customer

(beneficiary) satisfaction, and thereby assess whether and how the program is improving their
lives.
At the initial phase of a project, indicators are important for the purposes of defining how the
intervention will be measured. Through the indicators, managers are able to pre-determine how
effectiveness will be evaluated in a precise and clear manner.
During project implementation, indicators serve the purpose of aiding program managers assess
project progress and highlight areas for possible improvement. In this case, when the indicators
are measured against project goals, managers can be able to measure progress towards goals and
inform the need for corrective measures against potential catastrophes.
At the evaluation phase, indicators provide the basis for which the evaluators will assess the
project impact. Without the indicators, evaluation becomes an audacious responsibility.
Performance indicators are at the heart of a performance monitoring system – they define the
data to be collected to measure progress and enable actual results achieved over time to be
compared with planned results. Thus, they are an indispensable management tool for making
performance-based decisions about program strategies and activities.

Other ways that performance indicators, and the data collected on them, can be used include the
following:
 to orient and motivate operating unit staff toward achieving results
 to communicate USAID achievements to host country counterparts, other partners, and

customers and
 to report results achieved to USAID's stakeholders, including the U.S. Congress, Office
of Management, and Budget, and citizens.
Issues to consider
Precise/Well defined: Probably the most important characteristic of indicators is that they
should be precise or well defined. I other words, indicators must not be ambiguous. Otherwise,
different interpretations of indicators by different people implies different results for each
Reliable: Reliability here implies that the indicator yields the same results on repeated trials/
attempts when used to measure outcomes. If an indicator doesn’t yield consistent results, then it
is not a good indicator.
Valid: Validity here implies that the indicator actually measures what it intends to measure. For
example, if you intend to measure impact of a project on access to safe drinking water, it must
measure exactly that and nothing else.
Measurable: Needless to say that an indicator must be measurable. If an indicator cannot be

measured, then it should and must not be used as an indicator.
Practicable: In other cases, although an indicator can be measured, it is impracticable to do so

due to the cost or process constraints. An indicator must be able to utilize locally available
resources while at the same time being cost effective.
Example
The following are some indicators for a climate change adaptation project in community level
which focuses on farmers.
Process indicators
No of farmers supplied with drought resistant crops
No of community awareness meetings conducted
No of wells/dams constructed

No of farmers enrolled in crop insurance
No. of irrigation systems constructed
Outcome indicators
Proportion of food secure households
Percentage of malnourished children under-5
Impact indicators
Employment rates of the region
prevalence of under 5 mortality
Outline steps to follow in developing performance indicators?
ATTEMPT
Step 1: Identify What to Measure
The first step to creating program indicators for monitoring and evaluation is to determine which
characteristics of the program are most important to track. A program will use many indicators to
assess different types and levels of change that result from the intervention, like changes in
certain health knowledge, attitudes, and behaviors among the priority audience(s). Referring to
the program’s logic model can help to identify key program areas that need to be included in
monitoring indicators.
Indicators fall under the three stages of the logic model, which include:
Inputs – resources, contributions, and investments that go into a program
Outputs – activities, services, events and products that reach the priority audience(s)
Outcomes – results or changes for the priority audience(s)
Each stage of the logic model can use indicators to assess inputs, outputs, and outcomes. Process
indicators consist of inputs as well as outputs and provide information about the scope and
quality of activities implemented; these are considered monitoring indicators. Performance
indicators include outcomes and are most commonly used to measure changes towards progress
of results; these are considered evaluation indicators.
Step 2: Use the SMART Process to Develop High-Quality Indicators

One way to develop good indicators is to use the SMART criteria, as explained below. Consider
each of these points when developing new indicators or revising old ones.
Specific: The indicator should accurately describe what is intended to be measured, and should
not include multiple measurements in one indicator.
Measurable: Regardless of who uses the indicator, consistent results should be obtained and
tracked under the same conditions.
Attainable: Collecting data for the indicator should be simple, straightforward, and cost-
effective.
Relevant: The indicator should be closely connected with each respective input, output or
outcome.
Time-bound: The indicator should include a specific time frame.
Implemented between 2008 and 2011 in Tanzania, the Fataki Campaign was designed to address
the potential risk of HIV exposure in intergenerational relationships, through which older men
offer young women financial or material goods in exchange for sex. This campaign included
various mass-media and community-based activities. The monitoring and evaluation process for
this campaign used multiple indicators to track the progress of the intervention, including ones
used to track community discussions about Fatakis. One such indicator is used in the example
below. Note how much the indicator improves through this SMART process.
The example below uses the SMART approach to improve an indicator related to family
planning.
1. What is the input/output/outcome being measured?
Outcome: An increase in interpersonal communication about cross-generational sex as a result

of the Fataki campaign
2. What is the proposed indicator?
Percent that have talked to someone about cross-generational sex.
3. Is this indicator specific?
It describes what people are talking about but does not specify the audience to be measured or
who they are talking to. The indicator should include the percent of what population have talked
to who? about cross-generational sex.
4. Is this indicator measurable?

Yes, but additional refinement would make it easier to replicate over time. Some participants
may discuss cross-generational sex even if they were not exposed to the Fataki Campaign. A
better way to assess this would be to change discussion about cross-generational sex to
discussion about a “Fataki” message. Also, interpersonal communication implies a two-way
discussion. Therefore, the indicator should include “discussed with” rather than “talked to.”
5. Is the indicator attainable?
This indicator is attainable because data for this indicator will be collected through a question in
a larger, project-funded survey.
6. Is the indicator relevant and related to the input/output/outcome being measured?
This is directly related to the outcome as individuals who have talked to someone about cross-
generational sex have likely participated either directly or indirectly in interpersonal
communication about the campaign.
7. Is this indicator time-bound?
This indicator is implicitly time-bound, but not explicitly. The word “ever” or "in the last three
months" should be added to clarify the time frame.
8. Based on answers to the above questions, what is the revised proposed indicator?
Percent of community members that have discussed a “Fataki” message in the last three months
with another person in the community.
Step 3: Establish a Reference Point
To show change or progress in a program, a reference point must be established. A reference

point is a point before, during, or at the end of a program where indicators are used to establish
the state of the program in terms of the audience’s knowledge, attitudes or behavior in order to
provide a point of comparison as the program progresses. The reference point is often chosen
before or at the start of a program to assess the progress of the program over time. At the same
time, implementation timelines do not always allow for baseline data to be collected. In these
cases reference points can be set up at other times in the program.
Depending on the stage of the intervention, a reference group can be established in one of several
ways (see Figure 1 in Step 5):
Intervention has not begun Intervention has begun Intervention is over
Establish the reference point immediately before it begins. This point is usually referred to as a
baseline.See if any data related to the program indicators were collected in other surveys

targeting similar populations. For example, use data from large-scale national surveys like
DHS.A reference point can be established through a control group. Identify a sample group that
has not been exposed to the intervention and is demographically, geographically, cuturally, and
socially similar to the intervention group. Then administer data collection on program indicators
with this group.
If comparable measurements in other surveys/programs cannot be found, use the program

indicators to collect data on the current state of the program, even if it has already begun.
For example, the Fataki campaign described earlier chose to establish a reference point through
a control group, which was then compared to those who were exposed to the Fataki campaign.
This method is an acceptable way of evaluating a program, although it creates complications
when used for ongoing monitoring.
Step 4: Set Targets
Targets define the path and end destination of what a program hopes to achieve and is a number
or percentage which will measure success. Once the reference point is established, determine
what changes should be seen in the program’s indicators that would reflect progress towards
success.
When establishing targets, consider:
Baseline data or reference point: This sets a certain point in time in the program from which to
observe change over time.
Stakeholder’s expectations: Understanding the expectations of key stakeholders and partners can
help set reasonable expectations for what can be achieved.
Recent research findings: Do a literature search, if literature is available, for the latest findings
about local conditions and the program sector, or conduct FGDs or IDIs in order to set realistic
targets.
Accomplishments of similar programs: Identify relevant information on similar programs that

have been implemented under comparable conditions. Those with a reputation for high
performance can often provide critical input on setting targets.
The table below provides an example of how to visually organize inputs/outputs/outcomes,

indicators, reference points and targets, using the same Fataki campaign described earlier.
Making a table like the one below can provide a method for tracking the progress of the program
and understanding how each indicator, reference point, and target fits with the logic model.

Output: An increase in interpersonal communication about cross-generational sex as a result of
the Fataki campaign. Percent of community members that have ever discussed a “Fataki”
message with another person in the community. Among those not exposed to the Fataki
campaign, 0% have discussed a “Fataki” message with someone. Among those who have been
exposed to the Fataki campaign, 65% have discussed a “Fataki” message with someone.
Step 5: Determine the Frequency of Data Collection
As a last step, consider how often data should be collected in order to properly track the
program’s progress. These designated points in time are usually referred to as benchmarks.
Ideally, at least one round of data collection should occur between the reference point and the
end of the program. If the data are collected at the midpoint of the program, it is called a midline.
If data are collected at the end of the program, it is called an endline (see Figure 1). In the Fataki
example, only endline data was collected. The frequency of collecting data is mostly dependent
on the cost and length of the program — longer programs, or those with more funding, can
typically collect comprehensive data more frequently than shorter programs or those with less
funding.
Outline the seven criteria for assessing performance indicators
ATTEMPT
1. DIRECT. A performance indicator should measure as closely as possible the result it is

intended to measure. It should not be pegged at a higher or lower level than the result being
measured. For example contraceptive prevalence rate is a direct measure of the result increased
use of family planning methods . But number of service providers trained would NOT be a direct
measure of the result improved service delivery. Just because people are trained does not
necessarily mean they will deliver services better.
If using a direct measure is not possible, one or more proxy indicators might be appropriate. For
example, sometimes reliable data on direct measures are not available at a frequency that is
useful to managers, and proxy indicators are needed to provide timely insight on progress. Proxy
measures are indirect measures that are linked to the result by one or more assumptions. For
example, in rural areas of Africa it is often very difficult to measure income levels directly.
Measures such as percentage of village households with tin roofs (or radios or bicycles) may be a
useful, if somewhat rough, proxy. The assumption is that when villagers have higher income
they tend to purchase certain goods. If convincing evidence exists that the assumption is sound
(for instance, it is based on research or experience elsewhere), then the proxy may be an
adequate indicator, albeit second-best to a direct measure.
2. OBJECTIVE. An objective indicator has no ambiguity about what is being measured. That is,
there is general agreement over interpretation of the results. It is both unidimensional and

operationally precise. To buen idimensional means that it measures only one phenomenon at a
time. Avoid trying to combine too much in one indicator, such as measures of both access and
uOsep.e rational precision means no ambiguity over what kind of data would be collected for an
indicator. For example, whniluem ber of successful export firms is ambiguous, something liken
umber of export firms experiencing an annual increase in revenues of at least 5 perce inst
operationally precise.
3. ADEQUATE. Taken as a group, a performance indicator and its companion indicators should
adequately measure the result in question. A frequently asked question is "how many indicators
should be used to measure any given result?" The answer depends on
a) the complexity of the result being measured, b) the level of resources available for monitoring
performance, and c) the amount of information needed to make reasonably confident decisions.
For some results that are straightforward and have tried and true measures, one performance
indicator may be enough. For example, if the intended result iinsc reased traditional exports, the
indicator dollar value of traditional exports per year is probably sufficient. Where no single
indicator is sufficient, or where there are benefits to be gained by "triangulation" -- then two or
more indicators may be needed. However, avoid using too many indicators. Try to strike a
balance between resources available for measuring performance and the amount of information
managers need to make reasonably well informed decisions.
4. QUANTITATIVE, WHERE POSSIBLE Quantitative indicators are numerical (number or

percentage of dollar value, tonnage, for example). Qualitative indicators are descriptive
observations (an expert opinion of institutional strength, or a description of behavior). While
quantitative indicators are not necessarily more objective, their numerical precision lends them to
more agreement on interpretation of results data, and are thus usually preferable. However, even
when effective quantitative indicators are being used, qualitative indicators can supplement the
numbers and percentages with a richness of information that brings a program's results to life.
5. DISAGGREGATED, WHERE APPROPRIATED. isaggregating people-level program

results by gender, age, location, or some other dimension is often important from a management
or reporting point of view. Experience shows that development activities often require different
approaches for different groups and affect those groups in different ways. Disaggregated data
help track whether or not specific groups participate in and benefit from activities intended to
include them. Therefore, it makes good management sense that performance indicators be
sensitive to such differences.
6. PRACTICAL. An indicator is practical if data can be obtained in a timely way and at a

reasonable cost. Managers require data that can be collected frequently enough to inform them of
progress and influence decisions. USAID operating units should expect to incur reasonable, but
not exorbitant, costs for obtaining useful performance information. A rule of thumb, given in the

reengineering guidance, is to plan on allocating 3 to 10 percent of total program resources for
performance monitoring and evaluation.
7. RELIABLE. A final consideration in choosing performance indicators is whether data of

sufficiently reliable quality for confident decision-making can be obtained. But what standards of
data quality are needed to ubsee ful? The data that a program manager needs to make reasonably
confident decisions about a program is not necessarily the same rigorous standard a social
scientist is looking for. For example, a low cost minisurvey may be good enough for a given
management need.
5.2 LOGFRAME MATRIX

With the aid of illustrations, explain how the logframe matrix is used as a monitoring and
evaluation tool, in your discussion you must show its strengths and weaknesses (25 marks)
MAY/JUNE 2016 Q5/JAN 2016 Q3/DEC 2014 Q3/
ATTEMPT
To briefly review, a program logic model is a detailed visual representation of your program and
its theory of change that communicates how your program works, the resources you have to
operate your program, the activities you carry out, and the outcomes you hope to achieve. It
communicates how your program works by depicting the intended relationships among program
components.
A Logframe is another name for Logical Framework, a planning tool consisting of a matrix
which provides an overview of a project’s goal, activities and anticipated results. It provides a
structure to help specify the components of a project and its activities and for relating them to
one another. It also identifies the measures by which the project’s anticipated results will be
monitored.
The logical framework approach was developed in the late 1960s to assist the US Agency of
International Development (USAID) with project planning. Now most large international donor
agencies use some type of logical or results framework to guide project design
Key program components consist of:
• Inputs or resources - which are considered essential for a program’s activities to occur.
• Activities – which are the specific actions that make up your program or intervention.
• Outputs – what a program’s specific activities will create or produce, providing evidence of
service delivery (e.g., the number of beneficiaries served or the number of children improving
reading scores).

• Outcomes - the specific changes that may result from a program’s activities or intervention.
In addition, we can think of a logic model as essentially having two “sides.” The process side
focuses on a program’s implementation or its planned work – inputs/resources, activities, and
outputs (direct products). The outcomes side of the logic model describes the expected sequence
of changes that the program is to accomplish, which can be short-term, medium-term, and/or
long-term changes. The outcomes side reflects the difference the program intends to make.
Logical Framework Structure
A Logical Framework (or LogFrame) consists of a matrix with four columns and four or more
rows which summarize the key elements of the project plan including:
The project's hierarchy of objectives. The first column captures the project’s development
pathway or intervention logic. Basically, how an objective or result will be achieved. Each
objective or result should be explained by the objective or result immediately below. Although
different donors use different terminology, a LogFrame typically summarizes the following in its
first column:
The GOAL / OVERALL OBJECTIVE/ DEVELOPMENT OBJECTIVE
The PURPOSE / IMMEDIATE OBJECTIVE
The OUTPUTS
The ACTIVITIES
In developing a logframe, it is very important to pay attention to how the objectives and results
are formulated. For reference, see Catholic Relief Services' (CRS) Guidance for Developing
Logical and Results Frameworks.
The second and third columns summarize how the project’s achievements will be monitored and
consists of the following:
Indicators- a quantitative or qualitative measurement which provides a reliable way to measure

changes connected to an intervention. In essence “a description of the project’s objectives in
terms of quantity, quality, target group(s), time and place”
Sources of verification- Describes the information sources necessary for data compilation that
would allow the calculation of indicators.
Developing objectively verifiable indicators must also be a very careful process. The USAID
provides tips for selecting performance indicators.

Lastly, the final column lists the following:
Assumptions -the external factors or condition outside of the project’s direct control that are
necessary to ensure the project’s success.
Example of the Logical Framework Structure
Project Indicators Source of Assumptions

description Verification
Goal
Outcome
Output
Activities
Inputs
Strengths
 ensures that fundamental questions are asked and weaknesses are analyzed in order to
provide decision makers with better and more relevant information.
 Guides systematic and logical analysis of the interrelated elements that constitute a
well-designed project.
 Improves planning by highlighting linkages technology, and effects on the

environment.
 Facilitates common understanding and better communication between decision makers,

managers, and other parties involved in the project.
 Used along with systematic monitoring, ensures continuity of approach when original
staff are replaced.
 May facilitate communication between governments and donor agencies once it has
been adopted by more institutions.

 Makes it easier to undertake sectoral studies and comparative studies in general, if used
widely.
Other:
 Objectives are clear, coherent and measurable
 Concrete evidence is sought for activities that work and those that do not
 Comparisons can be drawn across projects/ programmes and conclusions reached about
best practice
 Problems are analysed systematically and risks and assumptions are made explicit
 Helps you organise your ideas and thoughts to express them to other people who might
be interested in your projects/ programmes
 It shows you what you should be measuring to determine if you are achieving your goals
– clearly stating your outputs and outcomes
 It makes your main goals and objectives clear to anyone who is interested in your
outcomes and impact.
Weaknesses
 May give rise to rigidity in project administration when objectives and external factors
specified at the outset are overemphasized. This can be avoided by regular project
reviews at which the key elements can be reevaluated and adjusted.
 As a general analytic tool, is policy neutral on questions of income distribution,

employment opportunities, access to resources, local participation, cost and feasibility of
strategies and between project elements and external factors.
 Is only one of several tools to be used during project preparation, implementation, and
evaluation. It does not replace beneficiary analysis, time planning, economic, financial,
and cost benefit analysis, environmental impact assessment, or similar tools.
Other:
 It often requires data that is unattainable in contexts like Africa or statistical analysis that
NGDOs/ VOs would struggle to undertake
 Your programs may not fit perfectly in the model. There may be multiple steps to your
project or there may be several steps that are reoccurring or happen simultaneously

 It does not consider the larger community and context within which your project operates
 It is ‘one size fits all’ approach which does not always capture complexity and nuances
 It can as such lead to numbers being made up
 It over-emphasises measurable indicators and planning. In other words, these indicators

can often be forgotten about until such time as a report is required by funders. See also
our section on why M&E is avoided.
5.3 RESULTS BASED SYSTEM

Identify and discuss the key steps followed in setting up a Results Based System (25 marks)
NOV 2019 Q1
ATTEMPT
Definition
• Results-based monitoring (what we call “monitoring”) is a continuous process of collecting and

analyzing information to compare how well a project, program, or policy is being implemented
against expected results.
• Results-based evaluation is an assessment of a planned, ongoing, or completed intervention to

determine its relevance, efficiency, effectiveness, impact, and sustainability.
• Governments and organisations face increasing internal and external pressures to demonstrate
accountability, transparency and results. Results-based monitoring and evaluation (M&E)
systems are a powerful public management tool to achieve these objectives. This handbook from
the World Bank presents a ten-step model that provides extensive detail on building, maintaining
and sustaining a results-based M&E system.
• Results-based M&E systems can help build and foster political and financial support for
policies, programmes and projects and can help governments build a solid knowledge base. They
can also produce major changes in the way governments and organisations operate, leading to
improved performance, accountability, transparency, learning, and knowledge. Results-based
M&E systems should be considered a work in progress. Continuous attention, resources, and
political commitment are needed to ensure their viability and sustainability. Building the cultural
shift necessary to move an organisation toward a results orientation takes time, commitment and
political will.
Steps
Step 1: Conducting a Readiness Assessment

• An analytical framework to assess a country’s capacity and political willingness to monitor and
evaluate its development goals
• A readiness assessment should be conducted to determine whether prerequisites for a results-

based M&E system are in place. It should review incentives and capacity for an M&E system
and roles, responsibilities and structures for assessing government performance.
Incentives
• Sort out the answers to these questions:
– What is driving the need for building an M&E system?
– Who are the champions for building and using an M&E system?
– What is motivating those who champion building and M&E system?
– Who will benefit from the system?
– Who will not benefit?
Roles and Responsibilities
• Ask:
– What are the roles of central and line ministries in assessing performance?
– What is the role of parliament?
– What is the role of the supreme audit agency?
– Do ministries and agencies share information with one another?
– Who in the country produces trustworthy data?
– Where in the government are data used?
Organizational Capacity
• Assess current government capacity to monitor and evaluate:
– Technical skills
– Managerial skills
– Existing data systems and their quality

– Technology available
– Fiscal resources available
– Institutional experience
Barriers to M&E
• Do any of these barriers to building and M&E system now exist?
– Lack of fiscal resources
– Lack of political will
– Lack of champion
– Lack of expertise & knowledge
– Lack of strategy
– Lack of prior experience
• How do we confront these barriers?
Key Questions for Predicting Success in Building an M&E System
• Does a clear mandate exist for M&E?
– PRSP?, Law? Civil Society? Other?
• Is there the presence of strong leadership at the most senior levels of the government?
• Is there a desire to see resource and policy decisions linked to the budget?
• How reliable is information that may be used for policy and management decision making?
• How involved is civil society as a partner with government?
• Are there pockets of innovation that can serve as beginning practices or pilot programs?
Step 2: Agreeing on Performance Outcomes to Monitor and Evaluate
Outcomes to monitor and evaluate should be agreed through a participatory process identifying
stakeholders’ concerns and formulating them as outcome statements. Outcomes should be
disaggregated and a plan developed to assess how they will be achieved.
Why an Emphasis on Outcomes?

• Makes explicit the intended objectives of government action
– (“Know where you are going before you get moving”)
• Outcomes are what produce benefits
• Clearly setting outcomes is key to designing and building results-based M&E system
• Important! Budget to outputs, manage to outcomes!
Developing Outcomes for One Policy Area: Education
Outcomes: Indicators: Baselines: Targets:
1. Nations children have
improved access to pre-school
programs
2. Primary school learning
outcomes for children are improved
Outcomes:
• Outcomes are usually not directly measured — only reported on
• Outcomes must be translated to a set of key indicators
• When choosing outcomes, “Do not go it alone!” – agreement is crucial
Step 3: Selecting Key Indicators to Monitor Outcomes
Key performance indicators to monitor outcomes should be selected through a participatory

process considering stakeholder interests and specific needs. Indicators should be clear, relevant,
economical, adequate and monitorable.
Indicators
• A specific measure, that when tracked systematically over time indicates progress (or not)
toward a specific target
• Indicators asks the question:
– How will we know success when we see it?

Indicator Development
• “CREAM”
– Clear
– Relevant
– Economic
– Adequate
– Monitorable
Matrix for Selecting/Using Indicators
Indicator Data Data Who will Frequency Difficulty Who will Who
will
source collection collect & cost to to collect analyze
and use the
method data? collect
report data?
data?
1.
2.
3.
Developing Set of Outcome = Indicators for One Policy Area: Education
1. Nations children 1. % of eligible urban children

have improved access enrolled in pre-school education
to pre-school
programs 2. % of eligible rural children
enrolled in pre-school education
2. Primary school 1. % of Grade 6 students scoring

learning outcomes for 70% or better on standardized math
and science tests
children are improved
2. % of Grade 6 students scoring
higher on standardized math and

science tests in comparison to
baseline data
Developing Indicators
• Develop your own indicators to meet your needs
• Developing good indicators usually takes more than one try
• Arriving at final indicators will take time
• State all indicators neutrally – not “increase in…” or “decrease in…”
• Pilot, Pilot, and Pilot!
Step 4: Gathering Baseline Data on Indicators
Baseline data on indicators should be established as a guide by which to monitor future

performance. Important issues when setting baselines and gathering data on indicators include
the sources, collection, analysis, reporting and use of data.
Baseline Data and Sources
• Baseline data:
– Measurements to find out where are we today?
• Primary source:
– gathered specifically for the project
• Secondary source:
– collected for another purpose, but can be used
– from: within organization, government, international data sources, etc.
– can save money but be careful to ensure that it is truly the information you need
Possible Sources
• Written records
• Individuals involved with the intervention

• The general public
• Trained observers
• Mechanical measurements
• Geographical information system
Design Data Collection Methods
1. Decide how to obtain the data you need from each source
2. Prepare data collection instruments
3. Develop procedures for use of the data collection instruments
Informal/Less Structured Methods
Conversation with concerned individuals
Community Interviews
Field visits
Reviews of official records (MIS and admin data)
Key informant interviews
Participant Observation
Focus Group Interviews
Direct observation
More Structured/Formal Methods
Questionnaires
One-Time Survey
Panel Surveys
Census
Field experiments

1. Nations children have 1. % of eligible urban children 1. 75% urban in 1999

improved access to pre- enrolled in pre-school
school programs education 2. 40% rural in 2000
2. % of eligible rural children

enrolled in pre-school
education
2. Primary school learning 1. % of Grade 6 students 1. 47% in 2002 scored

outcomes for scoring 70% or better on
standardized math and science 70% or better in math.
children are improved tests 50% in 2002 scored 70% or
2. % of Grade 6 students better
scoring higher on standardized 2. Mean % score in 2002 for
math and science tests in Grad 6 students for math
comparison to baseline data was 68%, and 53% for
science
Step 5: Planning for Improvements — Setting Realistic Targets
Performance targets should be selected to identify expected and desired project, programme or
policy results. Factors to consider include baselines, available resources, time frames and
political concerns. A participatory process with stakeholders and partners is key.
Targets:
• The quantifiable levels of the indicators that a country or organization wants to achieve at a
given point in time
• Example:
–Agricultural exports will increase in the next three years by 20% over the baseline
Identifying Expected or Desired Level of Improvement Requires Targets
Baseline Desired Level of Target Performance
Indicator Improvement Desired level of

Performance to be
Level Assumes a finite and reached within a specific
expected level of inputs, time
activities, and outputs

Caution:
• It takes time to observe the effects of improvements, therefore:
– Be realistic when setting targets
– Avoid promising too much and thus programming yourself to fail
1. Nations children have 1. % of eligible urban children 1. 75% urban in 1999 1. 85% urban in
improved access to pre- enrolled in pre-school
school programs education 2. 40% rural in 2000 2006
2. % of eligible rural children 2. 60% rural in

enrolled in pre-school 2006
education
2. Primary school learning 1. % of Grade 6 students 1. 47% in 2002 scored 1. 80% by 2006 in
outcomes for scoring 70% or better on
standardized math and science 70% or better in math. math - 7% by 2006
children are improved tests 50% in 2002 scored 70% or 2. Mean math test
2. % of Grade 6 students better score in 2006 is
scoring higher on standardized 2. Mean % score in 2002 for
math and science tests in Grad 6 students for math 78% -- Mean
comparison to baseline data was 68%, and 53% for science score in
science
2006 is 65%
Step 6: Monitoring for Results
Monitoring for results includes both implementation and results monitoring as well as forming
partnerships to attain shared outcomes. Monitoring systems need ownership, management,
maintenance and credibility. Data collection needs reliability, validity and timeliness.
Key Types of Monitoring
Impacts
Results Results Monitoring
Outcomes
Outputs
Implementation Activities
Implementation
Monitoring
(Means and Strategies)

Inputs
Implementation Monitoring Links to Results Monitoring
Outcome
Monitor
Target 1 Target 2 Target 3
mo
Means and Strategies Means and Strategies Means and Strategies

(Multi-year and Annual (Multi-year and Annual Work (Multi-year and Plans)
Work)
Plans)
Plans

Above (from diagram above) - Monitor Results
Below (from diagram above) - Monitor Implementation
Successful Monitoring Systems
• To be successful, every monitoring system needs the following:
– ownership
– management
– maintenance
– credibility
Step 7: The Role of Evaluation
Evaluation provides information on strategy, operations and learning. Different types of

evaluation answer different questions. Features of quality evaluations include impartiality,
usefulness, technical adequacy, stakeholder involvement, value for money and feedback.
Evaluation—When to Use?
• Any time there is an unexpected result that requires further investigation
• When resource or budget allocations are being made across projects, programs, or policies
• When a decision is being made whether or not to expand a pilot
• When there is a long period with no improvement, and the reasons for this are not clear
• When similar programs or policies are reporting divergent outcomes
Evaluation Means Info on: Strategy
• Whether we are doing the right things (Strategy)
– Rationale/justification
– Clear theory of change
•Whether we are doing things right (Operation)
– Effectiveness in achieving expected outcomes
– Efficiency in optimizing resources

– Client satisfaction
• Whether there are better ways of doing it (Learning)
– Alternatives
– Best practices
– Lessons learned
Step 8: Reporting Findings
Reports on the findings of M&E systems can be used to gain support and explore and
investigate. Reports should consider the requirements of the target audience and present data
clearly.
Analyzing and Reporting Data
• Gives information on the status of projects, programs, and policies
• Provides clues to problems
• Creates opportunities to consider improvements in the (projects, programs, or policy)

implementation strategies
• Provides important information over time on trends and directions
• Helps confirm or challenge theory of change
Analyzing Data
• Examine changes over time
– Compare present to past data to look for trends and other changes
– The more data points you have, the more certain you are of your trends
Presenting Data
• Present most important data only
• Use an appendix or a separate report for detailed technical data
• Use visual presentations (charts, graphs, maps) to illustrate and highlight key points
• Avoid “data dumps”

Step 9: Using Findings
Findings of results-based M&E systems can also be used to improve performance and
demonstrate accountability and transparency. Benefits of using findings include continuous
feedback and organisational and institutional knowledge and learning.
Ten Uses of Results
Findings
• Responds to elected officials’ and the public’s demands for accountability
• Helps formulate and justify budget requests
• Helps in making operational resource allocation decisions
• Triggers in-depth examinations of what performance problems exist and what corrections are
needed
• Helps motivate personnel to continue making program improvements
• Monitors the performance of contractors and grantees against performance targets
• Provides data for special, in-depth program evaluations
• Helps provide services more efficiently
• Supports strategic and other long-term planning efforts (by providing baseline information and
later tracking progress)
• Communicates better with the public to build public trust
Nine Strategies for Sharing Information
• Empower the media
• Enact “Freedom of Information” legislation
• Institute E-government
• Add information on internal and external internet sites
• Publish annual budget reports
• Engage civil society and citizen groups
• Strengthen parliamentary oversight

• Strengthen the Office of the Auditor General
• Share and compare results findings with development partners
Step 10: Sustaining the M&E System within the Organization
Good results-based M&E systems must be used in order to be sustainable. Critical components
of sustaining M&E systems include demand, clear roles and responsibilities, trustworthy and
credible information, accountability, capacity and incentives.
Critical Components Crucial to Sustaining
• Demand
• Clear roles and responsibilities
• Trustworthy and credible information
• Accountability
• Capacity
• Incentives
Last Reminders
• The demand for capacity building never ends! The only way an organization can coast is
downhill…
• Keep your champions on your side and help them!
• Establish the understanding with the Ministry of Finance and the Parliament that an M&E
system needs sustained resources
• Look for every opportunity to link results information to budget and resource allocation
Decisions
• Begin with pilot efforts to demonstrate effective results-based monitoring and evaluation
• Begin with an enclave strategy (e.g., islands of innovation) as opposed to a whole-of

government approach.
• Monitor both implementation progress and results achievements.
• Complement performance monitoring with evaluations to ensure better understanding of

public sector results.
5.4 PROGRAM DOMAINS

Discuss the 5 program domains that you would consider assessing when carrying out an
evaluation of a social program (25 marks)
MAY/JUNE 2018
ATTEMPT
Definition
 Evaluation…
 Is the systematic assessment of the design, implementation or results of an initiative for

the purposes of learning and decision making
 Evaluation refers to the process of determining the worth or significance of an activity,

policy or program.
 The aim is to determine the relevance and fulfilment of objectives, development

efficiency, effectiveness, impact, and sustainability.
 Starting from the bottom, each domain builds upon the previous domain. Ideally, you
would not be designing and implementing a program unless a need for a program had
been identified. You would also not be able to assess program outcomes without
implementing a program. It would be inappropriate to conduct an efficiency assessment
without establishing that a program achieved its desired outcomes.
Domains
Domain 1: Assessment of Need for a Program
The first evaluation domain is needs assessment. What is a need? A need is defined as the gap
between “what is” and “what should be” (Witkin & Altschuld, 1995). There are different sources
of information that we can use to determine needs, such as talking with potential target audiences
or knowledgeable informants, or even reviewing existing data and statistics.
For example, many low-income families struggle with debt, which can create a great deal of
stress and other problems.
A needs assessment helps us determine whether there is a need for a program to address this
issue and is typically conducted before implementing a program.

The overarching evaluation question in this domain asks:
Is there a need for this type of program in this context?
Domain 2: Assessment of Program Design and Theory
The second evaluation domain is theory assessment. A theory of change identifies components
needed to accomplish a program’s goal (Center for Theory of Change, 2013), while a logic
model presents those components in a visual format to show the relationships between activities
and outcomes (Taylor-Powell & Henert, 2008). We use theory and research to determine what
content should be delivered and the most effective ways to deliver it. Before implementing a
program, we need to make sure the conceptualization and design of the program reflect valid
assumptions about the problem and a feasible approach to resolving it.
For example, in reviewing theory and research, we determine that one promising approach to
helping families with debt is providing education and hands-on practice related to developing a
budget.
Therefore, we develop a curriculum for delivering an educational program that includes both
content information and exercises.
Is the program conceptualized in a way that it should work?
Domain 3: Assessment of Program Process and Implementation
The third evaluation domain is implementation assessment, or process evaluation. This domain
focuses on the program’s operation and delivery, or its process, to determine whether a program
was delivered in the way it was intended.
For example, we could assess how well the hands-on budgeting activities matched the program’s
objectives, if we reached the desired target audience, and whether the activities were delivered as
described in the curriculum.
This example shows that process evaluation is useful for refining or improving a program; for
this reason, it is also called formative evaluation.
Was this program implemented properly and according to the plan?
Domain 4: Assessment of Program Outcome and/or Impact

The fourth evaluation domain is outcome and impact assessment. An outcome refers to a change
in knowledge, attitudes, skills, behaviors, practices, or conditions (Taylor-Powell & Henert,
2008). Impact refers to determining whether it was the program being evaluated that caused the
outcomes documented. Outcome and impact assessment require clearly defined program
objectives that identify how much change is expected, in what area, by when, and for whom.
For example, outcome assessment helps us determine if we reached our goal of 80 percent of
program participants increasing their knowledge and skills related to developing a budget.
These assessments, also called summative evaluation, are conducted after the program is
completed and often for the benefit of some external audience or decision-makers.
Did this program achieve its desired outcomes and have an impact on its intended targets?
Domain 5: Assessment of Program Cost and Efficiency
The final evaluation domain is efficiency assessment. This domain focuses on whether the
benefits of the program justify the costs.
For example, did the outcomes that resulted from our budgeting program outweigh the costs of
providing it?
There are various types of efficiency assessment. Two common analyses are cost-benefit
analysis and cost-effectiveness analysis. While a form of efficiency assessment can be done
before a program is implemented to determine its economic feasibility, full-scale efficiency
assessment is typically conducted after you have evidence of program outcomes. Conducting
efficiency assessment typically requires involvement from an economist who has expertise in
these techniques.
Is the program cost-effective?
5.5 PLANNING
There is an expression that “failing to plan is planning to fail.” While it is not always true that
those who fail to plan will eventually fail in their endevours, there is strong evidence to suggest
that having a plan leads to greater effectiveness and efficiency UNDP, 2009. Discuss (25 marks)
DEC 2014 Q2
MAY/JUNE 2016 Q3

Define the term ‘planning’. Critically review the significance of planning within the context of
monitoring and evaluation. (25 marks)
JAN 2016
a) What is monitoring and evaluation planning? (5 marks)
b) With relevant examples, identify and discuss the main deliverables in the planning process
(20 marks)
OCT/NOV 2016 Q6
ATTEMPT
What is planning?
 Planning can be defined as the process of setting goals, developing strategies, outlining
the implementation arrangements and allocating resources to achieve those goals. It is
important to note that planning involves looking at a number of different processes:
 Without proper planning and clear articulation of intended results, it is not clear what
should be monitored and how; hence monitoring cannot be done well.
 Without effective planning (clear results frameworks), the basis for evaluation is weak;
hence evaluation cannot be done well.
INTRODUCTION TO PLANNING
Good planning helps us focus on the results that matter, while monitoring and evaluation help us
learn from past successes and challenges and inform decision making so that current and future
initiatives are better able to improve people’s lives and expand their choices.
 Planning helps establish and then maintain focus on objectives
 Planning should be all involving, participatory and all encompassing.
 It is important to ensure active participation of project staff, boundary partners and end
beneficiaries in the planning, implementation, monitoring and evaluation of M&E plans.
THE BENEFITS OF PLANNING
There are four main benefits that make planning worthwhile:

 Planning enables us to know what should be done and when. Without proper planning,
projects or programmes maybe implemented at the wrong time or in the wrong manner
and result in poor outcomes.
 Planning helps mitigate and manage crises and ensure smoother implementation—There
will always be unexpected situations in programmes and projects. However, a proper
planning exercise helps reduce the likelihood of these and prepares the team for dealing
with them when they occur.
 Planning improves focus on priorities and leads to more efficient use of time, money and
other resources –Having a clear plan or roadmap helps focus limited resources on priority
activities, that is, the ones most likely to bring about the desired change.
The Centre for Disease Control and Prevention published the framework for Program Evaluation
in 1999.
in general.
he evaluation
design is even discussed.
-evaluation
work that is required for a successful evaluation.
(1) assessing the context
(2) gathering reconnaissance
(3) engaging stakeholders
(4) describing the program
(5) focusing the evaluation
These are steps because this progression is efficient and informative for subsequent phases of
planning and implementation, but they are not necessarily completed in linear fashion.
throughout the planning process.

Issues to address during each step in the planning process
Steps in the Planning Description of Planning Step Issues to Consider During Each Step
Process
Assess Context Evaluator thoroughly understands the  Understand the organizational

environment within which the and political environment.
program and evaluation occur
 Define the relationship between
the evaluator and the sponsor.
 Determine the level of the

evaluation.
Gather recoinnaissance Evaluator informally learns about  Specify the uses of the
relationships among stakeholders and evaluation findings
partners
 Validate perspectives related to
the evaluation.
Engage stakeholders Evaluator invites key stakeholders and  Identify and invite stakeholders
establishes structures and establishes
structures and lines of communication  Define stakeholder roles and
to facilitate their involvement. structure for their input.
 Establish group processes for

ongoing stakeholder input
Describe the Program Evaluator thoroughly describes and  Conceptualize program theory
conceptualizes the program. or rationale.
 Understand program history and

evolution
Focus the Evaluation Evaluator establishes domains of  Complete comprehensive list of

greatest interest to finalize focus of evaluation questions.
evaluation.
 Ensure feasibility (including
burden of data collection)

5.6 DELIVERABLES
Discuss the ten key deliverables to be produced when planning for results
ATTEMPT 1
Main deliverables to be produced in the planning for results process
1. The initial issues note and draft work plan for the planning process (outline of activities
and schedule and cost)
2. Stakeholder influence and importance matrix
3. List of key problems identified
4. Prioritized list of problems
5. Cause-effect diagram or problem tree analysis for each prioritized problems
6. Vision statement for each prioritized problem
7. Results map for each prioritized problem
8. Results framework for the programme or project document
ATTEMPT 2
Other perspective:
1. Introduction
- Background of organisation, area of operation, mandate and line ministry, mission

statement.
2. Stakeholder analysis
- Identification of stakeholders
- (Freeman, 1999) defined a stakeholder as an individual or group who can affect the
achievement of an organisation’s objectives or who is affected by the achievement of
an organisation’s objectives.
- Stakeholders are divided into two that is Primary stakeholders and Secondary
Stakeholders. Primary stakeholders are defined by (Vayyavur, 2015) as one without
whose continuing participation the corporation cannot survive as a going concern e.g.

staff. Secondary Stakeholders are those who influence, or affect or are influenced or
affected by the corporation but they are not essential in its survival.
- Stakeholders matrix
- Significance of Stakeholder Analysis
fect or be affected by the project
stakeholders
potential negative impact and manage negative stakeholders
3. Work Plan
- Is a flexible guide to the steps used to document project activities, answer evaluation
questions, and show progress toward project goals and objectives.
4. The Problem
- Identification of list of problems
- Prioritization of problems
- Problem statement e.g. Lack of access to sufficient clean and safe water in Bulawayo
City
- Background of Problem Statement
5. Causal Effect Analysis/Problem Tree
- Helps us understand the causes of key problems as well as the downstream effects of
a problem.
6. Means Ends Analysis/Objective Tree
- Is a problem solving technique that identifies the current state, defines the end goal
and determines the action plan to reach the end state in a modular way.
7. Log Frame Matrix
- Is a planning tool consisting of a matrix which provides an overview of a project’s

goal, activities and anticipated results.

- It provides a structure to help specify the components of a project and its activities
and for relating them to one another.
8. Alternative Analysis
- Is the evaluation of the different choices available to achieve a particular project

management objective.
- It is an analytical comparison of different factors like operational cost, risks,

effectiveness as well as the shortfalls in an operational capability.
9. Monitoring Plan
- Is a written plan that describes what will be monitored and how.
- A good monitoring plan is simple.
- It is based on existing monitoring mechanisms and sources of information, and

collects only as much information as is used by the project team.
- Information is collected regularly throughout the project.
10. Activities Schedule
- Is a list of activities which the monitoring and evaluation team expects to carry out in
completing obligations under a program.
11. Evaluation Plan
- Is a written document that describes how you will monitor and evaluate your
program, as well as how you intend to use evaluation results for program
improvement and decision making.
- Clarifies how you will describe the “what”, the “how,” and the “why it matters” for
your program.
12. Data Management Plan
- Is a formal document that outlines how data are to be handled both during a program,
and after the program is completed.
- Deals with collection, organization, use, storage, contextualization, preservation,

preservation, privacy and sharing of data.
13. Communication Management Plan

- Sets the communications framework for the project.
- Is a simple tool that enables the program manager to communicate effectively on a

program with your clients, team, and other stakeholders.
5.7 MONITORING AND EVALUATION PLAN

Explore the various components of a monitoring and evaluation plan. (25marks)
Identify and describe the key elements of a monitoring and evaluation plan. In your discussion,
show the logic and significance of each element in monitoring and evaluation. (25marks)
DEC 2013/DEC 2014/JAN 2016 SUPP/MAY 2016/JUNE 2018
ATTEMPT
An M&E plan is like a roadmap that helps to define, implement, track and improve a monitoring
and evaluation strategy within a particular project or a group of projects; it states everything that
needs to happen from the project planning phase until the project reaches its goal and creates the
intended impact. An M&E plan identifies:
 How evaluation questions directly link to programmatic goals
 Variables you need to measure in order to provide answers to your monitoring and
evaluation questions
 Data collection tools for measuring variables
 Processes for data collection and data management
 How resulting data and information will be used
 Staffing and other resources needed to implement M&E activities
Components of a monitoring and evaluation plan
1. The introduction
-evaluation goal, uses, audiences i.e stakeholders involved; and the evaluation team
2. The program description and framework
-Problem statement, goals and objectives- what is the ultimate outcome of the project
-Conceptual frameworks: how a program fits into causal pathway to desired outcome
-Logic: shows how program components that will contribute to the long and short-term outcomes

-Geographic scope, target population and duration
3. A detailed description of the plan indicators
-Indicator matrix
4. The data collection plan
-Includes the data that will be collected, the method of collection, analysis and reporting, can
also include challenges.
5. A plan for monitoring
-This section includes the components that will be measured, frequency of data collection and
indicators that will be used to measure the results.
6. A plan for evaluation
-Includes the research design i.e how the program will be evaluated and indicators that will be
used to measure program outcomes
7. A plan for the utilization of the information gained
-this section includes all the stakeholders who will access the plan and use collected data. It also
includes how and where the findings will be stored
8. A mechanism for updating the plan elements
It is very important to update the M&E plan as and when there are changes in the program that
affect the original plans.
Identify and discuss the key steps involved in designing a monitoring and evaluation plan (25
marks)
DEC 2014 Q5
ATTEMPT
The following steps can be followed in developing an M&E plan:
1. Define the project goals, objectives, outcome challenge, indicators and outputs.
2. Identify the indicators for objectives at different levels and steps of implementation
3. Devise a data gathering strategy for the indicators selected
4. Identify key decision making events into which M & E activities can be incorporated

5. Assign responsibility: who will do what and when etc.
6. Develop M & E Tools that help standardise and maintain objectivity[ Avoid ignoring
important phenomena not covered in the instrument]
7. Decide how data will be gathered, analysed and used.
8. Review processes where necessary and incorporates best practices where possible.
5.8 MONITORING AND EVALUATION SYSTEM

Why is a monitoring and evaluation system a valuable tool to support good management? (25
marks)
A monitoring and evaluation system refers to all the indicators, tools, and processes that you will
use to measure if the program has been implemented according to plan and is having a desired
result. It is important for good management in the following ways :
 Helps an organization make informed decisions about their program based on evidence.
 Greater transparency and accountability- One of the greatest benefits of M&E system is
helping organisations to track analyse and report on relevant information and data
throughout the life cycle of a project.
 A more in-depth study of results-based outcomes and impacts
 Bringing in other data sources than just extant indicators
 Addressing factors that are too difficult or expensive to continuously monitor
 Tackling the issue of why and how the trends being tracked with monitoring data are
moving in the directions they are (perhaps most important).
 Such data on impacts and causal attribution are not to be taken lightly and can play an
important role in an organization making strategic resource allocations. Identifies ways to
use resources more effectively and efficiently.
 Helps identify the impact of the program, gaps in implementation, and things that worked
successfully.
 Provides data that can help convince donors to invest more or help program officers
devise alternative approaches to address their problems.
Components of an M&E system showing their importance to support good management

Notably another school of thought has come up with 12 key components of Monitoring and
Evaluation Systems in order to function effectively and efficiently and attain the set goals. These
are Organizational Structures with M&E Functions, Human Capacity for M&E, Partnerships for
Planning, Coordinating and Managing the M&E System, M&E frameworks/Logical Framework,
M&E Work Plan and costs, Communication, Advocacy and Culture for M&E, Routine
Programme Monitoring, Surveys and Surveillance, National and Sub-national databases,
Supportive Supervision and Data Auditing, Evaluation and Research and Data Dissemination
and Use.
Organizational Structures with M&E Functions
The adequate implementation of M&E at any level requires that there is a unit whose main
purpose is to coordinate all the M&E functions at its level. While some entities prefer to have an
internal organ to oversee its M&E functions, others prefer to outsource such services. This
component of M&E emphasizes the need for M&E unit within the organization, how elaborate
its roles are defined, how adequately its roles are supported by the organizations hierarchy and
how other units within the organization are aligned to support the M&E functions within the
organization.
Human Capacity for M&E
An effective M&E implementation requires that there is only adequate staff employed in the
M&E unit, but also that the staff within this unit have the necessary M&E technical know-how
and experience. As such, this component emphasizes the need to have the necessary human
resource that can run the M&E function by hiring employees who have adequate knowledge and
experience in M&E implementation, while at the same time ensuring that the M&E capacity of
these employees are continuously developed through training and other capacity building
initiatives to ensure that they keep up with current and emerging trends in the field.
Partnerships for Planning, Coordinating and Managing the M&E System
A prerequisite for successful M&E systems whether at organizational or national levels is the
existence of M&E partnerships. Partnerships for M&E systems are for organizations because
they complement the organization’s M&E efforts in the M&E process and they act as a source of
verification for whether M&E functions align to intended objectives. They also serve auditing
purposes where line ministries, technical working groups, communities and other stakeholders
are able to compare M&E outputs with reported outputs.
M&E Plan or frameworks/Logical Framework
The M&E framework outlines the objectives, inputs, outputs and outcomes of the intended
project and the indicators that will be used to measure all these. It also outlines the assumptions

that the M&E system will adopt. The M&E framework is essential as it links the objectives with
the process and enables the M&E expert know what to measure and how to measure it.
Costed M&E Plan
Closely related to the M&E frameworks is the M&E Work plan and costs. While the framework
outlines objectives, inputs, outputs and outcomes of the intended project, the work plan outlines
how the resources that have been allocated for the M&E functions will be used to achieve the
goals of M&E. The work plan shows how personnel, time, materials and money will be used to
achieve the set M&E functions.
Communication, Advocacy and Culture for M&E
This refers to the presence of policies and strategies within the organization to promote M&E
functions. Without continuous communication and advocacy initiatives within the organization
to promote M&E, it is difficult to entrench the M&E culture within the organization. Such
communication and strategies need to be supported by the organizations hierarchy. The existence
of an organizational M&E policy, together with the continuous use of the M&E system outputs
on communication channels are some of the ways of improving communication, advocacy and
culture for M&E
Routine Programme Monitoring
M&E consists of two major aspects: monitoring and evaluation. This component emphasizes the
importance of monitoring. Monitoring refers to the continuous and routine data collection that
takes place during project implementation. Data needs to be collected and reported on a
continuous basis to show whether the project activities are driving towards meeting the set
objectives. They also need to be integrated into the program activities for routine gathering and
analysis.
Surveys and Surveillance
This involves majorly the national level M&E plans and entails how frequently relevant national
surveys are conducted in the country. National surveys and surveillance needs to be conducted
frequently and used to evaluate progress of related projects. For example, for HIV and AIDS
national M&E plans, there needs to be HIV related surveys carried at last bi-annually and used to
measure HIV indicators at the national level.
National and Sub-national databases
The data world is gradually becoming open source. More and more entities are seeking data that
are relevant for their purposes. The need for M&E systems to make data available can therefore

not be over-emphasized. This implies that M&E systems need to develop strategies of submitting
relevant, reliable and valid data to national and sub-national databases.
Supportive Supervision and Data Auditing
Every M&E system needs a plan for supervision and data auditing. Supportive supervision
implies that an individual or organization is able to supervise regularly the M&E processes in
such a way that the supervisor offers suggestions on ways of improvement. Data auditing implies
that the data is subjected to verification to ensure its reliability and validity. Supportive
supervision is important since it ensures the M&E process is run efficiently, while data auditing
is crucial since all project decisions are based on the data collected.
Evaluation and Research
One aspect of M&E is research. The other is evaluation. Evaluation of projects is done at specific
times most often mid- term and at the end of the project. Evaluation is an important component
of M&E as it establishes whether the project has met he desired objectives. It usually provides
for organizational learning and sharing of successes with other stakeholders.
Data Dissemination and Use
The information that is gathered during the project implementation phase needs to be used to
inform future activities, either to reinforce the implemented strategy or to change it.
Additionally, results of both monitoring and evaluation outputs need to be shared out to relevant
stakeholders for accountability purposes. Organizations must therefore ensure that there is an
information dissemination plan either in the M&E plan, Work plan or both.
Why are monitoring and evaluation frameworks important? (25 marks)
JUNE 2018 Q3
ATTEMPT
Frameworks are key elements of M&E plans that depict the components of a project and the
sequence of steps needed to achieve the desired outcomes
A clear framework, agreed among the key stakeholders at the end of the planning stage, is
essential in order to carry out monitoring and evaluation systematically. This framework serves
as a plan for monitoring and evaluation, and should clarify:
 What is to be monitored and evaluated
 The activities needed to monitor and evaluate

 Who is responsible for monitoring and evaluation activities
 When monitoring and evaluation activities are planned (timing)
 How monitoring and evaluation are carried out (methods)
 What resources are required and where they are committed
Monitoring and evaluation frameworks main components
1. Narrative component
This describes how the partners will undertake monitoring and evaluation and the
accountabilities assigned to different individuals and agencies
2. Results framework
This should be prepared in the planning stage
3. Planning matrices for monitoring and evaluation
These are strategic and consolidate the information required for monitoring and evaluation for
easy reference
Importance of monitoring and evaluation frameworks
 A clear framework is essential to guide monitoring and evaluation
 framework explain how the programme is supposed to work by laying out the
components of the initiative and the order or the steps needed to achieve the desired
results
 A framework increases understanding of the programme’s goals and objectives defines

the relationships between factors key to implementation, and articulates the internal and
external elements that could affect the programme’s success
 A well thought out monitoring and evaluation framework can assist greatly with thinking
through programmatic strategies, objectives and planned activities, and whether they are
indeed the most appropriate ones to implement.
 Frameworks should explain how the programme is supposed to work by laying out the
components of the initiative and the order or the steps needed to achieve the desired
results
 Assist in understanding and analysing a programme

 Help to develop sound monitoring and evaluation plans and implementation of
monitoring and evaluation activities
 Articulate programme goals and measurable short, medium and long term objectives
 Define relationships among inputs, activities, outputs, outcomes and impacts
 Clarify the relationship between programme activities and external factors
 Demonstrate how activities will lead to desired outcomes and impacts, especially when
resources are not available to conduct rigorous impact evaluations They often display
relationships graphically
Conceptual Framework
A conceptual framework, sometimes called a “research framework,” is useful for identifying and
illustrating the factors and relationships that influence the outcome of a program or intervention.
Conceptual frameworks are typically shown as diagrams illustrating causal linkages between the
key components of a program and the outcomes of interest. For instance, in this example, the
program, in addition to other donors, is supplying health services, in order to increase service
utilization, with the ultimate outcome of improved health.
5.9 COSTING AN EVALUATION

What are the key issues considered when costing an evaluation? (25 marks)
MAY/JUNE 2018 Q4
ATTEMPT
Evaluators and external advisers, and expenses related to their duties, Evaluation
consultants and expert advisory panel members (if any)
 One evaluator or a team? How many in a team? What is the composition (national or
international)?
 How many days will be required for each consultant and adviser?
 What would be the daily rate range for each one of them?
 Any cost associated with hiring?
 Are the advisory panel members paid (daily fees, honorarium)?
Travel requirements

 What types of travel expenses will be incurred? For example, how many times does the
team need to travel to the country or field?
 What travel requirements exist for briefings in UNDP offices, interviews with
stakeholders, data collection activities, stakeholder meetings, etc
 What would be the primary mode of travel (project vehicle, etc Is there a need for special
modes of transportation due to accessibility and security considerations? For how many
days and what are the allowances?
Requirements for consultations with stakeholders
 Are there regular meetings with the steering committee members to discuss the progress
of the evaluation?
 Will there be a meeting with wider stakeholders to discuss the findings and
recommendations of the evaluation? How many and who will be invited?
 What would be the cost associated with renting venues, and bringing in stakeholders
(allowances and travel expenses) and refreshments?
Data collection and analysis tools and methods
 What are methods of data collection? If surveys and/or questionnaires will be used, what
is the target population and area to be covered?
 What resources are required (fees for enumerators, including their travel expenses, etc.)?
Is there a need for researchers to complete a detailed analysis of data collected?
 Any supplies needed? For example, office supplies, computer software for data analysis,
etc.
Communication costs
 What are the phone, Internet and fax usage requirements?
 If surveys or questionnaires are conducted, how will they be administered (mail, Internet,
telephone, etc.)?
Publication and dissemination of evaluation reports and other products, including translation
costs, if there are needed.
 Are there any resources allocated for incidentals?

 Are there partners for the evaluation? Is this evaluation cost shared? What would be the
cost?
5.10 PARAMETERS
State and explain the four key parameters of a project, on which a monitoring and evaluation
system is built. Your response should clearly show the importance of each parameter. (25 marks)
ATTEMPT
The four key components discussed below form the foundation upon which the M&E system is
built. They play a critical role in M&E planning, answering these four corresponding questions:
 What does the project want to change and how?
 What are the specific objectives to achieve this change?
 What are the indicators and how will they measure this?
 How will the data be collected and analysed?
Causal Analysis Framework
A causal analysis framework seeks to specify the following:
1. The major problem and condition(s) that the project seeks to change
2. Factors that cause the condition(s)
3. Ways to influence the causal factors, based on hypotheses of the relationships between
the causes and likely solutions
4. Interventions to influence the causal factors.
5. The expected changes or desired outcomes
 Causal analysis should be based on a careful study of local conditions and available data
as well as consultation with potential beneficiaries, program implementers, other
stakeholders, and technical experts.
 The assumptions underlying causal analysis can be assessed by involving potential

beneficiaries, program managers and implementers, other stakeholders, and technical
experts.
 Causal analysis is useful to examine cause and effect relationships and identify
community needs from which to formulate a working hypothesis

 Other forms of analysis include problem analysis, such as problem trees, to isolate
conditions and consequences that help identify objectives and strategies (Stetson et al.
2004, p. 78), and theory of change analysis, which uses backwards mapping to identify
conditions required to bring about desired long-term outcomes (Theory of Change 2008).
Logframe or Logical Framework
 A logframe or logical framework shows the conceptual foundation upon which the
project’s M&E system is built. Basically, the logframe is a matrix that specifies what the
project is intended to achieve (objectives) and how this achievement will be measured
(indicators).
 It is essential to understand the differences between project inputs, outputs, outcomes,

and impact, since the indicators to be measured under the M&E system reflect this
hierarchy.
 It is important to note that various organizations in the development community use

different formats and terms for the types of objectives in a logframe; Jim Rugh (2008)
developed a useful guide to decipher these terms used by major development agencies.
A clear understanding of the logframe’s hierarchy of objectives is essential for M&E planning.
Ultimately, it will inform the key questions that will guide the evaluation of project processes
and impacts:
Goal: To what extent has the project contributed towards its longer term goals? Why or why
not? What unanticipated positive or negative consequences did the project have? Why did they
arise?
Outcomes: What changes have occurred as a result of the outputs and to what extent are these
likely to contribute towards the project purpose and desired impact? Has the project achieved the
changes for which it can realistically be held accountable?
Outputs: What direct tangible products or services has the project delivered as a result of
activities?
Activities: Have planned activities been completed on time and within the budget? What
unplanned activities have been completed?
Inputs: Are the resources being used efficiently?
 Similarly, it is also important to understand the logframe’s hierarchy of indicators. For

instance, it is usually easier to measure lower-level indicators such as the number of

workshop participants, while the difficulty in precision and measurement complexity
increases when attempting to measure changes in behaviour.
 The higher levels of the indicator hierarchy require more analysis and synthesis of
different information types and sources. This affects the M&E data collection methods
and analysis, which has implications for staffing, budgets, and timeframe.
The Indicator Matrix
An indicator matrix is a critical tool for planning and managing data collection, analysis, and use.
It expands the logframe to identify key information requirements for each indicator and
summarizes the key M&E tasks for the project. While the names and formats of the indicator
matrix may vary, (e.g., M&E plan, indicator planning matrix, or data collection plan), the overall
function remains the same.
The following are the major components (column headings) of the indicator matrix:
1. The indicators: provide clear statements of the precise information needed to assess
whether proposed changes have occurred. Indicators can be either quantitative (numeric)
or qualitative (descriptive observations). Typically the indicators in an indicator matrix
are taken directly from the logframe.
2. Indicator Definitions: Each indicator needs a detailed definition of its key terms,
including an explanation of specific aspects that will be measured (such as who, what,
and where the indicator applies). The definition should explain precisely how the
indicator will be calculated, such as the numerator and denominator of a percent measure.
This column should also note if the indicator is to be disaggregated by sex, age, ethnicity,
or some other variable.
3. Methods/Sources: This column identifies sources of information and data collection

methods or tools, such as use of secondary data, regular monitoring or periodic
evaluation, baseline or endline surveys, and focus group discussions. This column should
also indicate whether data collection tools (questionnaires, checklists) are pre-existing or
will need to be developed. Note that the logframe column on “Means of Verification”
may list a source or method, i.e., “household survey,” the M&E plan requires much more
detail, since the M&E work will be based on the specific methods noted.
4. Frequency/Schedules: This column states how often the data for each indicator will be
collected, such as monthly, quarterly, or annually. It is often useful to list the data
collection timing or schedule, such as start-up and end dates for collection or deadlines
for tool development. When planning for data collection timing, it is important to

consider factors such as seasonal variations, school schedules, holidays, and religious
observances (i.e., Ramadan).
5. Person(s) Responsible: This column lists the people responsible and accountable for the
data collection and analysis, i.e., community volunteers, field staff, project managers,
local partner/s, and external consultants. In addition to specific people’s names, use the
position title to ensure clarity in case of personnel changes. This column is useful in
assessing and planning for capacity building for the M&E system.
6. Data Analysis: This column describes the process for compiling and analysing the data
to gauge whether the indicator has been met or not. For example, survey data usually
require statistical analysis, while qualitative data may be reviewed by research staff or
community members.
7. Information Use: This column identifies the intended audience and use of the
information. For example, the findings could be used for monitoring project
implementation, evaluating the interventions, planning future project work, or reporting
to policy makers or donors. This column should also state ways that the findings will be
formatted (e.g., tables, graphs, maps, histograms, and narrative reports) and disseminated
(e.g., Internet Web sites, briefings, community meetings, and mass media).
It is critical that the indicator matrix be developed with the participation of those who will be
using it. Completing the matrix requires detailed knowledge of the project and context provided
by the local project team and partners. Their involvement contributes to data quality because it
reinforces their understanding of what data they are to collect and how they will collect them.
Data Collection and Analysis Plan
The data collection and analysis plan expands on the information provided in the indicator matrix
by describing in detail how data and information will be defined, collected, organized, and
analysed. Typically, this plan consists of a detailed narrative that explains how each type of data
will be collected along with all the steps needed to ensure quality data and sound research
practices.
Key components of this plan include: the unit of analysis; the link between indicators, variables
and questionnaires; the sampling frame and methodology; timing and mode of data collection;
research staff responsibilities; enumerator selection, training, and supervision; fieldwork timing
and logistics; checks for data quality; data entry and storage; hypothesized relationships among
the variables; and data analysis methods. Special analyses, such as disaggregating data by
gender, age, location and socio-economic status, should also be described.


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B SOC. SC. (SP) IN M&E 1.

REVISION PACK 1.1

mashaviraj@gmail.com +263775806174 zibusisomoyo94@gmai.com +263782766140

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Zibusiso Moyo Busie

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AUG 2014 SUPP Q6

- A focus group is a type of qualitative research methodology in which small homogenous

- help develop a survey questionnaire

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However it goes without saying, a focus group as a qualitative research methodology is

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- A focus group is a type of qualitative research methodology in which small homogenous

 Relatively quick and easy;

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 Analysis is time consuming;

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What is ethical behavior?

- “…a set of moral principles, rules, or standards governing a person or a profession”

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JAN 2016 SUPP Q3

What is ethical behavior?

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Ethical Issues in Data Collection

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Ethical Issues in Data Analysis and Interpretation

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Ethical Issues in Writing and Disseminating the Research

• In planning a study, it is important to anticipate the repercussions of conducting the research on

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Outline ethical principles in data collection (25)

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Respect for Intellectual Property

Protect confidential communications, such as papers or grants submitted for publication,

Respect for colleagues

Respect your colleagues and treat them fairly.

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Human Subjects Protection

1.3 DESIGN PROCESS

AUG 2014 SUPP Q4

1. What is the purpose/objective of the evaluation?

2. What are the research questions?

3. What is the type of evaluation design?

4. What resources are available for the evaluation?

1. What is the purpose/objective of the evaluation?

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2. What are the research questions?

3. What is the type of evaluation design?

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4. What resources are available for the evaluation?

An important consideration in selecting a data collection method is the available resources

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Common quantitative data collection methods include surveys and assessments/tests.

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We now turn our attention to common qualitative data collection methods.

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Participant observation/field notes involve collecting information through observing program