CHAPTER ONE

1. Concepts and Implications

Monitoring and evaluation (M&E) are crucial tools

in managing implementation.

Although monitoring and evaluation are viewed as

related, they are distinct functions.
Definitions
Monitoring is the routine reporting of data on
project implementation and performance

Evaluation is the periodic assessment of project

impact at the population level and value
 Monitoring Evaluation
Systematic, ongoing • Systematic, periodic

During project implementation • During and after project implementation

Tracking of activities and progress • Judgment of merit, value or worth of a

project
Data collected on project activities • Data collected to answer specific
questions

Focus on activities and output, compared • Focus on outcome, impact

to target

For short term corrective action • For decision-making about future

projects

Accountability for implementation • Accountability for results

Contributes to evaluation • For office & organizational learning

Conducted by insiders • Conducted by impartial outsiders

Are we doing things right? Did we do the rights things?

 The importance of M&E

Monitoring and Evaluation is important because:

✓it provides the only consolidated source of information

showcasing project progress;

✓it allows educators 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 way to assess the crucial link between implementers

and beneficiaries on the ground and decision-makers;

✓it provides a more robust basis for raising funds and influencing

policy.

✓it provides a means for educators seeking to learn from each

other’s experiences and to incorporate them into policy and

practice;
 Types of Evaluation
1. Base line survey:

A baseline study (sometimes just called “baseline”) is an analysis

describing the initial conditions (appropriate indicators) before the

start of a project against which progress can be assessed or

comparisons made.
Its focus is on the design of the project existing level of
skills.

The questions to be asked in this step are:

➢Are the facilitation methods appropriate to achieve the

outcomes?

➢Has the project been designed in the most efficient manner?

2. Mid-term evaluation:
❖ When the project is still under way, and

❖such interim evaluations are usually under-taken at mid-term

(mid-term evaluation or review),

❖to review progress and propose alterations to project design

during the remaining period of implementation

❖focuses on the quality of the delivery process and on the

appropriateness of the delivery methods.

The major questions to be asked in the mid-term

evaluation are:

✓Are the methods being used in the delivery of the project

effective in achieving the project objective and outcomes?

✓What is the quality of the delivery process?

✓Are all the administrative arrangements running smoothly?

3. Terminal evaluation:
➢is made at the end of a project (final or end-of-project evaluation)

➢to document the re-sources used, results and progress towards

objectives.

➢focuses on the achievement of the outcomes and on the overall

effectiveness of the project.

➢conducted (often externally) at the completion of project

implementation to assess how well the project achieved its

intended objectives.
 Types of Monitoring
1. Activity (Process) Based Monitoring:

✓ focuses on the activities carried out as part of a

development intervention.

✓ designed to assess whether and/or how well those

activities are being implemented.

✓ It also covers the use of resources

✓Activity monitoring is designed to provide the information

needed to continually plan and review work, assess the

success of implementation of projects

✓identify and deal with problems and challenges, and take

advantage of opportunities as they arise.

✓Process Monitoring tracks the use of inputs and resources,

the progress of activities, and the delivery of outputs.

2. Situation (Context) Based Monitoring:

✓Is concerned with monitoring the external environment.

✓is done through defining and collecting indicators

relating to issues such as:

▪the local political situation,

▪changes in the economy, and

▪the activities of other development actors

✓situation monitoring simply means keeping eyes and ears open

in order to assess what is happening outside of a project that

might influence it.

✓Situation monitoring includes monitoring of the wider

context, such as:

▪early warning monitoring, or

▪monitoring of socio-economic trends and

▪the country’s wider policy, economic or institutional context.

3. Result or Impact Based Monitoring:
✓ Aims to assess the changes brought about by a project on a

continuous basis.

✓Often this means assessing changes in a target population (e.g.

individuals, communities, supported organizations, targeted

decision-makers).

✓Impact monitoring can be used to assess progress towards goals

and objectives

✓impact monitoring is more often associated with changes at

outcome
 MONITORING
✓ Monitoring is the routine reporting of data on project

implementation and performance.

✓ Monitoring is the collection and analysis of information

about a project, undertaken while the project is ongoing.

✓ Monitoring is the routine checking of information on

progress, so as to confirm that progress is occurring against

the defined direction.

✓ It commonly involves monthly to quarterly reporting, on

outputs, activities and use of resources (e.g. people, time,

money, and materials).

✓ Continuous internal management activity

✓ Ensures that project is on track

✓ Measures progress towards objectives

✓ Identifies problems
 EVALUATION
✓Evaluation is the periodic assessment of project impact at the

population level and value.

✓Evaluation is the systematic and objective assessment of ongoing

and/or completed projects in respect of their :

• Design
•Implementation

•Results

✓Evaluation is used to ensure that the direction chosen is correct,

and that the right mix of strategies and resources were used to get

there.
✓Typically focuses on outcomes and their relationship with

outputs.

✓Assessing whether a project is achieving its intended

objectives

✓Conducted periodically

✓conducted internally or by external independent evaluators.

✓Focuses on outcomes and impacts

 Monitoring Evaluation

Frequency Regular (e.g. monthly, quarterly) Episodic, mid-term, final

Main action Oversight Assessment

Basic purpose Improve efficiency and adjust work plan Improve effectiveness, impact and
future programming

Focus Inputs, outputs, process outcomes, work plans Effectiveness, relevance, impact, cost
effectiveness, sustainability

Information Field observations, progress reports, rapid Same, plus surveys and studies
sources assessment, routine statistics

Undertaken by Managers, project specialists, technical Same plus external evaluators.

officers, government officials (ministry focal
points)

Reporting to Governments, Donor and other stakeholders Donor, Governmentsand other

stakeholders
 Results Based Management (RBM)
✓RBM is an approach to project management based on clearly
defined results, and

✓the methodologies and tools to measure and achieve them.

✓RBM supports better performance and greater accountability by

applying:

▪a clear,

▪logical framework to plan,

▪manage and

▪measure an intervention with a focus on the results you want to

achieve.
✓Monitoring and evaluation (M&E) is a critical part of RBM.

✓It forms the basis for clear and accurate reporting on the

results achieved by an intervention (project).

✓In this way, information reporting is no longer a headache,

✓but becomes an opportunity for critical analysis and

✓organizational learning,

✓informing decision-making and

✓ impact assessment
✓RBM is defined by the following characteristics and
processes:
▪ Stakeholder participation;

▪defining expected results;

▪identifying performance indicators

▪identifying critical assumptions and performing risk

analysis

▪organizational learning

▪performance reporting
 The Power of Measuring Results

✓If you do not measure results, you can not tell success from failure

✓If you can not see success, you can not reward it

✓If you can not reward success, you are probably rewarding failure

✓If you can not see success, you can not learn from it

✓If you can not recognize failure, you can not correct it

✓If you can demonstrate results, you can win public support
✓Results-Based Management Emphasizes Implementation and

Results

✓Results-based management involves the regular collection of

information on how effective government (or any organization) is

performing

✓Results-based management demonstrates whether a policy,

program or policy is achieving its stated goals, or outcomes

✓and it investigates why these goals are, or are not, being achieved
 Results-based Management

Goal (Impacts) ➢ Long-term, widespread

improvement in society
Results

Outcomes ➢ Intermediate effects of

outputs on clients

Outputs ➢ Products and services

produced
Implementation

Activities ➢ Task personnel undertake to

transform inputs and outputs

Inputs ➢ Financial, human, and

material resources
 CIDA Results Based Management (RBM):
CIDA defines Results Based Management (RBM) as:
❑A management approach that centers on the establishment of a

process and environment where individuals work together to

accomplish expected results.

❑The RBM process allows project managers to allocate or

reallocate scarce project resources based on:

✓performance information and

✓ incorporates lessons learned into project management.

 USAID Results Based Management:
USAID defines Results Orientated Assistance (ROA) or what is also
referred to as Managing for Results (MFR) as:
✓“A grant or cooperative agreement awarded to a Development
Partner to achieve results that contribute to USAID’s performance
goals.”
There are three principal elements of ROA:

1) a results orientated program description

2) a performance measurement system
3) responsibility for performance
❖The ROA approach of USAID is designed to show how a particular
project contributes to the overall development assistance goals that have
been set by USAID and approved by the US Congress.
❑The RBM/ROA approaches are specifically designed to enable
project managers to cope with change and uncertainty and move away
from ‘blue print’ development planning. For example, USAID states:
“Overly prescriptive input-related detail should be avoided, in order to preserve
subsequent flexibility to adapt to changing circumstances “on the ground” during
implementation of the activity”

❑However, some experiences with USAID would suggest that this

principle is yet to be fully integrated into the various departments and
processes that deal with project approval.

❑At times one will find different understanding between the planning
departments and the financial management and contracting
departments of agencies, the former saying flexibility and adaptive
management is fine while the latter demands much great rigidity.
Comparing Monitoring, Evaluation,
Reviews and Audits
➢The main difference between monitoring and evaluation is their
timing and focus of assessment.

➢Monitoring data is typically used by managers for ongoing

project/programme implementation, tracking outputs, budgets,
compliance with procedures, etc.

➢ Evaluations may also inform implementation (e.g. a midterm

evaluation), but they are less frequent and examine larger changes
(outcomes) that require more methodological rigor in analysis, such
as the impact and relevance of an intervention.
A review:
❖ is a structured opportunity for reflection to identify key issues and
concerns, and make informed decisions for effective
project/programme implementation.
✓While monitoring is ongoing, reviews are less frequent but not as
involved as evaluations.
✓Also, IFRC typically uses reviews as an internal exercise, based on
monitoring data and reports.
✓They are useful to share information and collectively involve
stakeholders in decision-making.
✓They may be conducted at different levels within the
project/programme structure (e.g. at the community level and at
headquarters) and at different times and frequencies.

❖Reviews can also be conducted across projects or sectors. It is best

to plan and structure regular reviews throughout the
project/programme implementation.
An audit:
❖is an assessment to verify compliance with established rules,
regulations, procedures or mandates.

❖Audits can be distinguished from an evaluation in that emphasis is

on assurance and compliance with requirements, rather than a
judgement of worth.

❖Financial audits provide assurance on financial records and

practices,

❖whereas performance audits focus on the three E’s – efficiency,

economy and effectiveness of project/programme activities.

❖Audits can be internal or external.

 Monitoring & Reviews
Why? Check progress,
inform decisions and
remedial action, update
project plans, support
Accountability
When? Ongoing during project/
Programme
Who? Internal, involving project/
programme implementers
Link to logical Focus on inputs, activities,
hierarchy outputs and shorter-term
Outcomes
Evaluations Audits
Assess progress and Ensure compliance and
worth, identify lessons provide assurance and
and recommendations for Accountability
longer-term planning and
organizational learning;
provide accountability
Periodic and after project/ According to (donor)
programme Requirement
Can be internal or
external Typically external to
to organization project/programme, but
internal or external to
Organization
Focus on outcomes and Focus on inputs, activities
overall goal and outputs
M&E standards and ethics
➢M&E involves collecting, analyzing and communicating
information about people – therefore, it is especially important
that
➢M&E is conducted in an ethical and legal manner, with particular regard
for the welfare of those involved in and affected by it.
➢International standards and best practices help to protect
stakeholders and to ensure that M&E is accountable to and
credible with them.
➢The following is a list of key standards and practices for
ethical and accountable M&E:
✓M&E should uphold the principles and standards of the
International Organization.
✓M&E should respect the customs, culture and dignity of human
subjects . This includes differences due to religion, gender,
disability, age, sexual orientation and ethnicity.
➢Cultural sensitivity is especially important when collecting
data on sensitive topics from vulnerable and marginalized
groups
➢M&E practices should uphold the principle of “do no
harm”.
✓Data collectors and those disseminating M&E reports should be
respectful that certain information can endanger or embarrass
respondents.

✓“Under this circumstance, evaluators should seek to maximize

the benefits and reduce any unnecessary harm that might occur”

✓Participants in data collection have the legal and ethical

responsibility to report any evidence of criminal activity or wrong
doing that may harm others (e.g. alleged sexual abuse).
➢When feasible and appropriate, M&E should be
participatory.
✓Local involvement supports the sixth and seventh Principles of
Conduct to find ways to involve beneficiaries and build local
capacities.

✓Stakeholder consultation and involvement in M&E increases the

legitimacy and utility of M&E information, as well as overall
cooperation and support for and ownership of the process.

✓An M&E system should ensure that stakeholders can provide

comment and voice any complaints about the IFRC’s work.

✓This also includes a process for reviewing and responding

concerns/grievances
 Questions?
➢What do mean by project monitoring?
➢What is a project evaluation?
➢When do the broad framework of a project’s M&E system be
established?
➢What are the types of project monitoring? Discuss each of them
➢What are the types of project evaluation? Discuss each of them
➢Explain Results Based Management (RBM)
➢Do you think that the M&E shall be made in accordance with
ethics? Why?
➢Assume you are a project manager in ‘X’ organization, for what
purpose do use M&E?