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TRANSCRIPT
Monitoring and Evaluation Planning
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development projects in fields such as education, peace and justice, agriculture, microfinance, health and HIV/AIDS, CRS works to uphold human dignity and promote be er standards of living. CRS also works throughout the United States .0&%D:-#9&./%&B#0A1%9;%&-#9&-$."0#&03&,-./01"$6&-#9&0./%46&"#.%4%6.%9&"#&"66>%6&03&
international peace and justice. Our programs and resources respond to the U.S. E"6/0:6F&$-11&.0&1"5%&"#&601"9-4".?G-6&0#%&/>@-#&3-@"1?G-$4066&H049%46+&05%4&0$%-#6+&
and through differences in language, culture and economic condition.
The American Red Cross helps vulnerable people around the world prevent, prepare 304+&-#9&4%6:0#9&.0&9"6-6.%46+&$0@:1%D&/>@-#".-4"-#&%@%4;%#$"%6+&-#9&1"3%I./4%-.%#"#;&
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the dissemination of international humanitarian law, the American Red Cross provides rapid, effective, and large-‐‑scale humanitarian assistance to those in need. To achieve our goals, the American Red Cross works with our partners in the International Red ,4066&-#9&2%9&,4%6$%#.&J05%@%#.&-#9&0./%4&"#.%4#-."0#-1&4%1"%3&-#9&9%5%10:@%#.&
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affected Red Cross and Red Crescent Societies and their communities develop disaster :4%:-4%9#%66&$-:-H"1"."%6<
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Catholic Relief Services American Red Cross&NNO&=<&P%D"#;.0#&!.4%%.& NQNR&S&!.4%%.+&T=&
Baltimore, MD 21201-‐‑3413 Washington, DC 20006&USA USA
1"2'340 Sco G. Chaplowe (American Red Cross)&5(4%(&*6)%2340 Guy Sharrock (CRS) &7(8)(4&96)%234&0 Cynthia Green and Dina Towbin&:48;'%<*=(&%>+(40 Jeanne Ivy&?3@(4*!'323>48;'0&!%-#&!:4-;>%&&
This module was produced by CRS and the American Red Cross with financial support from the United States Agency for International Development (USAID) Food for Peace (FFP) grants: CRS Institutional Capacity Building Grant (AFP-‐‑A-‐‑00-‐‑03-‐‑00015-‐‑00) and American Red Cross Institutional Capacity Building Grant (AFP-‐‑A-‐‑00-‐‑00007-‐‑00). C/%&5"%A6&%D:4%66%9&"#&./"6&90$>@%#.&-4%&./06%&03&./%&->./04&-#9&90�.&#%$%66-4"1?&
represent those of the USAID or FFP.
7(<3AA(+)()*<%282%3+0 Chaplowe, Sco G. 2008. “Monitoring and Evaluation Planning.” American Red Cross/CRS M&E Module Series. American Red Cross and Catholic Relief Services (CRS), Washington, DC and Baltimore, MD.
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Contents
& M4%3-$%
Acknowledgment6
Acronym6
Introductio#
The M&E System – An OvervieA
The Four Key Components of an M&E Syste@
Other Aspects of M&E Plannin;
Annex I References and Resources&
Annex II Logframe Exampl%
Annex III Indicator Matrix Exampl%
Annex IV Data Collection Tools and Technique6
Preface
Monitoring and evaluation (M&E) are core responsibilities of American Red ,4066&-#9&,-./01"$&2%1"%3&!%45"$%6&7,2!8&:40;4-@&@-#-;%46&-#9&/%1:&%#6>4%&
quality in our programming. !"#$%"&$#'()#*(+,)-.)%$"#(/-)##$#'&"6&0#%&"#&-&
series of M&E training and capacity-‐‑building modules that the American 2%9&,4066&-#9&,2!&/-5%&-;4%%9&.0&$011-H04-.%&0#&>#9%4&./%"4&4%6:%$."5%&
Institutional Capacity Building Grants. These modules are designed to respond to field-‐‑identified needs for specific guidance and tools that did not appear to be available in existing publications. Although examples in the modules focus on Title II programming, the guidance and tools provided have 5-1>%&H%?0#9&./%&3009I6%$>4".?&4%-1@<&
L>4&"#.%#."0#&"#&A4"."#;&./%&!"#$%"&$#'()#*(+,)-.)%$"#(/-)##$#'&@09>1%&A-6&.0&
provide concise guidance to readers to develop a comprehensive M&E system 304&"#.%4#-."0#-1&/>@-#".-4"-#&4%1"%3&-#9&9%5%10:@%#.&:40;4-@6<&M1%-6%&6%#9&
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Acknowledgments
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guidance of Cynthia Green, formerly with the American Red Cross, in her patient review and editing of this module, as well as the work of Dina Towbin (consultant), in shepherding the module through the final stages, and Joe Schultz (CRS) and Jeanne Ivy (consultant), who were responsible for the ;4-:/"$&9%6";#&A04B<
Acronyms
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Household
Knowledge, a itudes, and practices
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Ministry of Health
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Joint United Nations Programme on HIV/AIDS
United Nations Development Programme
United States Agency for International Development
Introduction
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(M&E) system for international humanitarian relief and development programs. It covers the key planning documents and processes needed to set up and implement an M&E system for project planning, implementation, and evaluation. It is designed for use by M&E specialists, managers of />@-#".-4"-#&-#9&9%5%10:@%#.&:40;4-@6+&-#9&9%$"6"0#&@-B%46&4%6:0#6"H1%&
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In developing this module, it became apparent that some people working in international programs use the term “M&E plan” to refer to a planning document for a project’s entire M&E system, whereas others use it to refer to a specific document that defines project indicators and how they will be measured—an indicator matrix. For clarity, this module adopts the broader usage of an M&E plan as a key planning document for coherence and continuity within a project’s M&E system. The specific format or content for an M&E plan should be tailored and adopted to specific project needs. This module focuses on the key components of an M&E system that inform M&E :1-##"#;&304&:40U%$.6<
This module focuses on the key components of an M&E system that inform M&E planning for projects. These components trace a logical train of thought from hypotheses on how the project will bring about change in a specific sector, to the specific objectives needed for these changes, methods for @%-6>4"#;&./%&:40U%$.F6&-$/"%5%@%#.&03&".6&6.-.%9&0HU%$."5%6+&-#9&:40.0$016&&
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The four key components of an M&E system are:
A causal analysis framework'<&
A logframe or logical frameworkN<&
An indicator matrix *<
A data collection and analysis plan.)<&
Following an overview of the M&E system, this module examines these four key M&E components. It is important to stress that the various components of an M&E system are interdependent and that M&E planning requires other %1%@%#.6+&A/%./%4&6.-.%9&%D:1"$".1?&04&"@:1"$".1?<&L./%4&B%?&$0#6"9%4-."0#6&
for M&E planning are presented in the final section of the module and /";/1";/.%9&"#&4%1%5-#.&H0D%6&./40>;/0>.<
Box 1. Plan Early and Involve StakeholdersM&E planning should begin during or immediately a er the project design stage. Early planning will inform the project design and allow for sufficient time to arrange for resources and personnel prior to project implementation. M&E planning should also involve those using the M&E system. Involvement of project staff and key stakeholders ensures feasibility, understanding, and ownership of the M&E 6?6.%@<
The M&E System–An Overview
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project strategy, ensure effective operations, meet internal and external reporting requirements, and inform future programming. M&E should be -#&"#.%;4-1&:-4.&03&:40U%$.&9%6";#&-6&A%11&-6&:40U%$.&"@:1%@%#.-."0#&-#9&
completion. Accordingly, this module will begin by describing the overall M&E system as it corresponds with these key stages in a project’s lifecycle (see Figure 1).
Figure 1. M&E and the Project Cycle
Project Follow-Up
ProjectDesign
ProjectPlanning
Project Implementation
ProjectMiddle
ProjectEnd
NeedsAssessment
Logframe&
Indicators
M&E PlanDevelopment
[Indicator Table]
BaselineSurvey
ProjectMonitoring
(QPR)
Midterm orAnnual
Evaluation
Final Evaluation(With Endline
Survey)
Dissemination& Use of Lessons
Ongoing Project
Monitoring &
Reflection
An M&E system is built on the key parameters of a project:
The overall goal or desired change or effect&▪
The main beneficiaries or audience that the project seeks to benefit&▪
C/%&/?:0./%6%6&04&-66>@:."0#6&./-.&1"#B&./%&:40U%$.&0HU%$."5%6&.0&&▪specific interventions or activities
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The extent of participation in and capacity for M&E&▪
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Each project may have different M&E needs, depending on the operating context, implementing agency capacity, donor requirements, and other factors. In preparing an M&E plan, it is important to identify these needs -#9&$0049"#-.%&./%&@%./096+&:40$%9>4%6+&-#9&.0016&>6%9&.0&@%%.&./%@V&./"6&
conserves resources and streamlines M&E planning.
There is not a single, recognized industry standard for assessing the quality of an M&E system. However, some key criteria are summarized below (IFAD 2002, pp. 4-‐‑20):
&▪ The proposed M&E system will serve the practical information #%%96&03&"#.%#9%9&>6%46<
&▪ The methods, sequences, timing and processing procedures proposed are realistic, prudent and cost-‐‑effective.
&▪ The M&E activities will be conducted legally, ethically and with due regard for the welfare of those affected by its results.
&▪ The M&E outputs will reveal and convey technically adequate information.
The Four Key Components of an M&E System
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the M&E system is built. They play a critical role in M&E planning, answering these four corresponding questions:
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What are the specific objectives to achieve this change?N<&
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How will the data be collected and analyzed?)<&
Causal Analysis Framework
A causal analysis framework seeks to specify the following:
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Factors that cause the condition(s)N<&
Ways to influence the causal factors, based on hypotheses of the *<&
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Interventions to influence the causal factors )<&
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available data as well as consultation with potential beneficiaries, program "@:1%@%#.%46+&0./%4&6.-B%/019%46+&-#9&.%$/#"$-1&%D:%4.6<&!>$/&"#304@-."0#&
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appraisals (PRAs), community mapping, and SWOT (strengths, weaknesses, opportunities, threats) analysis. CARE outlines a holistic appraisal for -66%66"#;&./%&60$"0%$0#0@"$&3-$.046&.0&"9%#."3?&.-4;%.&:0:>1-."0#6&-#9&
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potential beneficiaries, program managers and implementers, other 6.-B%/019%46+&-#9&.%$/#"$-1&%D:%4.6<
Table 1. Causal Analysis Framework
Causal Analysis Hypothesis Development
Project Design
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than 6 months (a itude).
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and identifying variables needed to assess the extent of project effects. For %D-@:1%+&./%&34-@%A04B&:4%6%#.%9&"#&C-H1%&'&/?:0./%6"K%6&./-.&@0./%46&A"11&
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However, if mothers are not breastfeeding for other reasons, such as cultural norms or working away from home, then different interventions are needed. In effect, the M&E system tests the hypotheses to determine whether the :40U%$.F6&"#.%45%#."0#6&-#9&0>.:>.6&$0#.4"H>.%9&.0&./%&9%6"4%9&0>.$0@%6<
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be grounded in research findings and program experience in similar se ings. Causal analysis is useful to examine cause and effect relationships and "9%#."3?&$0@@>#".?&#%%96&340@&A/"$/&.0&304@>1-.%&-&A04B"#;&/?:0./%6"6<&
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to isolate conditions and consequences that help identify objectives and strategies (Stetson et al. 2004, p. 78), and 2'(34/*3C*<'8+>(*8+8$/&%&+&A/"$/&
uses backwards mapping to identify conditions required to bring about 9%6"4%9&10#;I.%4@&0>.$0@%6&7C/%04?&03&,/-#;%&NQQO8<&
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. Table 2 defines the key terms and components of a classic 4 x 5 logframe matrix, and Annex II provides an example of a logframe for outcome and output levels. It "6&"@:04.-#.&.0�.%&./-.&5-4"0>6&04;-#"K-."0#6&"#&./%&9%5%10:@%#.&$0@@>#".?&
use different formats and terms for the types of objectives in a logframe; Jim 2>;/&7NQQO8&9%5%10:%9&-&>6%3>1&;>"9%&.0&9%$":/%4&./%6%&.%4@6&>6%9&H?&@-U04&
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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:
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consequences did the project have? Why did they arise?
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purpose and desired impact? Has the project achieved the changes for A/"$/&".&$-#&4%-1"6."$-11?&H%&/%19&-$$0>#.-H1%W
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&▪ Are the resources being used efficiently?
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indicators. For instance, it is usually easier to measure lower-‐‑level indicators such as the number of workshop participants, while the difficulty in precision and measurement complexity increases when a empting to measure changes in behavior. The higher levels of the indicator hierarchy require more analysis and synthesis of different information types and sources. This affects the M&E data collection methods and analysis, which has implications for staffing, H>9;%.6+&-#9&."@%34-@%<
Table 2. Logframe Definition Table
Project Objectives
Indicators Means of Verification
Assumptions
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0".&123 Author based on an example from Caldwell (2002, p. 139).
Effective indicators are a critical logframe element. Technical expertise is helpful, and before indicators are finalized, it is important to review them with local staff to ensure that they are realistic and feasible and meet user "#304@-."0#-1&#%%96<&
Consider the following questions when designing indicators:
14(*2'(*%+)%<8234&*5N17B&▪ &74pecific, 5%-6>4-H1%+&)$/"%5-H1%+&&%1%5-#.+&
-#9&%ime-‐‑bound)? Indicators should be easy to interpret and explain, timely, cost-‐‑effective, and technically feasible. Each indicator should /-5%&5-1"9".?&7H%&-H1%&.0&@%-6>4%&./%&"#.%#9%9&$0#$%:.&-$$>4-.%1?8&
-#9&4%1"-H"1".?&7?"%19&./%&6-@%&9-.-&"#&4%:%-.%9&0H6%45-."0#6&03&-&
5-4"-H1%8<
14(*2'(4(*%+2(4+82%3+8$*34*%+)"&24/*&28+)84)*%+)%<8234&O&▪ For example, indicators developed by UNAIDS, the UNDP Millennium Development Goals, and the Demographic and Health Surveys have H%%#&>6%9&-#9&.%6.%9&%D.%#6"5%1?<
14(*2'(4(*%+)%<8234&*4(M"%4()*#/*2'(*)3+34D*>48+2*34*;43>48AO&▪ &C/"6&
$-#&H%&%6:%$"-11?&"@:04.-#.&"3&./%&:40U%$.I1%5%1&"#9"$-.04&"6&%D:%$.%9&.0&
4011&>:&.0&-&1-4;%4&-$$0>#.-H"1".?&34-@%A04B&-.&./%&:40;4-@&1%5%1<&
14(*2'(4(*&(<3+)84/*%+)%<8234*&3"4<(&O*&▪ It may be cost-‐‑effective to -90:.&"#9"$-.046&304&A/"$/&9-.-&/-5%&H%%#&04&A"11&H%&$011%$.%9&H?&-&
;05%4#@%#.&@"#"6.4?+&"#.%4#-."0#-1&-;%#$?+&-#9&60&0#<
Box 2. Indicator TrapsF+)%<8234*3@(4$38)E&▪ Indicators do not need to capture everything in a project, but only what is necessary and sufficient for monitoring and evaluation. Output fixation.&▪ &,0>#."#;&@?4"-9&-$."5"."%6&04&0>.:>.6&"6&>6%3>1&304&:40U%$.&
management but does not show the project’s impact. For measuring project effects, it is preferable to select a few key output indicators and focus on outcome -#9&"@:-$.&"#9"$-.046&A/%#%5%4&:066"H1%<
F+)%<8234*%A;4(<%&%3+E&▪ Indicators need to be specific so that they can be readily measured. For example, it is be er to ask how many children under age 5 slept under an insecticide-‐‑treated bednet the previous night than to inquire generally A/%./%4&./%&/0>6%/019&:4-$."$%6&:40.%$."5%&@%-6>4%6&-;-"#6.&@-1-4"-<
Excessive complexity.&▪ &,0@:1%D&"#304@-."0#&$-#&H%&."@%I$0#6>@"#;+&%D:%#6"5%+&
and difficult for local staff to understand, summarize, analyze, and work with. Keep it simple, clear, and concise.
Decisions regarding indicators are linked to the overall research plan. The .?:%&03&9-.-&-#9&"#304@-."0#&.0&H%&$011%$.%9&A"11&9%:%#9&0#&./%&4%6%-4$/&
question being addressed, the desired level of precision in measuring project effects, and the project’s size and complexity. These issues need to be $0#6"9%4%9&A/%#&./%&10;34-@%&"6&H%"#;&9%5%10:%9+&6"#$%&./%?&-4%&4%1-.%9&.0&./%&
selection of interventions and project outputs, the proposed M&E budget, and staffing levels.
It is important to note that there are other types of frameworks used to show ./%&4%1-."0#6/":6&H%.A%%#&:40U%$.&0HU%$."5%6&-#9&./%&"#9"$-.046&./-.&A"11&
9%@0#6.4-.%&-$/"%5%@%#.&04&:40;4%66&.0A-49&./%6%&0HU%$."5%6<&C/"6&@09>1%&
30$>6%6&0#&./%&10;34-@%&H%$->6%&".&"6&A"9%1?&>6%9&304&9%5%10:@%#.&:40U%$.6+&
but it does have its limitations (see Box 3). Another framework used by the U.S. Agency for International Development (USAID) and other donors is the 4(&"$2&*C48A(P34Q+&60@%."@%6&$-11%9&-*&2482(>%<*C48A(P34Q. Using diagrams .0&"11>6.4-.%&./%&6.%:6&04&1%5%16&03&4%6>1.6+&./%&4%6>1.6&34-@%A04B&%@:/-6"K%6&
./%&$->6-1&4%1-."0#6/":6&./-.&$0##%$.&"#$4%@%#.-1&-$/"%5%@%#.&03&%-$/&4%6>1.&.0&
./%&$0@:4%/%#6"5%&:40;4-@&"@:-$.<&
Box 3. Logframe LimitationsIn M&E planning, it is important to be sensitive to the critique that logic models are .%$/#0$%#.4"$+&A"./&-&$>1.>4-1&H"-6&.0A-496&1"#%-4&10;"$&./-.&$-#&-1"%#-.%&4-./%4&./-#&
foster local understanding, participation, and ownership. It is essential to consult -#9&"#5015%&10$-1&:-4.#%46+&%6:%$"-11?&@-#-;%46+&.0&%#/-#$%&./%"4&>#9%46.-#9"#;&03&
10;34-@%6<
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 .-6B6&304&./%&:40U%$.<&=/"1%&./%&#-@%6&-#9&[email protected]&03&./%&"#9"$-.04&@-.4"D&
may vary, (e.g., M&E plan, indicator planning matrix, or data collection plan), the overall function remains the same. O en, the project donor will have a required format (see, for example, USAID 1996; IFRC 2007, p. 6; Stetson et al. 2004, p. 140; Barton 1997, p. 53; Caldwell 2002, p. 103; IFAD 2002, Annex C; AusAID 2006, p. 6).
Annex III&:405"9%6&-&6-@:1%&304@-.&304&-#&"#9"$-.04&@-.4"D+&A"./&"11>6.4-."5%&
40A6&304&0>.$0@%&-#9&0>.:>.&"#9"$-.046<&C/%&30110A"#;&-4%&./%&@-U04&
components (column headings) of the indicator matrix:
'<& C/%&"#9"$-.046&:405"9%&$1%-4&6.-.%@%#.6&03&./%&:4%$"6%&
"#304@-."0#&#%%9%9&.0&-66%66&A/%./%4&:40:06%9&$/-#;%6&/-5%&
occurred. Indicators can be either quantitative (numeric) or qualitative 79%6$4":."5%&0H6%45-."0#68<&C?:"$-11?&./%&"#9"$-.046&"#&-#&"#9"$-.04&
@-.4"D&-4%&.-B%#&9"4%$.1?&340@&./%&10;34-@%<
N<& Each indicator needs a detailed definition of its key terms, including an explanation of specific aspects that will H%&@%-6>4%9&76>$/&-6&A/0+&A/-.+&-#9&A/%4%&./%&"#9"$-.04&-::1"%68<&
The definition should explain precisely how the indicator will be $-1$>1-.%9+&6>$/&-6&./%&#>@%4-.04&-#9&9%#0@"#-.04&03&-&:%4$%#.&
@%-6>4%<&C/"6&$01>@#&6/0>19&-160�.%&"3&./%&"#9"$-.04&"6&.0&H%&
9"6-;;4%;-.%9&H?&6%D+&-;%+&%./#"$".?+&04&60@%&0./%4&5-4"-H1%<&
*<& This column identifies sources of information -#9&9-.-&$011%$."0#&@%./096&04&.0016+&6>$/&-6&>6%&03&6%$0#9-4?&
9-.-+&4%;>1-4&@0#".04"#;&04&:%4"09"$&%5-1>-."0#+&H-6%1"#%&04&%#91"#%&
surveys, PRA, and focus group discussions. This column should also indicate whether data collection tools (questionnaires, checklists) -4%&:4%I%D"6."#;&04&A"11&#%%9&.0&H%&9%5%10:%9<&T0.%&./-.&./%&10;34-@%&
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.
)<&
R<& This column states how o en the data for each indicator will be collected, such as monthly, quarterly, or annually. It is o en useful to list the data collection timing or schedule, such as start-‐‑>:&-#9&%#9&9-.%6&304&$011%$."0#&04&9%-91"#%6&304&.001&9%5%10:@%#.<&
=/%#&:1-##"#;&304&9-.-&$011%$."0#&."@"#;+&".&"6&"@:04.-#.&.0&$0#6"9%4&
3-$.046&6>$/&-6&6%-60#-1&5-4"-."0#6+&6$/001&6$/%9>1%6+&/01"9-?6+&-#9&
4%1";"0>6&0H6%45-#$%6&7"<%<+&2-@-9-#8<
6. &C/"6&$01>@#&1"6.6&./%&:%0:1%&4%6:0#6"H1%&-#9&
-$$0>#.-H1%&304&./%&9-.-&$011%$."0#&-#9&-#-1?6"6+&"<%<+&$0@@>#".?&
volunteers, field staff, project managers, local partner/s, and external consultants. In addition to specific people’s names, use the position .".1%&.0&%#6>4%&$1-4".?&"#&$-6%&03&:%460##%1&$/-#;%6<&C/"6&$01>@#&"6&
useful in assessing and planning for capacity building for the M&E 6?6.%@<
7. C/"6&$01>@#&9%6$4"H%6&./%&:40$%66&304&$0@:"1"#;&
-#9&-#-1?K"#;&./%&9-.-&.0&;->;%&A/%./%4&./%&"#9"$-.04&/-6&H%%#&
met or not. For example, survey data usually require statistical analysis, while qualitative data may be reviewed by research staff or $0@@>#".?&@%@H%46<
O<& This column identifies the intended audience and use of the information. For example, the findings could be used for @0#".04"#;&:40U%$.&"@:1%@%#.-."0#+&%5-1>-."#;&./%&"#.%45%#."0#6+&
:1-##"#;&3>.>4%&:40U%$.&A04B+&04&4%:04."#;&.0&:01"$?&@-B%46&04&90#046<&
This column should also state ways that the findings will be forma ed 7%<;<+&.-H1%6+&;4-:/6+&@-:6+&/"6.0;4-@6+&-#9&#-44-."5%&4%:04.68&-#9&
disseminated (e.g., Internet Web sites, briefings, community meetings, 1"6.6%456+&-#9&@-66&@%9"-8<
The indicator matrix can be adapted to information requirements for project management. For example, separate columns can be created to identify 9-.-&60>4$%6+&$011%$."0#&@%./096&-#9&.0016+&"#304@-."0#&>6%&-#9&->9"%#$%+&
or person(s) responsible for data collection and analysis. It may also be preferable to use separate matrices for M&E indicators.
It is critical that the indicator matrix be developed with the participation of those who will be using it. Completing the matrix requires detailed B#0A1%9;%&03&./%&:40U%$.&-#9&$0#.%D.&:405"9%9&H?&./%&10$-1&:40U%$.&.%-@&&
and partners. Their involvement contributes to data quality because it 4%"#304$%6&./%"4&>#9%46.-#9"#;&03&A/-.&9-.-&./%?&-4%&.0&$011%$.&-#9&/0A&&
./%?&A"11&$011%$.&./%@<&
Data Collection and Analysis Plan
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"#&./%&"#9"$-.04&@-.4"D&H?&9%6$4"H"#;&"#&9%.-"1&/0A&9-.-&-#9&"#304@-."0#&
will be defined, collected, organized, and analyzed. Typically, this plan $0#6"6.6&03&-&9%.-"1%9&#-44-."5%&./-.&%D:1-"#6&/0A&%-$/&.?:%&03&9-.-&A"11&H%&
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; /?:0./%6"K%9&4%1-."0#6/":6&-@0#;&./%&5-4"-H1%6V&-#9&9-.-&-#-1?6"6&@%./096<&
!:%$"-1&-#-1?6%6+&6>$/&-6&9"6-;;4%;-."#;&9-.-&H?&;%#9%4+&-;%+&10$-."0#&-#9&
60$"0I%$0#0@"$&6.-.>6+&6/0>19&-160&H%&9%6$4"H%9<&
It is important to provide the rationale for the data collection and analysis methods. This includes the triangulation of methods (quantitative and/or qualitative) and sources to reduce bias and ensure data reliability and completeness. It should also be informed by the standards that guide ;009&:4-$."$%&03&:40U%$.&%5-1>-."0#<&C/%4%&-4%&@-#?&>6%3>1&4%60>4$%6&"#&
./%&%5-1>-."0#&$0@@>#".?&./-.&"9%#."3?&B%?&:4"#$":1%6&.0&%#6>4%&%./"$-1+&
accountable, and quality evaluations (for example, American Evaluation Association [AEA] 2004, Australian Evaluation Society [AES] 2002, and Development Assistance Commi ee [DAC] 2008).
C/%&:1-#&6/0>19&-160&9"6$>66&./%&:>4:06%&03&9-.-&$011%$."0#&-#9&-#-1?6"6&"#&
terms of specific monitoring and evaluation functions. Some key functions of monitoring include compliance, process, results, context, beneficiary, and 04;-#"K-."0#-1&@0#".04"#;<&C?:"$-11?+&-&:40U%$.&A"11&>6%&-&$0@H"#-."0#&03&./%6%&
monitoring functions and design data collection and analysis accordingly. For :40U%$.&-66%66@%#.6+&./%&9"6$>66"0#&6/0>19&"9%#."3?�.&0#1?&./%&@%./096&>6%9+&
H>.&./%&."@"#;&03&./%&-66%66@%#.&%5%#.&7"<%<+&H-6%1"#%&6.>9"%6+&-##>-1&4%5"%A6+&
midterm and final evaluations), and the rationale for selecting evaluators with specific skill sets and independence (i.e., internal versus external evaluators).
J-U04&60>4$%6&03&9-.-&-#9&"#304@-."0#&304&:40U%$.&@0#".04"#;&-#9&&
evaluation include:
&▪ Useful information can be obtained from other 4%6%-4$/+&6>$/&-6&6>45%?6&-#9&0./%4&6.>9"%6&:4%5"0>61?&$0#9>$.%9&04&
planned at a time consistent with the project’s M&E needs, in-‐‑depth -66%66@%#.6+&-#9&:40U%$.&4%:04.6<&!%$0#9-4?&9-.-&60>4$%6&"#$1>9%&
;05%4#@%#.&:1-##"#;&9%:-4.@%#.6+&>#"5%46".?&04&4%6%-4$/&$%#.%46+&
international agencies, other projects/programs working in the area, and financial institutions.
&▪ . A survey based on a random sample taken from the beneficiaries or target audience of the project is usually the best source of data on project outcomes and effects. Although surveys are laborious and costly, they provide more objective data than qualitative @%./096<&J-#?&90#046&%D:%$.&H-6%1"#%&-#9&%#91"#%&6>45%?6&.0&H%&
90#%&"3&./%&:40U%$.&"6&1-4;%&-#9&-1.%4#-."5%&9-.-&-4%&>#-5-"1-H1%<
&▪ J06.&:40U%$.6&$011%$.&9-.-&0#&./%"4&5-4"0>6&
-$."5"."%6+&6>$/&-6&#>@H%4&03&:%0:1%&6%45%9&-#9&#>@H%4&03&".%@6&
9"6.4"H>.%9<
&▪ &X>-1".-."5%&@%./096&./-.&-4%&A"9%1?&>6%9&"#&
project design and assessment are: participatory rapid appraisal,
@-::"#;+&B%?&"#304@-#.&"#.%45"%A6+&30$>6&;40>:&9"6$>66"0#6+&-#9&
0H6%45-."0#<
&▪ A systematic review of specific project components can be useful in se ing benchmark standards and establishing periodic @%-6>4%6&03&"@:405%@%#.<
&▪ Project implementers as well as donors o en /"4%&0>.6"9%&%D:%4.6&.0&4%5"%A&04&%5-1>-.%&:40U%$.&0>.:>.6&-#9&
0>.$0@%6<&!>$/&-66%66@%#.6&@-?&H%&H"-6%9&H?&H4"%3&%D:06>4%&.0&
./%&:40U%$.&-#9&05%4I4%1"-#$%&0#&B%?&"#304@-#.6<&T%5%4./%1%66+&./"6&
:40$%66&"6&1%66&$06.1?&-#9&3-6.%4&./-#&$0#9>$."#;&-&4%:4%6%#.-."5%&
6-@:1%&6>45%?+&-#9&".&$-#&:405"9%&-99"."0#-1&"#6";/.+&.%$/#"$-1&
%D:%4."6%+&-#9&-&9%;4%%&03&0HU%$."5".?&./-.&"6&@04%&$4%9"H1%&.0&
6.-B%/019%46<&
&▪ The use of beneficiaries in project review 04&%5-1>-."0#&$-#&H%&%@:0A%4"#;+&H>"19"#;&10$-1&0A#%46/":+&$-:-$".?+&
and project sustainability. However, such assessments can be biased H?&10$-1&:01"."$6&04&90@"#-.%9&H?&./%&@04%&:0A%43>1&50"$%6&"#&./%&
community. Also, training and managing local beneficiaries can .-B%&."@%+&@0#%?+&-#9&%D:%4."6%+&-#9&".&#%$%66".-.%6&H>?I"#&340@&
6.-B%/019%46<&T%5%4./%1%66+&:-4."$":-.04?&-66%66@%#.6&@-?&H%&
A04./A/"1%&-6&:%0:1%&-4%&1"B%1?&.0&-$$%:.+&"#.%4#-1"K%+&-#9&-$.&>:0#&
findings and recommendations that they identify themselves.
!%%&Annex IV for a more extensive list of data sources. Also, Annex I lists M&E ;>"9%6&./-.&9%6$4"H%&./%&:40$%66&03&9-.-&$011%$."0#&-#9&-#-1?6"6<
53A(*;48<2%<8$*<3+&%)(482%3+&*%+*;$8++%+>*C34*)828*<3$$(<2%3+*%+<$")(0
&▪ &C/"6&/%1:6&.0&%#6>4%&
6.-#9-49"K-."0#+&$0#6"6.%#$?+&-#9&4%1"-H"1".?&05%4&."@%&-#9&-@0#;&
different people in the data collection process. Double-‐‑check that all the data required for indicators are being captured through at least 0#%&9-.-&60>4$%<
&▪ &M4%.%6."#;&/%1:6&.0&9%.%$.&:40H1%@-."$&
questions or techniques, verify collection time, identify potential %./"$-1&"66>%6+&-#9&H>"19&./%&$0@:%.%#$%&03&9-.-&$011%$.046<&
&▪ &M405"9%&-#&05%45"%A&03&./%&9-.-&$011%$."0#&
system, data collection techniques, tools, ethics, and culturally appropriate interpersonal communication skills. Give trainees :4-$."$-1&%D:%4"%#$%&$011%$."#;&9-.-<
&▪ Identify and respond to any concerns %D:4%66%9&H?&./%&.-4;%.&:0:>1-."0#<&S#6>4%&./-.&./%&#%$%66-4?&
:%4@"66"0#&04&->./04"K-."0#&/-6&H%%#&0H.-"#%9&340@&10$-1&->./04"."%6+&
that local customs and a ire are respected, and that confidentiality -#9&501>#.-4?&:-4."$":-."0#&-4%&@-"#.-"#%9<
Box 4. Reducing Data Collection CostsData collection can be costly. One of the best ways to reduce data collection costs is .0&&2*.12(%62()5".#%("7(*)%)(1"--21%2* (Bamberger et al. 2006). The following questions can help simplify data collection and reduce costs:
Is the information necessary and sufficient?&▪ &,011%$.&0#1?&A/-.&"6&#%$%66-4?&
304&:40U%$.&@-#-;%@%#.&-#9&%5-1>-."0#<&P"@".&"#304@-."0#&#%%96&.0&./%&6.-.%9&
0HU%$."5%6+&"#9"$-.046+&-#9&-66>@:."0#6&"#&./%&10;34-@%<&
14(*2'(4(*4($%8#$(*&(<3+)84/*)828*&3"4<(&O&▪ &C/"6&$-#&6-5%&$06.6&304&:4"@-4?&9-.-&
$011%$."0#<&
Is the sample size adequate but not excessive?&▪ Determine the sample size that is necessary to estimate or detect change. Consider using stratified and cluster 6-@:1%6<
Can the data collection instruments be simplified?&▪ &S1"@"#-.%&%D.4-#%0>6&
questions from questionnaires and checklists. In addition to saving time and cost, this has the added benefit of reducing “survey fatigue” among respondents.
1*)828*8+8$/&%&*;$8+*&'3"$)*%)(+2%C/0*
R'(+*)828*8+8$/&%&*P%$$*3<<"4E&▪ It is not an isolated event at the end of data collection, but an ongoing task from project start. Data analysis $-#&H%&6.4>$.>4%9&./40>;/&@%%."#;6&-#9&0./%4&304>@6&.0&$0"#$"9%&A"./&
B%?&:40U%$.&"@:1%@%#.-."0#&-#9&4%:04."#;&H%#$/@-4B6<&
To what extent analysis will be quantitative&▪ and/or qualitative, and any specialized skills and equipment required for analysis.
R'3*P%$$*)3*2'(*8+8$/&%&&▪ , i.e., external experts, project staff, beneficiaries, and/or other stakeholders.
FC*8+)*'3P*&"#&(M"(+2*8+8$/&%&*P%$$*3<<"4E&▪ &!>$/&-#-1?6"6&@-?&H%&
needed to verify findings, to follow-‐‑up on research topics for project %D.%#6"0#&-#9&-99"."0#-1&3>#9"#;+&04&.0&"#304@&3>.>4%&:40;4-@@"#;<&
An important consideration in planning for data collection and analysis is to "9%#."3?&-#?&1"@".-."0#6+&H"-6%6+&-#9&./4%-.6&.0&./%&-$$>4-$?&03&./%&9-.-&-#9&
analysis. Data distortion can occur due to limitations or errors in design, sampling, field interviews, and data recording and analysis. It is best to @0#".04&./%&4%6%-4$/&:40$%66&$-4%3>11?&-#9&6%%B&%D:%4.&-95"$%+&A/%#&#%%9%9<&
It is also important to carefully plan for the data management of the M&E system. This includes the set of procedures, people, skills, and equipment necessary to systematically store and manage M&E data. If this step is #0.&$-4%3>11?&:1-##%9+&9-.-&$-#&H%&106.&04&"#$044%$.1?&4%$049%9+&A/"$/&
compromises not only data quality and reliability, but also subsequent data -#-1?6"6&-#9&>6%<&M0041?&@-#-;%9&9-.-&A-6.%&."@%&-#9&4%60>4$%6<
Other Aspects of M&E Planning
Information Reporting and Utilization
Reporting project achievements and evaluation findings serves many important functions, namely to:
Advance learning among project staff as well as the larger &▪9%5%10:@%#.&$0@@>#".?
Improve the quality of the services provided&▪
Inform stakeholders on the project benefits and engage them in work &▪./-.&3>4./%46&:40U%$.&;0-16
Inform donors, policy makers and technical specialists of effective &▪"#.%45%#."0#6&7-#9&./06%&./-.&9"9�.&A04B&-6&/0:%98
Develop a project model that can be replicated and scaled-‐‑up.&▪
Reporting is closely related to M&E work, since data are needed to support the major findings and conclusions presented in a project report. O en, the focus and frequency of M&E processes are determined by reporting requirements and schedules.
M4-$."$-1&$0#6"9%4-."0#6&"#&"#304@-."0#&4%:04."#;&-#9&>."1"K-."0#&:1-##"#;&
include:
=(&%>+*2'(*NS6*<3AA"+%<82%3+*;$8+*843"+)*2'(*%+C34A82%3+*&▪+(()&*3C*2'(*"&(4&E*C/%&$0#.%#.&-#9&304@-.&03&9-.-&4%:04.6&A"11&
5-4?+&9%:%#9"#;&0#&A/%./%4&./%&4%:04.6&-4%&.0&H%&>6%9&.0&@0#".04&
processes, conduct strategic planning, comply with requirements, identify problems, justify a funding request, or conduct an impact %5-1>-."0#<
F)(+2%C/*2'(*C4(M"(+</*3C*)828*4(;342%+>*+(()&E*&▪ For example, project managers may want to review M&E data frequently to assess project :40;4%66&-#9&@-B%&9%$"6"0#6+&A/%4%-6&90#046&@-?&#%%9&9-.-&0#1?&
0#$%&04&.A"$%&-&?%-4&.0&%#6>4%&-$$0>#.-H"1".?<
B8%$34*4(;342%+>*C34A82&*23*2'(*%+2(+)()*8")%(+<(E&▪ &2%:04."#;&@-?&
entail different levels of complexity and technical language; the report format and media should be tailored to specific audiences and different methods used to solicit feedback.
F)(+2%C/*8;;43;4%82(*3"2$(2&*8+)*A()%8*<'8++($&*C34*<3AA"+%<82%+>*&▪NS6*)828E&,0#6"9%4&H0./&"#.%4#-1&4%:04."#;+&6>$/&-6&4%;>1-4&:40U%$.&
4%:04.6&.0&@-#-;%@%#.&-#9&:40;4%66&4%:04.6&.0&90#046+&-6&A%11&-6&
external reporting, such as public forums, news releases, briefings, and Internet Web sites.
M&E Staffing and Capacity Building
Staffing is a special concern for M&E work because it demands special training and a combination of research and project management skills. Also, the effectiveness of M&E work o en relies on assistance from staff and volunteers who are not M&E experts. Thus, capacity building is a critical aspect of implementing good M&E work.
Suggestions for ensuring adequate M&E support include the following:
Identify the various tasks and related skills that are needed, such &▪as ensuring adequate data collection systems in the field, research 9%6";#+&-#9&9-.-&%#.4?&-#9&-#-1?6"6
Assess the relevant skills of the project team, partner organizations, &▪and the community beneficiaries
!:%$"3?&.0&A/-.&%D.%#.&10$-1&6.-B%/019%46&A"11&704&A"11�.8&:-4."$":-.%&&▪in the M&E process (see Table 3)
Assign specific roles and responsibilities to team members and &▪designate an overall M&E manager
Recruit consultants, students, and others to fill in the skill gaps and &▪6:%$"-1&#%%96&6>$/&-6&.4-#61-."0#+&6.-."6."$-1&-#-1?6"6+&-#9&$>1.>4-1&
B#0A1%9;%
Identify the topics for which formal training is needed and hold &▪.4-"#"#;&6%66"0#6
Encourage staff to provide informal training through on-‐‑the-‐‑job &▪;>"9-#$%&-#9&3%%9H-$B+&6>$/&-6&$0@@%#."#;&0#&-&4%:04.&04&6/0A"#;&
how to use computer so ware programs
Give special a ention to building local capacity in M&E.&▪
Cultivating nascent M&E skills takes time and patience, but in the end the contributions of various collaborators will enrich M&E work and lead to greater acceptance of M&E’s role in project implementation.
Table 3. Considering Participatory M&E
Potential Advantages Potential Disadvantages
Empowers beneficiaries to analyze &▪-#9&-$.&0#&./%"4&0A#&6".>-."0#&7-6&
“active participants” rather than “passive recipients”)E>"196&10$-1&$-:-$".?&.0&@-#-;%+&&▪0A#+&-#9&6>6.-"#&./%&:40U%$.<&M%0:1%&
-4%&1"B%1?&.0&-$$%:.&-#9&"#.%4#-1"K%&
findings and recommendations that ./%?&:405"9%<
E>"196&$011-H04-."0#&-#9&$0#6%#6>6&&▪at different levels—between beneficiaries, local staff and partners, -#9&6%#"04&@-#-;%@%#.
Reinforces beneficiary accountability, &▪:4%5%#."#;&0#%&:%46:%$."5%&340@&
dominating the M&E process!-5%6&@0#%?&-#9&."@%&"#&9-.-&&▪$011%$."0#&$0@:-4%9&A"./&./%&$06.&03&
using project staff or hiring outside 6>::04.
M405"9%6&."@%1?&-#9&4%1%5-#.&&▪information directly from the field 304&@-#-;%@%#.&9%$"6"0#&@-B"#;&.0&
%D%$>.%&$044%$."5%&-$."0#6
Requires more time and cost to &▪train and manage local staff and $0@@>#".?&@%@H%46
Requires skilled facilitators to ensure &▪./-.&%5%4?0#%&>#9%46.-#96&./%&:40$%66&
and is equally involvedCan jeopardize the quality of collected &▪data due to local politics. Data -#-1?6"6&-#9&9%$"6"0#&@-B"#;&$-#&
H%&90@"#-.%9&H?&./%&@04%&:0A%43>1&
50"$%6&"#&./%&$0@@>#".?&74%1-.%9&.0&
;%#9%4+&%./#"$+&04&4%1";"0>6&3-$.0468<
Demands the genuine commitment &▪03&10$-1&:%0:1%&-#9&./%&6>::04.&03&
90#046+&6"#$%&./%&:40U%$.&@-?�.&>6%&
./%&.4-9"."0#-1&"#9"$-.046&04&[email protected]&
for reporting findings
Budgeting for M&E
A key function of planning for M&E is to estimate the costs, staffing, and other resources needed for M&E work. It is important for M&E specialists to weigh in on M&E budget needs at the project design stage so that funds are allocated specifically to M&E and are available to implement key M&E tasks.
The following are suggestions for building a realistic budget:
List all M&E tasks and overall responsibilities, analyze the necessary &▪".%@6&-660$"-.%9&A"./&%-$/&.-6B+&-#9&9%.%4@"#%&./%"4&$06.
Budget for staffing, including full-‐‑time staff, external consultants, &▪capacity building/training, and other human resource expenses
S#6>4%&./-.&./%&H>9;%.&"#$1>9%6&-11&$-:".-1&%D:%#6%6+&"#$1>9"#;&3-$"1".?&&▪costs, office equipment and supplies, travel and lodging, computer hardware and so ware, and other expenses
Determine whether all tasks are included in the overall project &▪budget, such as support for an information management system, field .4-#6:04.-."0#&-#9&5%/"$1%&@-"#.%#-#$%+&.4-#61-."0#+&-#9&:4"#."#;&-#9&
publishing of M&E documents/tools
Review the donor’s requirements to determine whether there are any &▪%D.4-&".%@6&./-.&#%%9&.0&H%&H>9;%.%9+&04&$0#5%46%1?+&".%@6&6>$/&-6&-#&
%D.%4#-1&%5-1>-."0#&./-.&A"11&H%&3>#9%9&9"4%$.1?&H?&./%&90#04
Allow for unexpected contingencies such as inflation, currency &▪devaluation, equipment the , or the need for additional data collection/analysis to verify findings.
A narrative justifying each line item can help guard against arbitrary budget cuts. It may be necessary to clarify or justify expenses, such as wage rates #0.@-11?&:-"9&.0&$0@:-4-H1%&:06"."0#6+&3%%6&304&$0#6>1.-#.6&-#9&%D.%4#-1&
%D:%4.6+&04&./%&5-4"0>6&6.%:6&"#&-&6>45%?&./-.&-99&>:&"#&$06.&79%5%10:@%#.&
and testing the questionnaire, translation and back-‐‑translation, enumerator training, enumerators’ and field supervisors’ daily rates, travel/lodging costs 304&-9@"#"6.%4"#;&./%&6>45%?+&9-.-&-#-1?6"6&-#9&A4".%I>:+&-#9&60&0#8<
Program managers o en ask what proportion of a project’s budget should be allocated to M&E. There is no set formula; various donors and organizations 4%$0@@%#9&./-.&H%.A%%#&*&.0'Q&:%4$%#.&03&-&:40U%$.F6&H>9;%.&6/0>19&H%&
allocated to M&E (Frankel and Gage 2007, p. 11). A general rule of thumb is that the M&E budget should not be so small as to compromise the accuracy -#9&$4%9"H"1".?&03&4%6>1.6+&H>.&#%"./%4&6/0>19&".&9"5%4.&:40U%$.&4%60>4$%6&.0&./%&
%D.%#.&./-.&:40;4-@@"#;&"6&"@:-"4%9<
Annex I
References and Resources1
References
AEA (American Evaluation Association). 2004. American Evaluation Association Guiding Principles for S5-1>-.046<&www.eval.org/Publications/GuidingPrinciplesPrintable.as:<&
AES (Australian Evaluation Society). 2002. Australian Evaluation Society Guidelines for the Ethical Conduct of S5-1>-."0#6<&h p://www.aes.asn.au/<
AusAID. 2006. “M&E Framework Good Practice Guide” (Exposure Dra : March 17, 2006). Australian Government AusAID. www.mande.co.uk/docs/MEF%20QAG_Guide%20(ver7)%201703016.pd3<&
Bamberger, Michael, Jim Rugh, and Linda Mabry. 2006. 82)-9"&-*(+,)-.)%$"#3(9"&:$#'(;#*2&(<.*'2%=(>$52=(?)%)=(
)#*(/"-$%$1)-(@"#4%&)$#%4. Thousand Oaks, London, New Delhi: SAGE Publications.
Barton, Tom. 1997. “Guidelines to Monitoring and Evaluation: How Are We Doing?” CARE International, Kampala, Uganda. &h p://pqdl.care.org/pv_obj_cache/pv_obj_id_1DCDB23F514606B280C36E5E42B6EF31F9D7070Q<&
,-19A%11+&2"$/-49<&NQQN<&/&"A21%(?24$'#(B)#*C"":. Atlanta: CARE International. &h p://pqdl.care.org/practice/Design%20Monitoring%20and%20Evaluation/Forms/By%20Language.aspD<&
DAC (Development Assistance Commi ee). 2008. “DAC Evaluation Quality Standards (dra ).” DAC Evaluation Network, Organization for Economic Co-‐‑operation and Development (OECD), Paris, France. &h p://www.oecd.org/dataoecd/30/62/36596604.pd3<&&
Frankel, Nina and Anastasia Gage. 2007. “M&E Fundamentals: A Self-‐‑Guided Minicourse.” United States Agency for International Development (USAID), Washington, DC. &h p://www.cpc.unc.edu/measure/publications/pdf/ms-‐‑07-‐‑20.pd3<&
IFAD (International Fund for Agricultural Development). 2002. “A Guide for Project M&E.” IFAD, Rome. &h p://www.ifad.org/evaluation/guide/toc.ht@<&
IFRC (International Federation of Red Cross and Red Crescent Societies). 2007. “Monitoring and Evaluation in a Nutshell.” IFRC, Geneva. h p://participation.110mb.com/PCD/M%20and%20E%20guide%20final.pd3<&
Rugh, Jim. 2008. “The Rose a Stone of Logical Frameworks.” Compiled by Jim Rugh for CARE International and InterAction’s Evaluation Interest Group. h p://www.mande.co.uk/docs/Rose astone.do$<
Stetson, Valerie, Guy Sharrock, and Susan Hahn. 2004. “ProPak: The CRS Project Package.” Catholic Relief !%45"$%6+&E-1."@04%<&h p://crs.org/publications/list.cfm?sector=1(<&
1 Internet links have been provided where possible to download references and resources. If a link is no longer active, try a keyword search on the publication title with an Internet search engine, e.g., Google.
Theory of Change. 2008. A joint venture between ActKnowledge and the Aspen Institute Roundtable on ,0@@>#".?&,/-#;%<&h p://www.theoryofchange.org/html/overview.htm1<
USAID (United States Agency for International Development). 1996. “Preparing a Performance Monitoring Plan. Performance Monitoring and Evaluation TIPS: Number 7.” USAID, Washington, DC. &h p://pdf.usaid.gov/pdf_docs/pnaby215.pd3
Resources
American Red Cross. 2006. “Integrated Planning Process: Project Design & Proposal Writing Guide.” American Red Cross, Washington, DC. h p://www.redcross.org/static/file_cont5976_lang0_2296.pd3<
Canadian International Development Agency. 2008. Useful M&E resources at &h p://www.acdi-‐‑cida.gc.ca/CIDAWEB/acdicida.nsf/En/JUD-‐‑111795644-‐‑KJY<&&
DAC (Development Assistance Commi ee) Network on Development Evaluation. 2008. h p://www.oecd.org/document/35/0,3343,en_21571361_34047972_31779555_1_1_1_1,00.htm1<&&L4;-#"K-."0#&304&S$0#0@"$&,0I
operation and Development (OECD) M&E documents, publications, networks, and links, including criteria -#9&6.-#9-496&304&%5-1>-."0#<
Danida. 1996. “Logical Framework Approach: A Flexible Tool for Participatory Development.” &h p://amg.um.dk/en/menu/TechnicalGuidelines/LogicalFrameworkApproac/<
Department for International Development (DFID). 2006. “A Guide for DFID-‐‑contracted Research Programmes.” h p://www.dfid.gov.uk/research/me-‐‑guide-‐‑contracted-‐‑research.pd3<&
IntraHealth International. 2008. Sample PI Monitoring and Evaluation Plan. &h p://www.intrahealth.org/sst/tool5-‐‑1.htm1<&&
MandE News. h p://mande.co.uk/. A comprehensive M&E resource site, with links to other M&E resources. For example, multiple resources on logical frameworks and their pros and cons can be assessed at: h p://portals.wdi.wur.nl/ppme/index.php?Logical_Framework_Approach and h p://www.mande.co.uk/logframe.ht@<
MEASURE (Measure and Evaluation to Assess and Use Results Evaluation). 2008. h p://www.cpc.unc.edu/@%-6>4%. Funded by USAID, the MEASURE framework offers M&E publications, tools, trainings, and other 4%60>4$%6<
Participatory Planning Monitoring & Evaluation (PPM&E) Resource Portal. 2008. Contains multiple resources for M&E planning. h p://portals.wdi.wur.nl/ppme/index.php?Hom%<
Performance Assessment Resource Centre (PARC). 2008. h p://www.parcinfo.org/. Contains useful M&E 4%60>4$%6<
2%60>4$%6&304&J%./096&"#&S5-1>-."0#&-#9&!0$"-1&2%6%-4$/<&NQQO<&h p://gsociology.icaap.org/methods/<&&P"6.6&>6%3>1&4%60>4$%6&304&:40;4-@&%5-1>-."0#&-#9&60$"-1&4%6%-4$/&@%./096<
UNAIDS. 2002. Monitoring and Evaluation Operations Manual. Joint United Nations Programme on HIV/AIDS. h p://www1.worldbank.org/hiv_aids/docs/M&EManual.pd3<&
UNICEF Evaluation. h p://www.unicef.org/evaluation/. Provides useful M&E resources, as wells as links to other M&E sites.
United Nations Development Programme (UNDP). 2008. h p://www.undp.org/eo/. Useful M&E resources as wells as links to other M&E sites.
United Nations Evaluation Group (UNEG). 2008. h p://www.uneval.org/. M&E standards, resources, and events.
United Nations Population Fund (UNFPA). 2000. “The Programme Manager’s Planning, Monitoring and Evaluation Toolkit: Planning and Managing an Evaluation.” UNFPA Office of Oversight and Evaluation. h p://www.unfpa.org/monitoring/toolkit.ht@<&
USAID (United States Agency for International Development). 2002. “Developing a Participatory Monitoring and Evaluation Plan.” Produced for USAID by the Synergy Project. AAA<6?#%4;?-"96<$0@/<&
——— . 2007. “Monitoring and Evaluation Systems Strengthening Tool.” USAID, Washington, DC. &h p://www.pepfar.gov/documents/organization/79624.pd3<
USAID Center for Development and Evaluation Information. 1996. Evaluation Publications at h p://www.usaid.gov/pubs/usaid_eva1. M&E resources from 1996, but still very relevant and useful, most notably the concise series of TIPS documents. For example, “Preparing a Performance Monitoring Plan. Performance Monitoring and Evaluation TIPS: Number 7.”
USAID/DCHA/FFP. 2005. P.L. 480 Title II Program Policies and Proposal Interim Guidelines. March 14, 2005, Annex A, p. 9.
W. K. Kellogg Foundation. 2001. “Logic Model Development Guide.” W.K. Kellogg Foundation, Ba le Creek, J"$/";-#<&h p://www.wkkf.org/Pubs/Tools/Evaluation/Pub3669.pd3<&
World Bank, Independent Evaluation Group (IEG). 2008. International Program for Development Evaluation Training. Course modules provide an overview of key M&E concepts and practices. &h p://www.worldbank.org/oed/ipdet/modules.htm1<&
Other Institutional Capacity-Building Modules
Produced by the American Red Cross/Catholic Relief Services (CRS) M&E Training Module Series. American Red Cross/CRS, Washington, DC, and Baltimore. AAA<$46<04;&-#9&AAA<4%9$4066<04;
Hagens, Clara, with assistance from Guy Sharrock. 2008. “Hiring M&E Staff.”
McMillan, Della E., and Alice Willard. 2008. “Preparing for an Evaluation.”
McMillan, Della E., Guy Sharrock, and Alice Willard. 2008. “Guidelines and Tools for the Preparation and Use of Indicator Performance Tracking Tables (IPTT).”
Annex II
Logframe Example
Project Objectives Indicators Means of Verification Assumptions:38$&Improve the health in target $0@@>#"."%6&"#&J-.-4-&
District, Sri Lanka, by 4%9>$"#;&./%&"#$"9%#$%&03&
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Annex III
Indicator Matrix Examples2
Indicators Indicator Definition
Methods/Sources Person/s Responsible
Frequency/ Schedules
Data Analysis Information Use
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Annex IV
Data Collection Tools and Techniques3
A detailed descriptive narrative of individuals, communities, organizations, events, program, or time periods. They are particularly useful in evaluating complex situations and exploring qualitative impact.
A list of items used for validating or inspecting that procedures/steps have been followed, or the :4%6%#$%&03&%D-@"#%9&H%/-5"046<&
A technique for interviewing that uses carefully organized questions that only allow a limited range of answers, such as “yes/no,” or expressed by a rating/number on a scale. Replies can %-6"1?&H%&#>@%4"$-11?&$09%9&304&6.-."6."$-1&-#-1?6"6<
A form of public meeting open to all community members. Interaction is between the participants and the interviewer, who presides over the meeting and asks questions following a :4%:-4%9&"#.%45"%A&;>"9%<&
A record of what observers see and hear at a specified site, using a detailed observation form. Observation may be of physical surroundings, activities, or processes. Observation is a good technique for collecting data on behavior pa erns and physical conditions.
Focused discussion with a small group (usually 8 to 12 people) of participants to record a itudes, perceptions, and beliefs pertinent to the issues being examined. A moderator introduces the topic and >6%6&-&:4%:-4%9&"#.%45"%A&;>"9%&.0&1%-9&./%&9"6$>66"0#&-#9&%1"$".&9"6$>66"0#+&0:"#"0#6+&-#9&4%-$."0#6<&
An interview with a person having special information about a particular topic. These "#.%45"%A6&-4%&;%#%4-11?&$0#9>$.%9&"#&-#&0:%#I%#9%9&04&6%@"I6.4>$.>4%9&3-6/"0#<
Precise measurement of specific objective phenomenon, for example, infant weight or water quality test.
Data collected from interviews with 25 to 50 individuals, usually selected using non-‐‑probability sampling techniques. Structured questionnaires with a limited number of closed-‐‑ended questions are used to generate quantitative data that can be collected and analyzed quickly.
A participatory monitoring technique based on stories about important or significant changes, rather than indicators. They give a rich picture of the impact of development work and :405"9%&./%&H-6"6&304&9"-10;>%&05%4&B%?&0HU%$."5%6&-#9&./%&5-1>%&03&9%5%10:@%#.&:40;4-@6<
A technique for questioning that allows the interviewer to probe and follow up topics of interest in depth (rather than just “yes/no” questions).
*& D"%23(This list is not exhaustive, as tools and techniques are emerging and evolving in the M&E field.
A technique first used by anthropologists; it requires the researcher to spend considerable ."@%&A"./&./%&;40>:&H%"#;&6.>9"%9&79-?68&-#9&.0&"#.%4-$.&A"./&./%@&-6&-&:-4."$":-#.&"#&./%"4&$0@@>#".?<&C/"6&
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This uses community engagement techniques to understand community views on a particular issue. It is usually done quickly and intensively – over a 2 to 3-‐‑week period. J%./096&"#$1>9%&"#.%45"%A6+&30$>6&;40>:6+&-#9&$0@@>#".?&@-::"#;<
A data collection instrument containing a set of questions organized in a systematic way, as well as a set of instructions to the enumerator/interviewer about how to ask the questions (typically used in a survey).
A quick cost-‐‑effective technique to gather data systematically for decision-‐‑making, using qualitative and quantitative methods, such as site visits, observations, and sample surveys. This technique shares many of the characteristics of participatory appraisal (such as triangulation and multi-‐‑9"6$":1"#-4?&.%-@68&-#9&4%$0;#"K%6&./-.&"#9";%#0>6&B#0A1%9;%&"6&-&$4"."$-1&$0#6"9%4-."0#&304&9%$"6"0#I@-B"#;<&
Wri en surveys completed by the respondent, either in a group se ing or in a separate 10$-."0#<&2%6:0#9%#.6&@>6.&H%&1".%4-.%&7304&%D-@:1%+&".&$-#&H%&>6%9&.0&6>45%?&.%-$/%4&0:"#"0#68<
A review of population censuses, research studies, and other sources of statistical data.
Systematic collection of information from a defined population, usually by means of interviews or questionnaires administered to a sample of units in the population (e.g., person, beneficiaries, and adults).
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examine the study topics. Participants can be prompted to construct visual responses to questions posed by the interviewers, for example, by constructing a map of their local area. This technique is especially effective where 5%4H-1&@%./096&$-#&H%&:40H1%@-."$&9>%&.0&10A&1".%4-.%&04&@"D%9&1-#;>-;%&.-4;%.&:0:>1-."0#6+&04&"#&6".>-."0#6&
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A review of documents (secondary data) such as project records and reports, -9@"#"6.4-."5%&9-.-H-6%6+&.4-"#"#;&@-.%4"-16+&$044%6:0#9%#$%+&1%;"61-."0#+&-#9&:01"$?&90$>@%#.6<