Decentralized evaluation for evidence-based decision makingWFP Office of Evaluation

Decentralized Evaluation Quality Assurance System (DEQAS)

Evaluation Inception Report Template

Version June 2018

This template applies to all types of decentralized evaluations other than Impact Evaluations. For Impact Evaluations, specific templates will soon be available

Who is this Template for? This template should be applied by staff who are commissioning or managing a decentralized evaluation and by evaluation teams who are preparing the Inception Report.

What is the purpose of this Template? This template provides a suggested structure and guidance on content for writing the Inception Report for a decentralized evaluation. In doing so it sets out WFP’s expectations for its Inception Reports of decentralized evaluations.

How should this Template be used? This template is used alongside the Quality Checklist for Inception Reports to help ensure that all the elements of the quality standards are adequately addressed.

How is this Template structured? Within this Template:

A box containing guidance is provided at the start of each section, where necessary. Text presented in italics provides guidance for the template user Text in standard format is suggested content for the Inception Report Text in [highlighted square brackets] indicates that this part should be completed by

the user Reference to various elements of the guidance is underlined

Other key materials? Additional relevant guidance can be found in:

The Process Guide for Decentralized Evaluations, which sets out the Phases of an evaluation and how to implement each one;

Relevant Technical Notes, particularly those which relate directly to the type of evaluation for which the Inception Report is being prepared

DECENTRALIZED EVALUATION FOR EVIDENCE-BASED DECISION MAKING

[Evaluation Title][Period covered] Inception Report

[Month Year][Name of commissioning office]Evaluation Manager [Name of Evaluation Manager]

Prepared by[name, Team Leader][name, title of team member 1][name, title of team member etc]

Decentralized Evaluation

Table of Contents

1. Introduction...............................................................................................2. Context......................................................................................................3. [Subject of the Evaluation].......................................................................4. Stakeholder analysis.................................................................................5. Evaluation approach and methodology....................................................

5.1. Proposed approach and methodology.....................................................................5

5.2. Site mapping.....................................................................................................................6

5.3. Data Collection Methods and Tools..........................................................................6

5.4. Limitations and risks......................................................................................................6

5.5. Ensuring quality...............................................................................................................7

6. Organization of the evaluation...................................................................6.1 Team composition and workplan...................................................................................7

6.2 Timeline..................................................................................................................................8

6.3 Data collection schedule...................................................................................................8

6.4 Support/Information required..........................................................................................9

Annexes.........................................................................................................Annex 1 Map..............................................................................................Annex 2 Evaluation Matrix.........................................................................Annex 3 Data Collection Tools...................................................................Annex 4 Evaluation Mission Schedule.......................................................Annex 5 Documents gathered....................................................................List of Acronyms............................................................................................

The Inception Report ensures that the evaluation team (leader and members) have an in-depth understanding of the TOR of the evaluation. It translates the TOR into an operational plan according to which the evaluation will be carried out. The Inception Report is a working document which forms the agreement between the Evaluation Manager and the Evaluation team on the operational plan for the evaluation.The maximum length for an Inception Report (excluding Annexes) is 20 pages.

1. Introduction

Provide a brief introduction including key characteristics of the decentralized evaluation:

Main purpose for the evaluation Expected users for the evaluation WFP’s strategic context for the evaluation

Length: 1-2 pages

1. This Inception Report is for the evaluation of [evaluation subject] in [geographic area]. This evaluation is commissioned by [name of Commissioning Office] and will cover the period from [month/year] to [month/year].

2. The main objectives of the evaluation are [list accountability and learning objectives as per the TOR].

3. The purpose of this Inception Report is to provide the main operational plan for the evaluation. It provides information on the context, the subject of the evaluation, its stakeholders, the approach and methodology that will be used for the evaluation, and how the evaluation will be organized. It also provides information on how the evaluation will be disseminated and used. The expected users for this Inception Report are [specify].

4. [Provide any additional information that is relevant to the evaluation].

2. Context

Provide a brief overview of the country context directly relevant to the evaluation. Provide sufficient information to understand the implications of context for the activity under evaluation. Include information about: Poverty, food security in relation to the subject of the evaluation Key data and trends related to SDG 2 / SDG 17 in the context (region, country sub-

national/local level) Government policies and priorities in relation to food security/the subject of the

evaluation Humanitarian issues as they relate to food security and the subject of the

evaluation Gender dimensions of the context, in relation to food security, nutrition situation

and the subject of the evaluation

The gender situation in the country more broadly, including gender architecture, government strategy and policies to address gender inequality, and relevant

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gender indicators e.g. Gender Inequality Index. Key external events which led to significant changes in WFP’s work (such as

migration patterns or host community/social tensions) Features of international assistance in the area: Long-standing donors/agencies in

the country, level of resources, humanitarian and development assistance etc. Other WFP work in the area and related work of other humanitarian/development

actors

Maximum length: 3-4 pages

[Evaluation team text to be added reflecting the above contextual information]

3. [Subject of the Evaluation]

Include key facts and description of the subject of the evaluation, namely: Subject of evaluation and type of evaluation (operation, activity, thematic area,

transfer modality, pilot project) Geographic scope of the evaluation subject Relevant dates: Approval date; start date; end date Planned vs. actual outputs

o Beneficiary numbers (planned and actual) disaggregated by sex, age, year and by activity (if multiple activities)

o Amount of planned and actual tonnage/cash/vouchers, disaggregated by year and by activity (if multiple activities)

o Any other outputs, including those related to capacity development and technical assistance

Planned and actual outcomes Undertake a comparative analysis for both outputs and outcomes of planned versus actual numbers. Data should be disaggregated by year (in case of a multi-year programme) and by activity (if multiple activities). This analysis should be based on the SPR or ACR data provided by the CO and will need to be revised during the reporting phase.

Key activities Main partners (Government; NGOs; Bilateral; Multilateral) Resources (% funded of total requirements) and key donors. If subject funded

from pooled funds or if the evaluation covers one component/activity of an operation/ of a CSP, show resource allocated to the subject of evaluation

Other relevant preceding/ concurrent activities/ interventions Relevant issues/recommendations from past evaluations and reviews that are

relevant to the evaluation. In some cases where there was no past evaluation, the report should say so.

Gender equality and women’s empowerment dimensions relevant to subject of the evaluation and context

Quality of gender analyses undertaken and integrated in programme design.

Length: maximum 2 pages

Timing

Include: Approval date Duration of the intervention Budget revisions (if appropriate)

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Objectives and Activities

Include: Strategic objectives if applicable Key activities

Outputs and planned versus actual beneficiaries

Include: Planned vs. actual outputs of the intervention Planned vs. actual tonnage/cash/vouchers distributed if applicable, and

disaggregated by year and by activity (if multiple activities) Planned vs. actual beneficiaries of the intervention, disaggregated by: sex and

age, by year and by activity (if multiple activities)

Outcomes

List the planned outcomes of the intervention, and achievements as determined from the data available at the inception phase

Logical Framework or Logic Model

Provide the Logical Framework or Logic Model (or similar tool e.g. a results framework) for the intervention if available. If not available, the evaluation team will have to reconstruct it in order to inform the evaluation matrix and get it approved by the evaluation commissioner during the inception phase. The implications of applying the reconstructed version will need to be explained. See TN on Logical Frameworks and Logic Models.

Partners

List key partners involved in the intervention e.g.: Government United Nations agencies NGOs Private sector Others

Resource requirements and funding situation

Include: Total budget (Planned budget at the start of the intervention period and

Revised budget (if any) at the end of the evaluation period; description of revisions upwards or downwards).

Total contributions received by year and cumulative, main donors Any changes in the above features over time

Gender dimensions of the intervention

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Explain the gender dimensions of the intervention: Which aspects of gender the intervention sought to address Through which strategies Any gender-related targets and intended results How gender dimensions were intended to be measured

4. Stakeholder analysis

Building on the preliminary stakeholder information from the TOR, provide stakeholder analysis, including

Who the different groups involved in the evaluation subject are (specific agencies or individuals);

What their stake in the evaluation is; How they will be involved in the evaluation, with consideration of the most

appropriate method for each group. Whenever relevant clarify expected use

See TN on Stakeholder Analysis

Length: 1-2 pages

[Insert relevant analysis and diagnostic tool applied]Table 1: Stakeholder analysis and mapping

Stakeholder Interest in the [Intervention] Involvement in Evaluation and

likely use

Who (specifically for the Evaluation)

Internal (WFP) stakeholders

External stakeholders

5. Evaluation approach and methodology

Provide detailed information about the overall methodological approach that will be used to undertake the evaluation and the methods selected for data collection and analysis. Ensure a comprehensive and systematic description, which is sufficient to generate trust in the credibility of the evaluation as well as its independence and impartiality.

Include information about: Evaluation criteria and questions will be applied (See TN on Evaluation Criteria

and Questions). Building on the criteria and questions identified in the TOR refine/clarified the evaluation questions so that they can be meaningfully addressed in the evaluation report.

The conceptual and methodological approach that will be applied, and how it will minimize threats to validity and ensure reliability and credibility of the evaluation (See TN on Methods )

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The Evaluation Matrix (provide in an Annex - see TN on Evaluation Matrix ) The specific tools that will be applied (see TN on Methods ) How the perspective of key stakeholders will be included How the evaluation methodology will be gender-responsive, including any data

collection method employed to seek information on gender issues and ensure the inclusion of women and marginalised groups (See TN on integrating gender in WFP evaluations, Checklist, and Quick Guide )

How independence and impartiality will be safeguarded in the evaluation’s design (see TN on Independence and Impartiality )

What limitations are likely to arise, and how these will be mitigated

Length: maximum 3-4 pages

5.1. Proposed approach and methodology

Describe evaluation criteria, questions and the overall methodological approach. Ensure that the selection of evaluation criteria is justified, and their application in the evaluation clear. Link evaluation questions explicitly to each of the chosen criteria.Detail the Evaluation Matrix, its role in the evaluation and how it has been developed, and how it will be applied. Specify the use of a mixed-methods approach. Describe availability and reliability of data/information and the data requirements to ensure rigour in the evaluation process. To accomplish this, use the data availability and reliability assessment framework annexed to the technical note on evaluation matrix.

Describe data availability and quality of gender-disaggregated data, including existence of (or gaps in) data related to gender-specific outcome, ensure that sampling and data collection tools, data analysis techniques and methods are gender-sensitive and the voices of women, girls, men and boys are sufficiently heard and used.

Specify the integration of gender into the methodological approach

5.2. Site mappingProvide information about how the team has selected the intervention sites to be visited during fieldwork. Include the geographic coverage of the intervention and explain the sampling for the selection of areas to be visited (selection criteria to be made explicit). Provide information about the number of beneficiaries and key partners or stakeholders in each site. Information on how men, women, boys and girls will be appropriately and proportionately represented by the sample of field sites to be visited should also be included.

5.3. Data Collection Methods and Tools

Include description of data collection and analysis methods to be applied in the evaluation. Specify both qualitative and quantitative methods, including participatory approaches where feasible. Explain their specific application within the evaluation matrix, particularly in relation to the data sources available.

Describe:

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The nature of data/information collection methods. Highlight their comparative advantage, inherent constraints and solutions to address them.

The chosen methods should be explicitly linked to the Evaluation Matrix and be informed by the stakeholder analysis as well as by an analysis of the reliability and completeness of the data collected during the design and inception phases (secondary data, M&E information, previous evaluations, etc.) - see TN on Methods

In summary, the data collection tools (Actual tools should be presented in annexes).

How the methodology will be gender-responsive, including what data collection methods will be employed to seek information on gender issues and to ensure the inclusion of women and other marginalised groups.

How data collection activities will be undertaken in a gender-sensitive manner. Any limitations with regards to the gender-responsiveness of the chosen

approach. How validity and reliability of data collection and analysis will be ensured,

including methods for triangulation. How data will be checked and cleaned, where relevant

5.4. Limitations and risks

Describe any limitations to address the evaluation questions in view of data availability and explain how methodology proposed will mitigate the limitations. Identify the risks to the evaluation and how the team proposes to overcome them. This may include limitations/risks anticipated in the evaluation due to availability of data, timing of field visits, etc. Provide an explanation of how the evaluation team will manage and mitigate within these limitations/risks and/or their implications for the evaluation process and reporting.

[Describe limitations of methods and approach here, proposed mitigation measures and implications]

5.5. Ensuring quality

Describe the quality assurance mechanisms that will be applied on the evaluation process and product to ensure the credibility, independence and utility of the evaluation.Describe how the inception phase has considered ethics of this evaluation, and what safeguards are in place for the duration of the evaluation

[Description of quality assurance mechanisms]

6. WFP's decentralised evaluations must conform to WFP and UNEG ethical standards and norms. Accordingly [insert contractors’ name] is responsible for safeguarding and ensuring ethics at all stages of the evaluation cycle. This includes, but is not limited to, ensuring informed consent, protecting privacy, confidentiality and anonymity of participants, ensuring cultural sensitivity, respecting the autonomy of participants, ensuring fair recruitment of participants (including women and socially excluded

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groups) and ensuring that the evaluation results in no harm to participants or their communities.

7. During the inception phase the following ethical issues have been considered for the preparation/design, data collection, data analysis, reporting and dissemination: [please include] The following safeguards and measures have been put in place to manage these issues: [please include]. [This information can also be presented in tabular format].  These issues will be monitored and managed during the implementation of the evaluation. If any additional ethical issues arise during the implementation of the evaluation, they will be recorded and managed in consultation with the Evaluation Manager. [please include what mechanism is used to manage any newly arising ethical issues]. [If the ToR had identified or anticipated any ethical issues, they should be explicitly discussed].

6. Organization of the evaluation

Include the key components of the evaluation’s organization including the team composition, the workplan, the Phases of the evaluation, including timing and duration of data collection and analysis, and indicate what support, if any, will be needed from WFP.Length: up to 6 pages

6.1 Team composition and workplan Describe the expertise of each team member in line with TOR requirements, and

how their skills are complementary. Include gender expertise Specify respective roles and responsibilities for each team member Describe how the team will work together during the implementation of the

evaluation, to ensure a co-ordinated approach

[Briefly describe team composition and complementary of skills. Summarise the roles and responsibilities in table 2]

Table 2: Sample Team composition and workplanTeam Members Primary Role Specific tasks

within the Evaluation

Deliverables Dates

6.2 TimelinePresent the specific timeline, revised if appropriate from the TOR, and the associated deliverables (with specific dates) linked to it. A sample timeline is provided (see below and also Evaluation Timeline Template).

Table 3: Sample Timeline

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Responsible Stakeholder

Activities Key dates

Inception phase

Deliverable (e.g. Inception report)Data collection and Analysis

Deliverable (e.g. Draft Evaluation Report)

Dissemination and follow up

Deliverable (e.g. Power point presentation)

6.3 Data collection schedulePresent the schedule as discussed with the relevant WFP Office for feasibility.

The list of proposed stakeholders to be met and sites to be visited is informed by stakeholder analysis and site mapping and should be balanced to demonstrate impartiality

Include a detailed plan in an Annex.

Table 4: Sample mission schedule Days/dates Team member Locations/sites Stakeholders

6.4 Support/Information required[Indicate what support (logistical/operational) and information will be required from WFP staff and other stakeholders as appropriate, based on what is available as at the time of preparing the inception report]

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Annexes

Annex 1 Map

[Include a map of the area of intervention/project area here]

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Annex 2 Evaluation Matrix

Refer to the TN on Evaluation Matrix

[Include evaluation matrix]

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Annex 3 Data Collection Tools

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Annex 4 Evaluation Mission Schedule

Day Date Team leader Tools Team member 1 Tools Team member 2 Tools

What / Where What / Where What / Where

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Annex 5 Documents gathered

Document Type Comment / Titles & dates of documents received Received - Y/N (N/A)

Link to Evaluation matrix

Project related documents [if applicable]Appraisal mission reportProject document (including Logical Framework in Annex)Standard Project ReportsBudget RevisionsNote for the record (NFR) from Programme Review Committee meeting (for original intervention and budget revisions if any)Approved Excel budget (for original intervention and budget revisions if any)Intervention/Project Plan (breakdown of beneficiary figures and food requirements by region/activity/month and partners)Other

Country Office Strategic Documents (if applicable)

Country Strategy Document (if any)Other

Assessment Reports [if applicable]Comprehensive Food Security and Vulnerability AssessmentsCrop and Food Security Assessments (FAO/WFP)Emergency Food Security AssessmentsFood Security Monitoring System BulletinsMarket Assessments and BulletinsJoint Assessment Missions (UNHCR/WFP)Inter-Agency AssessmentsRapid needs assessments

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Cash and voucher feasibility studiesOther

Monitoring & Reporting (if applicable)M&E PlanCountry Situation Report (SITREP) Country Executive BriefFood Distribution and Post-distribution Monitoring ReportsMonthly Monitoring ReportsBeneficiary Verification ReportsDonor specific reports

Output monitoring reports (if applicable)Actual and Planned beneficiaries by activity and district/ location by yearMale vs. Female beneficiaries by activity and district/ location by yearBeneficiaries by age groupActual and Planned tonnage distributed by activity by yearCommodity type by activityActual and Planned cash/voucher requirements (US$) by activity by year

Operational documents (if applicable)Organigram for main office and sub-officesActivity GuidelinesMission ReportsPipeline overview for the period covered by the evaluationLogistics capacity assessment

Partners (if applicable)Annual reports from cooperating partnersList of partners (Government, NGOs, UN agencies) by location/ activity/ role/ tonnage handled

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Field level agreements (FLAs), Memorandum of Understanding (MOUs)Cluster/ Coordination meetings (if applicable)

Logistics/Food Security/nutrition cluster documents NFRs of coordination meetingsOther

Evaluations/ ReviewsEvaluations/ reviews of past or on-going operations/ interventions

Resource mobilisation (if applicable)Resource SituationContribution statistics by monthResource mobilization strategyNFRs Donor meetings

Maps (if applicable)Map of the interventionLogistics MapFood/Cash/voucher Distribution Location MapFood Security Map

Other documents collected by the team (including external ones) (if applicable)

SpecifySpecifySpecifySpecify

[Amend as appropriate]

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List of Acronyms

OEV Office of EvaluationSOP Standard Operating ProcedureTOR Terms of ReferenceWFP World Food Programme

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[Name of commissioning Office][Link to the website]

[Place, Month and Year, Report num

ber]