Handbook For Monitoring And Evaluation
Handbookfor Monitoringand Evaluation1st EditionOctober 2002
International Federation of Red Cross and Red Crescent SocietiesAny part of this brochure may be cited, copied, translated into other languages or adapted to meet local needs without prior permission from theInternational Federation of Red Cross and Red Crescent Societies, provided that the source is clearly stated.2002International Federation of Red Cross and Red Crescent SocietiesPO Box 372CH-1211 Geneva 19SwitzerlandTelephone: 41 22 730 4222Telefax: 41 22 733 0395Telex: 412 133 FRC CHE-mail: secretariat@ifrc.orgWeb site: www.ifrc.org
ForewordI am hoping that all stakeholders throughout the Federation will receive this first edition of theMonitoring and Evaluation handbook warmly. The ever-changing development landscapeaccompanied by the increased challenges of accountability, performance, quality standardsand learning make this a timely publication for the Monitoring and Evaluation Division. It is atoolkit a collection of tools each of which is designed to support the monitoring andevaluation function. As a management responsibility, monitoring activity provides the basicbuilding blocks of decision-making, for strategic planning and resource mobilisation. It is akey measurement activity in our efforts at achieving organisational effectiveness. If we cannotmeasure we cannot manage. Although it is primarily aimed at stakeholders in the field, it isnonetheless an interesting useful resource for all practitioners that share the common goal ofeffectively serving the most vulnerable in our world.It is an evolving initiative and this first edition deserves critical appraisal. The variety of toolsavailable for use in this handbook are offered and presented in an interesting, simple andreadable format. Its harmonised terminology facilitates use alongside the Project PlanningProcess (PPP) and Better Programming Initiative (BPI). The 2nd edition of the handbook willbe available in Spanish, French and Arabic. As a vehicle for organisational shared learning,we look forward to receiving your helpful input to make the 2nd edition an even more relevantand effective contribution to the achievement of the International Federation’s goals andobjectives.Ibrahim OsmanMonitoring and Evaluation DivisionOctober 2002
ContentsIntroductioniModule 11.4.21.4.31.4.3.11.4.3.2OverviewObjective of the guidelinesWhat is in the guidelines?Principles and definitions you should be aware ofResults Based ManagementLinking monitoring and evaluation to the logical frameworkWhat is monitoring?What is evaluation?Monitoring and evaluation throughout the lifespan of an operationWhat is the operational framework for evaluation?The purpose of the new framework on monitoring and evaluationPrinciples of results oriented M&E in International FederationInternational Federation’s approach to monitoring and evaluationThe approach to results-oriented monitoringThe approach to results-oriented evaluationsLessons to learn from Module 1-10Monitoring and EvaluationHow to design a Monitoring and Evaluation SystemChecking operational designHow clearly are the objectives stated?Have external factors been taken into account?Will indicators effectively measure progress?Beneficiary contact monitoring indicators (BCM)Assessing capacity for monitoring and evaluationHow to determine M&E capacityAssessing training needsConducing a training needs analysisPlanning for data collection and analysisWhy do we need baseline data?What monitoring data are required and where will they come from?What monitoring data are requiredInput monitoringField visitsMonitoring participationMonitoring and evaluating commitments to womenWho undertakes data collection and analysis at the field levelComputerised systems for monitoringPreparing the monitoring and evaluation plan and budgetThe monitoring and evaluation planThe monitoring and evaluation budgetPlanning for reporting and feedbackGuidance for monitoring and evaluation report writingHow would project/programme managers use reports?Monitoring the partners reporting systemFeedbackLessons to learn from Module 6Module 4.32.4.42.52.5.12.5.22.62.6.12.6.22.6.32.6.4
Module 3SectionPage3Monitoring and Reporting National Society Programmes3-13.1How to design an M&E programme for National Societies3-13.2Check the National Society programme and activity design3-23.2.1 At national society level3-23.2.2 At activity level3-23.3Assessing capacity for M&E for co-operation agreement strategy3-43.3.1 How to determine M&E capacity for co-operation strategy and activities3-43.3.2 Assessing training needs for co-operation agreement strategy and activities3-43.4Planning for data collection and analysis for Co-operation agreement strategy 3-53.4.1 What baseline data are required?3-53.4.2 What monitoring data is required, and where will it come from3-63.4.2.1 Field visits3-63.4.2.2 Beneficiary contact monitoring, beneficiary access, use and satisfaction3-63.4.2.3 Who undertakes data collection and analysis at the field level?3-63.5Preparing the M&E plan and budget3-73.5.1 The M&E plan3-73.5.2 The M&E budget3-93.6Planning for Reporting and Feedback3-103.6.1 Written reports3-103.6.2 How would project/programme managers use reports3.103.6.3 Feedback for co-operation agreement strategy and activities3-10Lessons to learn from Module 33.11Module 24.7.3Monitoring and ReportingWhat is particular about Monitoring and Evaluating?How to design a Monitoring and Evaluation system (reminder)Checking operation designM&E considerations in project cycle stagesReviewing or preparing a logframeAssessing capacity for Monitoring and EvaluationDefining roles and responsibilities for monitoringAssessing capacity for monitoringPlanning for data collection and analysisBaseline dataWhat monitoring data is required?Minimum set of monitoring information in a quick-onset emergencyField visitsBeneficiary contact monitoringWho undertakes data collection and analysis at the field level?Preparing the M&E plan and budgetThe M&E planPlanning for Reporting and FeedbackWritten reportsSITreps and Pipeline status reportsHow would operation managers use reports?Feedback for operationsLessons to learn from Module -104-104-114-114-114-114-114-12
Module 5Section5Evaluation5.1Introduction5.1.1 For what?5.1.2 For whom?5.1.3 What is an evaluation manager?5.1.4 Why evaluate?5.2A framework for evaluation5.3Types of evaluation5.4.Evaluation standards and principles5.4.1 General standards5.4.2 Key principles for evaluating operations5.4.3 Evaluation criteria5.5Is there a framework to capture criteria?5.6Asking questions about the context of the evaluation5.7Asking questions about the planning of Humanitarian Assistance5.8Planning a self-evaluation5.9National Society Self-Assessment5.9.1 Objectives of Self Assessment and Operational FrameworkLessons to learn from Module 115-155-165-165-21Module ule 7Steps in planning and managing an evaluationStep 1- clarifying/agreeing on the need for an evaluationConsultationEvaluation issuesFunding sourcesStep 2- Planning the evaluationEvaluation planningStep 3- Preparing the Evaluation Terms of ReferenceStep 4- Selecting the evaluation teamStep 5- The desk review (pre-mission)Step 6- Conduct of the evaluation missionPrior to the arrival of the team inDuring the evaluation missionStep 7- Preparing the evaluation reportProceduresGuidance for the evaluation managerReport disseminationWhat happens to the recommendations?Step 9- Using the results and learning from the evaluationEnhancing the effectiveness of the evaluation processClarifying objectivesImproving the availability and accuracy of monitoring informationMaking evaluations usefulLessons to learn from Module -216-226-236-236-246-266-266-266-276-28
Section7Baseline studies7.1What is a baseline study?7.2Baseline studies for different types of situations7.3Planning and managing a baseline study7.3.1 Is a baseline survey required?7.3.2 Who will undertake the baseline study7.3.3 Deciding on the objectives of the study7.3.4 Decide on timing7.3.5 Identify the questions and topics to be covered in the study7.3.6 Select the units of study7.3.7 Decide on the use of a comparison group7.3.8 Control for the “year effect”7.3.9 Identify the secondary data to be used7.3.10 Choose primary data selection techniques7.3.11 Selecting the sample or sites to be visited7.3.12 Prepare the workplan or budget7.4How to analyse and report the data7.4.1 Presentation is vital7.4.2 Plan for links with Monitoring7.4.3 Using the results7.4.4 Preparing the report7-137.5Next steps- Follow-up surveys for Monitoring and EvaluationLessons to learn from Module 07-117-137-137-137-137-157-16Module 8.2.6.58.2.6.68.2.6.78.38.4Module 9Annex 1Tools for data collectionConcepts and definitionsData, information and qualityAccuracy, Precision and BiasQuantitative and Qualitative methodsOptimal ignoranceData collection toolsWhat is rapid appraisal?What is participatory appraisal?The community Inventory- a practical/cost effective data collection toolWhat is a sample survey?BCM- monitoring the likelihood that objectives will be achievedLevel 1 techniques for monitoring BCM indicatorsLevel 2 techniques for monitoring BCM indicatorsField visitsWho should be on the field visit team?Site selection- where to go?Who to meet?How to conduct the fieldworkWhy interview checklists are good practice?Analysing data collected using checklistsReporting-how to document and use the resultsUsing secondary dataLinks to other technical guidance materialLessons to learn from Module 8Glossary of Evaluation and Monitoring TermsExample of working Terms of 1
IntroductionOctober 2002IntroductionThe Monitoring and Evaluation Division is pleased to share this handbook as part of our efforts toenhance Monitoring and Evaluation (M&E) by all stakeholders. While this handbook has been draftedfor use by all stakeholders it is particular mindful of the role of M&E from a National Societyperspective. The handbook contains useful M&E tools and is supported by some theoreticalbackground.It is intended that this handbook will be complemented by a series of training and informationsessions either as a stand-alone module, or incorporated into existing programmes like the leadershipdevelopment programme or the Project Planning Process (PPP). It can be used alongside otherrelevant documents such as the Better Programming Initiatives (BPI), PPP manual and the EvaluationOperational Framework. It is a document that will develop and evolve as we use it in our joint effortsat achieving organisational shared learning.Clarifying and demystifying the M&E function as a performance instrument to strengthen BPI andPPP has been demanded by all stakeholders. This M&E handbook codifies a more rigorous search forimproved methods of assessing whether organisations are both “doing things right” and “doing theright things”.This handbook is designed in modules to facilitate easy reading and a logical pathway through M&E.It provides the reader with opportunity to reflect and refresh by addressing a number of key questionsfollowing each module.The International Federation already has in place the BPI. In many post conflict countries, tensionscontinue long after the general restoration of peace and high levels of social violence continues todisrupt livelihoods. With explicit programming, National Societies can strengthen relationships withinand between divided communities. The BPI emphasises the importance of analysing the context ofsituations, describing the programme actions, identifying the impacts and searching for alternativeoptions in a strong analytical framework. Such initiatives have been tried in several countriesincluding Colombia and Nigeria. The outcome in Colombia emphasised the need for increasing thecoordination between different Colombian Red Cross departments, especially when planningprogrammes for internally displaced people. In Nigeria such BPI analysis help Nigerian Red Crossstaff identify a number of ways of improving the implementation of water and sanitation programmes.This M&E handbook will help BPI initiatives by clearly raising questions that have to be asked aboutprogramme design.In a similar way this handbook links to PPP. The PPP is a new practical management tool to helpimprove National Society and Federation planning and reporting to an internationally acceptedstandard. The PPP handbook, like this handbook, allows users to quickly and easily develop tools thatare compatible with major donor requirements for project identification, appraisal, implementationand evaluation. The PPP handbook is tailored to the needs of the Red Cross and Red Crescent andapplicable to both relief and development operations like this handbook.As a result of this M&E initiative, it is expected that:·····programme/project managers will have the knowledge and tools to apply the M&E approach;the quality of programme/project proposals and their implementation and reporting willimprove;planning standards and common terminology will be established;planning training will be tailored to the Federation's National Societies' and donors' needs andrequirements;the Federation's planning system will be harmonised with that of its different partners anddonors; andi
Introduction·October 2002in the long term, and after a certain period of training and implementing the M&E, NationalSocieties will improve their income generation and fund-raising, the quality of theirprogrammes/projects and their reporting.National Societies are increasingly putting emphasis on Vulnerability and Capacity Assessment(VCA). VCA is a new dynamic method of analysis promoted by the International Federation thatcomplements the needs-based approach. VCA can be used as an institutional capacity assessmentdiagnostic tools and a programmatic tool to evaluation the effectiveness and impact of currentprogrammes. The traditional needs-based assessment is important to verify that emergencypreparedness, response and rehabilitation phases have fulfilled the basic requirements of peopleaffected by a crisis episode. The Nepal Red Cross has conducted two pilot VCAs using participatoryrural appraisal techniques, which showed vulnerability interrelated into seasonal migration,landlessness and literacy and allowed a ranking of areas most at risk. M&E can allow progress inresponse to VCA analysis to be overseen.This M&E handbook together with other tools of the International Federation programming andplanning framework - BPI, PPP and VCA - form an essential toolkit for National Societies thataddresses their own management information needs as well as the needs of donors and stakeholders.All tools in the toolkit can be used for a range of tasks but all tools require creative use."A federation-wide evaluation system that includes self-evaluation and peer review will be establishedto measure progress in all core areas and incorporate learning into future programme development"Strategy 2010.ii
Module 1: OverviewOctober 20021.OVERVIEW1.1Objective of the GuidelinesThe objective of the Guidelines is to provide International Federation, staff of NationalRed Cross Societies and implementing partners with the necessary information to beable to design, manage and support a results-oriented monitoring and evaluation systemfor emergency and development operations.1.2What is in the Guidelines?The Guidelines provide a structured pathway through monitoring and evaluation design withinInternational Federation and National Societies.ModulesModule Contents1. Overview···This module provides the necessarygrounding in results-based monitoringand evaluation concepts withinInternational Federation and NationalSocieties.2. Monitoring and EvaluationThis module provides generic guidancefor designing a monitoring andevaluation system. Further detailspecific to the different types ofInternational Federation and NationalSocieties operations is provided insubsequent modules.3. Monitoring and ReportingNational Society ProgrammesBuilding on the generic guidanceprovided in Module 2, this moduleprovides guidance on monitoring andreporting specific to country levelprogrammes.·············4. Monitoring and ReportingBuilding on the generic guidanceprovided in Module 2, this moduleprovides guidance on monitoring.·······Objective of the guidelinesWhat is in the Guidelines?What principles and definitions should you be awareof?What is the framework for monitoring and evaluation?How to design a monitoring and evaluation systemChecking operation designAssessing capacity for monitoring and evaluationPlanning for data collection and analysisPreparing the monitoring and evaluation plan andbudgetPlanning for reporting and feedbackHow to design a monitoring and evaluation system fornational society programmesChecking the national society programme and activitydesignAssessing capacity for monitoring and evaluation ofnational level programmesPlanning for data collection and analysis for nationallevel programmesPreparing the monitoring and evaluation plan andbudgetPlanning for reporting and feedbackWhat is particular about monitoring and evaluating?How to design a monitoring and evaluation systemChecking operation designAssessing capacity for monitoring and evaluationPlanning for data collection and analysisPreparing the monitoring and evaluation plan andbudgetPlanning for reporting and feedback1-1
Module 1: Overview5. EvaluationThis module provides generic guidanceon designing and conducting anevaluation. Specific guidance is alsoprovided for self-evaluation and forevaluating Co-operation AgreementStrategies.October 2002·········6. Steps in Planning andManaging an EvaluationThe module details on how to go aboutimplementing an evaluation withconfidence.··········7. Baseline StudiesBuilding on the generic guidanceprovided in Module 2, this moduleprovides guidance on designing andconducting a baseline study for anoperation or programme. Relevantlinks to Module 8 are provided wherefurther detail is provided on specificdata collection methods.8. Tools for Data CollectionThis module provides details ofrelevant data collection tools that canbe used for monitoring and evaluation.IntroductionA framework for evaluationTypes of evaluationEvaluation standards and principlesIs there an framework to capture criteriaAsking questions about the context of the evaluationAsking questions about the planning of humanitarianassistancePlanning a self-evaluationPart of the monitoring process is national society selfassessmentStep 1 - Clarifying/agreeing on the need for anevaluationStep 2 - Planning an evaluationStep 3 - Preparing the evaluation terms of referenceStep 4 - Selecting the evaluation teamStep 5 - The desk review (pre-mission)Step 6 - Conduct of the evaluation missionStep 7 - Preparing the evaluation reportStep 8 - Report disseminationStep 9 - Using the results and learning from theevaluationEnhancing the effectiveness of the evaluation process·····What is a baseline study?Baseline studies for different types of situationsPlanning and managing a baseline studyH
Section Page 7 Baseline studies 7-1 7.1 What is a baseline study? 7-1 7.2 Baseline studies for different types of situations 7-3 7.3 Planning and managing a baseline study 7-5
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