Monitoring and Evaluation Chapter 7

Chapter 1
CHAPTER 7
MONITORING AND EVALUATION

Chapter 2
Monitoring and evaluation mechanisms are essential for developing
effective programmes to prevent and respond to sexual and
gender-based violence. They enhance accountability, one of the
Guiding Principles described in Chapter 2, and are part of the
Framework for Action described in Chapter 6. These mechanisms are
most effective when developed by all sectors, including the refugee

Chapter 3
community, working together.

Members of the multi-sectoral team should take the following six

actions when developing a monitoring or evaluation system:
determine the purposes of the monitoring and evaluation mechanisms
and assess information needs; ensure prevention and response
interventions have clearly defined objectives, outputs and indicators;

Chapter 4
establish co-ordinated and common reporting tools; determine
methods for obtaining information on indicators; assign responsibilities
for information gathering, determine time frame and frequency of data
collection, and allocate resources; establish mechanisms for sharing
information and incorporating results into prevention and response
planning.

Chapter 5
Defining Monitoring and Evaluation
Monitoring and evaluation are two distinct, but interrelated, activities.

Monitoring is the ongoing review, conducted by the multi-sectoral

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team, of prevention and response interventions to determine whether
they are developing according to plan and budgetary requirements
and whether any adjustments may be needed so they achieve their
intended goals. Effective monitoring includes a co-ordinated reporting
system.

Evaluation is an analysis of the relevance, effectiveness and efficiency

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of the multi-sectoral team’s prevention and response strategies.
Evaluation systematically assesses the protection impact of the
policies, programmes, practices, partnerships and procedures on
refugee women, men, boys and girls. Evaluation criteria can include
the sustainability of prevention and response activities, co-ordination
and consistency, and the effectiveness of monitoring and reporting
systems.
Chapter 8

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Purposes of Monitoring and Evaluation

Mechanisms
Comprehensive monitoring and evaluation mechanisms:
% Help actors to determine the protection impact of prevention and
response activities.

% Assess the quality of prevention and response interventions and

whether they are achieving their objectives.

% Can highlight changes in the environment that affect rates of sexual

and gender-based violence.

% Identify good practices, derive lessons from operational experience

and can help improve performance.

% Can encourage team building, foster transparency and enhance

accountability to refugee women, men and youth and to donors.

Effective monitoring answers these questions:

% Are we achieving what we intend? How? Why or why not?

% What are the obstacles to implementation?

% Are we co-ordinating effectively?

% What are the implementation gaps? How are we going to address

them?

Effective evaluation answers these questions:

% What did we do?

% What did we achieve?

% Did we achieve what we intended?

% What have we learned?

% Are we fully addressing the causes of sexual and gender-based

violence? If not, what are the gaps?

% Are we fully addressing the consequences of sexual and

gender-based violence? If not, what are the gaps?

% What else is needed?

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Types of Monitoring and Evaluation Mechanisms

Chapter 1
Monitoring and evaluations can vary in scope, depth and focus. They
can be directed at policy, a function, a programme, at practices (such
as reporting, referral, planning or budget practices) or at a specific
intervention.

Chapter 2
Monitoring and evaluation mechanisms apply to all levels of
prevention and response interventions, including those aimed at the
individual, community or social/legal/political structures. Monitoring
and evaluation can also be applied to sectors, i.e. to the sum of
prevention and response activities mechanisms in the areas of health,
psycho-social, safety/security and legal/justice.

Chapter 3
Monitoring and evaluations can be conducted at any stage of an
operation. Monitoring is most effective when done on an ongoing
basis; programme evaluations are best conducted annually.
Evaluations conducted at an early stage of an operation can provide
information for a situation analysis. Monitoring done throughout an
operation can enable managers to ensure that agreed actions are
proceeding as intended. Evaluations conducted at the end of an
operation help to assess what was accomplished and to identify good

Chapter 4
practices.

See also:
& Real-time Humanitarian Evaluations: Some FAQs (UNHCR 2002)

Chapter 5
Designing Monitoring and Evaluation Systems
for Programmes Targeting Sexual and

Chapter 6
Gender-Based Violence
As the Guiding Principles described in Chapter 2 suggest, it is important
to encourage wide participation in designing monitoring and
evaluation systems. A multi-sectoral approach, including participation
by the refugee community, enhances learning, builds ownership and
promotes transparency among the actors involved. This is especially
Chapter 7
important when discussing the purpose of monitoring and evaluation
and how the information will be used, analysed and affect ongoing
planning.

Actors must recognise that some groups face obstacles to

participating in this process. Refugee women and children, for
example, often lack the authority to share their opinions in these kinds
Chapter 8

of settings. Special arrangements may be needed to ensure that

refugee youth, and especially groups at risk (see Chapter 5), are
involved in designing these systems. The situation analysis
recommended in Chapter 2 will highlight some of these issues. Once all
actors are alerted to these potential obstacles, they can work to
overcome them.

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There are six actions that should guide the development of a

monitoring or evaluation system:

1. Determine the purposes of the monitoring and evaluation

mechanisms and assess information needs.

2. Ensure prevention and response interventions have clearly

defined objectives, outputs and indicators.

3. Establish co-ordinated and common reporting tools.

4. Determine methods for obtaining information on indicators.

5. Assign responsibilities for information gathering, determine time

frame and frequency of data collection and allocate resources.

6. Establish mechanisms for sharing information and incorporating

results into prevention and response planning.

See also:
& Planning and Organising Useful Evaluations (UNHCR 1998)

ACTION 1:
Determine the Purposes of the Monitoring and Evaluation Mechanisms and
Assess Information Needs
The multi-sectoral team should discuss and agree on the purposes of a
monitoring and evaluation system. This will determine what reporting
systems are needed, how often these mechanisms are used, and how
they will influence ongoing prevention and response planning.

To assist in developing a consensus on the purposes of a monitoring

and evaluations mechanisms, it may be useful to determine the
information needs of each actor/sector. This information needs
assessment can be developed in the form of a matrix and can be
organised according to sector or according to the actors involved.

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Example:

Chapter 1
Multi-sectoral & Information needs
team actors

Beneficiary & Impact on well being

group/target & Problems in accessing services
& Ability to participate and affect

Chapter 2
population
decision-making

Field staff & Results of activities

& Problems affecting activities/group
performance
& Progress according to work plan
& Assessed risk factors for sexual and

Chapter 3
gender-based violence

Co-ordinators/ & What are the results?

supervisors & What are the problems encountered by field
staff?
& What is the progress according to work plan?
& Performance of field staff

Chapter 4
Project & Effectiveness and efficiency of strategies
management & Have expected results been achieved?
& Positive and negative effects on men and
women
& Implementation progress
& External factors influencing performance
&

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Internal weaknesses affecting results
& Efficient and effective use of resources

Funding & Extent to which the objectives/goals have been

reached
agencies/
partner & Project strategies
organisations & External factors influencing project
performance

Chapter 6
& Sustainability of project results at target group
and institutional level

ACTION 2:
Ensure Prevention and Response Interventions have Clearly Defined
Chapter 7
Objectives, Outputs and Indicators
Each intervention should have clear objectives which should be
operationalised in outputs, impact and performance indicators. These
objectives, outputs and indicators provide a systematic way of
describing the protection impact of sexual and gender-based
violence prevention and response interventions. Indicators also
Chapter 8

suggest what data should be collected and what reporting

mechanisms are needed.

To establish objectives:

Objectives should refer to the desired result and protection impact of

each programme intervention that contributes to the achievement of
the programme goal.

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Example: A situation analysis determines that food items are not being
distributed equitably. Some groups are not receiving adequate
resources and this has increased the risk of sexual and gender-based
violence and sexual exploitation.

The objective would be to review current food distribution processes

with the aim of reducing the risk of sexual and gender-based violence
and ensuring greater gender equality.

Note: Objectives should be described in terms of the positive changes

that will occur in the condition of the refugee population. They can aim
for improved co-ordination, improved mechanisms for response,
increased awareness of the community or better partnerships for
gender equality with men.

To establish outputs:

Outputs are specific and concrete achievements. To help identify

desired outputs, describe what needs to be done to achieve the
objectives.

Example: If the objective is to increase women’s representation on

food distribution committees, one output might be to review and
change the terms of reference of food distribution committees to
ensure women’s representation.

To establish performance and impact indicators:

Indicators are measurement tools that help to define what will be

evaluated or monitored and record the achievement of intended
results. Both qualitative and quantitative indicators are needed for
assessing the protection impact of prevention and response
interventions. Quantitative indicators are those that can be easily
monitored over time and through reporting forms. Qualitative
indicators help to highlight good practices, outline the difficulties
encountered and identify gaps in prevention and response measures.

UNHCR works with two types of indicators: impact and performance

indicators.

Impact indicators are used to help measure change in welfare and

behaviour as well as changes in systems and institutions. Impact
indicators tend to be more qualitative, measuring the intended
changes to people’s judgments and perceptions about a subject.
Impact indicators relate to objectives.

Example: If the objective is to increase women’s participation on food

distribution committees, an impact indicator might be that women on
the food distribution committees perceive they are making meaningful
contributions to the decision-making process.

Performance indicators tend to be more quantitative. Performance

indicators relate to outputs.

Example: If the output is to review and change the terms of reference

of food distribution committees to ensure women’s participation, the
performance indicator might be that women’s participation on the
food distribution committees increases from 30 to 50 per cent.

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All indicators should be disaggregated by sex and age. Wherever

Chapter 1
possible, indicators should specify other aspects of the target
population, including ethnic group, location (urban or rural areas,
camps), or by risk groups.

See also:
& Project Planning in UNHCR: A Practical Guide on the use of Objectives,

Chapter 2
Outputs and Indicators (UNHCR 2002)

ACTION 3:
Establish Co-ordinated and Common Reporting Tools
Reporting tools provide systematic and consistent ways of gathering

Chapter 3
information on the above indicators. It is important to develop
reporting tools common to all organisations within sectors (e.g. all
health providers should collect the same set of minimum information).

The multi-sectoral team should begin by identifying all current

reporting, record keeping systems, data summary sheets, and
monitoring and evaluation systems used by the different actors and in

Chapter 4
each sector.

In considering existing reporting tools, such as the monthly health

NGO/community services/ UNHCR protection reports, sitreps, annual
protection reports, and country operations plans, the team should
assess the initial reporting situation and what changes are needed to
include information on sexual and gender-based violence prevention

Chapter 5
and response activities. It is important that these various reports
describe the progress made, the challenges and problems that remain
and the monitoring and evaluation mechanisms in place.

All reporting tools discussing the protection impact of prevention and

response mechanisms should be gender- and age-sensitive. This
means identifying the different impacts of interventions on refugee
women, girls, men and boys.

Sample Reporting Tools Chapter 6

Chapter 7
The Incident Report Form and the Monthly Sexual and
Gender-Based Violence Report Form
The Incident Report Form is an important reporting tool that should be
used by all actors. When any incident of sexual and gender-based
violence is reported to any actor, there should be a standard format
used to record such incidents. Another reporting tool is the Monthly
Chapter 8

Sexual and Gender-Based Violence Report Form. This reporting

mechanism is important for tracking the changes in the environment
that affect the incidence of sexual and gender-based violence. This
report also provides insights into the factors that may perpetuate these
acts of violence at the community level. For the monthly report form,
keep in mind that data must be compiled for each individual
camp/setting; totals provided for the field office, regionally or
countrywide are also useful. For sample forms, see Appendices 2 and 3.

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Data Elements of Sexual and Gender-Based Violence

Reports

It is essential that certain information be collected in reports. To be effective, all

actors must agree on the terminology used so that reporting forms are comparable.
All reporting mechanisms must ensure the confidentiality of the victim/survivor and
perpetrator.

Data Elements for Monthly Report Forms:

& Total number of incident reports.

& Types of sexual and gender-based violence perpetrated.
& Number, age and sex of victims/survivors.
& Number, age and sex of perpetrators.
& Number of incidents by location (e.g. house, market, outside camp
[indicating where outside the camp]).
& Number of rape victims/survivors receiving health care within two days of
incident.

Data Elements for Legal Form:

& Number of cases reported to the protection officer.

& Number of cases reported to the police.
& Number of cases taken to trial.
& Number of cases dismissed.
& Number of acquittals/convictions.
& Types of sexual and gender-based violence perpetrated.
& Number of rape cases seen within two days by health services.
& Number of cases in which forensic medical evidence was prepared.
& Percentage increase/decrease of number of rape cases by month.
& Percentage increase/decrease of sexual and gender-based violence
incidents by month.
& Additional observations.

Data Elements for Situation Reports:

& Sexual and gender-based violence concerns, issues, and incidents.

& Status of co-ordination and planning.
& Prevention interventions by sector.
& Response interventions by sector.
& Staff/beneficiary capacity training.
& Protection impact: monitoring and evaluation activities.
See Appendix 4 for a sample Medical History and Examination form.

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The Sexual and Gender-Based Report Rate

Chapter 1
The sexual and gender-based violence report rate is the number of all
sexual and gender-based violence incident reports received in any given
period as compared to the total population. To calculate the report rate
per 10,000 persons for the month, year or other designated time period:

Number of incidents reported during designated time period

Chapter 2
__________________________________________________________

Total population during designated time period

x 10,000 = Incident reports per 10,000 persons during the time period

Comparing the report rate over a period of time allows the team to identify

Chapter 3
trends. In most settings, it is expected that the report rate will increase over
time. Increases in report rates can be indications that victims/survivors are
aware of assistance available and that they trust the services and are
therefore willing to make reports. It is important to remember that incidents
of sexual and gender-based violence go largely unreported. For that
reason, increases in the numbers/rates of reports could be a sign of
programme success.

Chapter 4
ACTION 4:
Determine Methods for Obtaining Information on Indicators
After establishing the report mechanisms, you can begin to identify
what methods will be used to obtain information on the indicators not
captured by the report forms. When determining these methods, it is

Chapter 5
important to consider whether the indicator is qualitative or
quantitative.

Quantitative data can be obtained through surveys and

government/implementing partners’ records. Information might also
be found through statistical figures on the targeted population. It is
important to assess what sources of information are available to the

Chapter 6
multi-sectoral team from the different actors.

Qualitative data can be obtained through interviews, focus groups

and by using participatory methods during field assessments.

The views of refugee women, boys and girls should be surveyed

through the monitoring and evaluation mechanisms. This qualitative
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information is important for identifying protection gaps and
strengthening prevention and response mechanisms.

ACTION 5:
Assign Responsibilities for Information Gathering, Determine Time Frame and
Chapter 8

Frequency of Data Collection, and Allocate Resources

Assign responsibilities:

It is important to assign responsibilities for the different parts of the

monitoring and evaluation systems.

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Time frames:

A time frame for all reporting tools should be established. Time frames
should also be developed for all other monitoring and evaluation
mechanisms. The team should choose time frames that are
appropriate to the intervention or programme. Monitoring could be
done monthly, using the Sexual and Gender-Based Violence Monthly
Report Form; more comprehensive reports could be done annually.

Determine resources and budget:

Operation plans and budgets may not allocate sufficient resources for
developing and implementing monitoring and evaluation
mechanisms. Thus, it is important to determine how much staffing time
is required to keep the reporting up to date and to conduct the
analysis required. Also consider staff capacities in these areas and
whether additional training is needed to develop skills for monitoring
and evaluation (e.g. skills in data collection and analysis, field-level
implementation of monitoring and evaluation processes and
conducting participatory evaluations).
For participatory community-based evaluations, it may be necessary
to hire additional staff with the relevant expertise and to consider
requirements for ensuring community access to evaluation sessions.
These requirements could include interpreters, transportation and
childcare. Guidance on community-based evaluations can be
obtained from UNHCR’s Evaluation and Policy Unit.

ACTION 6:
Establish Mechanisms for Sharing Information and Incorporating Results into
Prevention and Response Planning
One of the purposes of the monitoring and evaluation mechanisms is to
improve performance. To achieve this objective, a consensus should
be reached on how information will be shared among and between
actors. It is also important to decide which actors are responsible for
follow-up and how the results of any monitoring or evaluation
mechanism will affect programme planning.
Information sharing strategies include:
% Regular (monthly or bi-monthly) camp/community-level meetings to
discuss results of monitoring/evaluation/reporting, assess protection
impact, review incident report data, analyse data collection results
and survey results from the community, co-ordinate activities, plan
next monitoring session, identify obstacles and solutions.
% Monthly field office/sub office/district-level meetings to discuss
monthly sexual and gender-based violence report, protection
impact of interventions, data collected during interventions, review
progress towards indicators as provided by camp/community-level
monitoring, and progress towards achieving objectives.
% Regular (perhaps quarterly) country-level meeting to review reports
from camp/community-level meetings, field office meetings, data
collected on interventions, consider evaluations, and discuss funding
issues affecting implementation.

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Each meeting will be summarised in a brief written report highlighting

Chapter 1
the major issues identified, the actions taken and the responsibilities
assigned.

Key Points to Remember

Chapter 2
Comprehensive monitoring and evaluation mechanisms:

% Enhance accountability, one of the guiding principles of

interventions to prevent and respond to sexual and gender-based
violence.

% Are part of the Framework for Action.

Chapter 3
% Are most effective when developed by all sectors, including the
refugee community, working together.

Members of the multi-sectoral team should be guided by six actions

when developing monitoring and evaluation systems:

% Determine the purposes of the monitoring and evaluation

Chapter 4
mechanisms and assess information needs.

% Ensure prevention and response interventions have clearly defined

objectives, outputs and indicators.

% Establish co-ordinated and common reporting tools.

Chapter 5
% Determine methods for obtaining information on indicators.

% Assign responsibilities for information gathering, determine time

frame and frequency of data collection and allocate resources.

% Establish mechanisms for sharing information and incorporating

results into prevention and response planning.

Chapter 6
Chapter 7
Chapter 8

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