OEC 623

PLANNING FOR MONITORING AND

E VA LU AT I O N S Y S T E M
 Background to planning

A plan is effectively a route map from the present to

the future
To plan a suitable route you must know where your
are (situational analysis) and where you want to
go( establish goals and identify outcomes)
Planning can be viewed as an approach to problem
solving.
 It provides a systematic way of viewing problems
and developing short- and long-term solutions.
It can also be viewed as a decision-making process
used to help guide decisions concerning future
needs.
 Types of planning

Long term plan- Long term period

Tactical/strategic plan- Medium term period
Operational plan-One year plan
 Process of Planning

Stage 1: Identify problems and needs


Stage 2: Develop goals and objectives

Stage 3: Develop alternative strategies

Stage 4: Select strategies and develop a
detailed plan

Stage 5: Design a monitoring and evaluation
plan
 PLANNING AND M&E

 Monitoring and Evaluation (M&E) are

heavily dependent on good planning.

 If plans are properly developed at the start of

a project or programme then M&E becomes
much easier exercises to plan and implement.

 Before implementing a project or programme

there will normally be a planning process.
 PLANNING AND M&E CONT’D

 This planning process should be based on a

thorough understanding of what the project
or programme is setting out to accomplish.

 Wherever possible it is important that M&E

is considered at the planning stage, and not
left to be discussed until after plans have
begun to be implemented.
 PLANNING AND M&E CONT’D

 it is generally acknowledged amongst the

M&E community that where M&E efforts fail
it can usually be traced back to weaknesses
in the planning process.

Important to note that that planning,

monitoring and evaluation (PME) are closely
linked and should not be viewed in isolation
 PME LINK

 A plan shows what needs monitoring.

Monitoring revises plans during a project.

 Monitoring information is used in evaluation.

Evaluation highlights areas needing close
monitoring

 An evaluation makes recommendations for

future planning. Plans show what to evaluate.
 Monitoring and Evaluation(M&E)

• M&E facilitates measuring performance and

provides evidence for informed decision making.
• Monitoring (Routine)
• Tracking changes in project/program/ policy performance over time
• The process of routinely collecting, analysing and using data on the
inputs, activities, outputs and short-term outcomes of a programme
and stakeholders.
• Provide management and stakeholders with indications of the extent
of progress and achievement of objectives & progress in the use of
allocated funds
• Gives information on where a policy, program, or project is at any
given time (and overtime) relative to respective targets and outcomes.
 Monitoring and Evaluation(M&E) Cont’d

• Evaluation(episodic)
• The systematic and objective assessment of an ongoing or
completed project, program, or policy, including its design,
implementation, and results.
• Aim: Determine the relevance and fulfillment of objectives,
development efficiency, effectiveness, impact, and sustainability.
• Provide information that is credible and useful, enabling the
incorporation of lessons learned into the decision making
process
• Evidence of why targets and outcomes are or are not being
achieved.
 Comparison Between M&E
Item Monitoring
11
Evaluation
Frequency Regular, ongoing Episodic
Main action Keeping track/oversight Assessment
Basic Improving efficiency Improve effectiveness,
purpose Adjusting work plan impact, future
programming
Focus Inputs/outputs, process Effectiveness, relevance,
outcomes, work plans efficiency, impact,
sustainability
Information Routine systems, field Same plus
sources visits, stakeholder Surveys (pre-post project)
meetings, output reports, Special studies
rapid assessments
Undertaken Project/program managers External evaluators
by Community workers Community (beneficiaries)
Supervisors Project/program managers
Community (beneficiaries) Supervisors
Funders Funders
Adapted from UNICEF,Other Stakeholders
A UNICEF Guide for Monitoring and Evaluation: Making a Difference?
New York, 1991, p.3
 Relationship between M&E

M& E are two different management tools

that are closely related, interactive and
mutually supportive
Through routine tracking of project progress,
monitoring can provide quantitative and
qualitative data useful for designing and
implementing project evaluation exercises
Through the results of periodic evaluations,
monitoring tools and strategies can be
refined and further developed
 Commonalities of M&E

Both monitoring and evaluation must be

planned at the program/ project level
Baseline data and appropriate indicators of
performance and results must be established
 What is M&E Plan?
An M&E plan is a 14
comprehensive narrative
document on all M&E activities in M&E system.
It is a narrative document that describes, in a
narrative format, the indicators of the M&E
system, the way the M&E system will function,
and other features of the M&E system.
M&E plan is a living document and needs to
be adjusted when a project is modified.

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M&E Plan: Functions
 States how program will measure
achievements
 Accountability
 Documents consensus
 Transparency
 Responsibility

 Guides M&E implementation

 Standardization
 Coordination
 Preserves institutional memory
An M&E plan is a living document that
needs
to be adjusted when a program is
modified
M&E plan provides answers to the following
questions: 16
1. What does the intervention want to change and how?
2. What are the objectives to achieve this change?
3. What are the indicators and how will they measure this?
4. How, how often, and from where will the indicator data
be collected?
5. How will the collected data be analyzed?
6. How or how often reports on the indicators will be
developed and distributed?
7. What is the human capacity for M&E system?
8. When will the M&E activities be implemented?
9. What is the budget for M&E system?
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 Translating Program Goals and Objectives  M&E
Frameworks

Translate problem statement, program goal and

objectives into frameworks that can be objectively
measured
 What do we want to know at the end of the program?
 What do we expect to change by the end of the program?

M&E framework outlines the scope of the M&E plan

 Links program activities to expected outputs, outcomes, and

population-level impacts
 Informs types of information to be collected/used by different

levels of the health system

 Identifies what needs to be measured to guide indicator

selection
 The monitoring plan

The plan is a managerial tool that specifies the schedule,

resources, responsibilities, for your M&E activities (data
collection, data quality control, reporting, dissemination
and use of data)
 Describes the process, methods and tools that will be used
to collect, compile, report and use data and provide
feedback.
 The plan specifies the type of monitoring, monitoring
reports, roles and responsibilities, work plans.
 Creates greater accountability in the use of resources
 Focuses on achievements of results
 Basis for decision making
 Promotes institutional learning and knowledge sharing
 Factors to consider when planning for M&E

WHY- Purpose of M&E

WHAT-The main objectives of M&E and the
questions to be addressed
HOW- Data sources and collection methods
WHO- Who will undertake M&E ( Technical
capacity required and types of monitoring)
WHEN- Timing
RESOURCES- Budget
Key Steps in Developing & Implementing
an M&E Plan
20

1. Stakeholder consultation and participation

- Define process for stakeholder involvement
2. Translate problem statement, program goals and
objectives into M&E frameworks
 Establish scope of the M&E plan
3. Develop M&E Framework
 Determine elements to be monitored and evaluated
4. Define indicators and identify data sources
5. Determine M&E methods for data and information
collection
 Develop data collection plan
 Determine M&E responsibilities
 Set targets
6. Define reporting system, utilization and dissemination
of results
7. Plan for mid-course adjustments
DRAFT
 Stakeholder Consultation
21

Advocate for the need for M&E

Understand program goals and objectives
Identify user needs and perspectives
Learn about existing data collection systems
& their quality
Understand indicators that are being
collected and used (or not used)
Determine capacity for collecting and using
data

DRAFT
 Stakeholder Participation
22

Developing M&E framework

Selecting indicators
Setting targets
Reviewing results

► Requires building consensus & commitment

and maintaining effective relationships with
intended users

DRAFT
 Elements to be Monitored
23

Monitoring:
 Resources (inputs)
 Process monitoring (Activities)
 Output
 Immediate Outcomes

DRAFT
Defining Indicators & Identifying Data Sources
24

Indicators must be:

SMART
Linked to M&E framework
Useful for program decision-making
Consistent with international standards & other
reporting requirements (as appropriate)
Realistic to collect (feasible)

Data sources:
Existing vs. new

DRAFT
 Indicator Reference Sheets

Detailed Indicator Reference sheets showing the

following:
– Name of indicator
– Description/definition
– Unit of measurement
– Data source (primary/secondary)
– Baseline/target value(s) by year(s)
– Frequency of data collection
– Responsibility
Indicator Definition:
26
– Each indicator needs a detailed definition of its
key terms, including an explanation of specific
aspects that will be measured (such as who,
what, and where the indicator applies).
– The definition should explain precisely how the
indicator will be calculated, such as the
numerator and denominator of a percent
measure.
– This column should also note if the indicator is to
be disaggregated by sex, age, ethnicity, or some
other variable.
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Methods/Sources:
27

– This identifies sources of information and data

collection methods or tools, such as use of secondary
data, regular monitoring or periodic evaluation, baseline
or endline surveys, PRA, and focus group discussions.
– It should also indicate whether data collection tools
(questionnaires, checklists) are pre-existing or will need
to be developed.
– Note that the logframe 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.
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Frequency/Schedules:
28

– This states how often the data for each

indicator will be collected, such as monthly,
quarterly, or annually.
– It is often useful to list the data collection timing
or schedule, such as start-up and end dates for
collection or deadlines for tool development.
– When planning for data collection timing, it is
important to consider factors such as seasonal
variations, school schedules, holidays, and
religious observances
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Person(s) Responsible:
29

– This involves listing the people responsible and

accountable for the data collection and
analysis, i.e., community volunteers, field staff,
project managers, local partner/s, and external
consultants.
– In addition to specific people’s names, use the
position title to ensure clarity in case of
personnel changes.
– This column is useful in assessing and
planning for capacity building for the M&E
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Data Analysis:
30
– This column describes the process for compiling and
analyzing the data to gauge whether the indicator has
been met or not.

 Information Use:
– This column identifies the intended audience and use of
the information. For example, the findings could be used
for monitoring project implementation, evaluating the
interventions, planning future project work, or reporting to
policy makers or donors.
– This column should also state ways that the findings will
be formatted (e.g., tables, graphs, maps, histograms, and
narrative reports) and disseminated (e.g., Internet Web
sites, briefings, community meetings, and mass media).
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 Determining M&E Methodology
31
Assess information systems capabilities to address
strategic information needs

Determine methods by which data will be

collected, analyzed and reported

Determine whether any special studies will be

conducted and what design will be used
 E.g., Qualitative, quantitative or combination of both

DRAFT
 Assigning M&E Responsibilities:
Implementing the M&E Plan
32

Monitoring data
 Who will collect data?
 Who will analyze data?
 Who will report data?
Special studies
 Who will oversee data collection?
 Who will conduct analysis and reporting?
 Is anyone else planning a similar evaluation?

DRAFT
Data Collection Plan/Matrix
33

Indicators
Who responsible
Timing
Data quality notes

DRAFT
 Indicator Matrix
Indicato Data Data Who will
34 Frequen Who will Who
Indicat r source collection collect cy of analyze and will use
or Definitio method data data report data data
n collectio
n
1.

2.

3.

Some organisations use the term M&E plan interchangeably with indicator matrix and
data collection plan. For clarity, this module adopts the broader usage of an M&E plan
as a key planning document for coherence and continuity within an intervention M&E
system.
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 Data collection and
35
analysis plan
Effective monitoring and evaluation require that there be clear
and comprehensive systems in place for data collection and
analysis
The data collection and analysis plan expands on the
information provided in the indicator system (indicator matrix)
by describing in detail how data and information will be
defined, collected, organized, and analysed.
Typically, this plan consists of a detailed narrative that
explains how each type of data will be collected along with all
the steps needed to ensure quality data.
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 Key components of Data Collection and Analysis
36
Key components of this plan include:
– timing and mode of data collection for each indicator;
– the unit of analysis;
– the link between indicators, variables and questionnaires;
– the sampling frame and methodology;
– research staff responsibilities;
– enumerator selection, training, and supervision;
– checks for data quality;
– data entry and storage (database); and
– data analysis methods.

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 Methods of data collection
37
Major sources of data and information for project monitoring and
evaluation include:
 Sample surveys.
– 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 methods.

 Qualitative studies.
– Qualitative methods that are widely used in project design
and assessment are: participatory appraisal,, key informant
interviews, focus group discussions, and observation.

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 Methods of data Cont…
38
 Participatory assessments.
– The use of beneficiaries in project review or evaluation can be
empowering, building local ownership, capacity, and project
sustainability.
– However, such assessments can be biased by local politics or
dominated by the more powerful voices in the community.
– Also, training and managing local beneficiaries can take time,
money, and expertise, and it necessitates buy-in from
stakeholders.
– Nevertheless, participatory assessments may be worthwhile as
people are likely to accept, internalize, and act upon findings and
recommendations that they identify themselves.
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 Considerations in Planning for Data Collection
39
 Prepare data collection guidelines. This helps to ensure standardization, consistency,
and reliability over time and among different people in the data collection process. Double-check
that all the data required for indicators are being captured through at least one data source.
 Pretest data collection tools. Pretesting helps to detect problematic questions or
techniques, verify collection time, identify potential ethical issues, and build the competence of
data collectors.
 Train data collectors. Provide an overview of the data collection system, data collection
techniques, tools, ethics, and culturally appropriate interpersonal communication skills. Give
trainees practical experience collecting data.
 Address ethical concerns. Identify and respond to any concerns expressed by the target
population. Ensure that the necessary permission or authorization has been obtained from local
authorities, that local customs and attire are respected, and that confidentiality and voluntary
participation are maintained.
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 Data Analysis Plan
40
A data analysis plan should identify:
When data analysis will occur.
– It is not an isolated event at the end of data collection, but
an ongoing task from project start.
– Data analysis can be structured through meetings and
other forums to coincide with key project implementation
and reporting benchmarks.
Who will do the analysis, i.e., external experts, project
staff, beneficiaries, and/or other stakeholders.

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Important 41
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 not carefully planned, data can be lost or
incorrectly recorded, which compromises not only data quality
and reliability, but also subsequent data analysis and use.
Poorly managed data waste time and resources.

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 Data quality assurance

Validity: Measuring what is intended

• Reliability: Data collected using the same
methodology gives the same result
• Timeliness: Up-to-date data available when
needed
• Precision: Ability to minimize error (due to
data
collection instruments)
• Integrity: Data free of willful or unconscious
errors due to manipulation (human or machine
Validity: Valid data are 43the ones which measure
what they intended to measure
Guiding questions:
– Do the data being collected and reported match the intent
of what we want to measure?
– Are the data collection procedures and/or sources
relatively free of bias?
– Are the people collecting the data qualified and/or
adequately experienced?
– Are the people collecting the data properly supervised?
– Are the people collecting the data adequately motivated?

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Reliability 44

 The data generated is based on procedures that do

not change according to who is using the data and
when or how often it is used.
 The data are reliable because they are measured and
collected consistently.
Guiding questions:
– Are the definitions and procedures for data collection, calculation and
reporting clear and well understood by all relevant staff?
– Is a consistent data collection process used from time to time?
– Are there procedures in place for periodic review of data collection,
maintenance, and processing that can detect data quality issues?
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Timeliness
45
 Timeliness consists of three elements:
– frequency (how often data are collected);
– currency (how recently data have been collected); and
– accessibility (data availability to support management decisions)
 If the data are not available to decision makers when they need it, the
information becomes historical data.

Guiding questions:
– Are the data for a particular indicator reported to a particular user
by the method (ex. Quarterly Performance Data Table) and
frequency required?
– Is this format and schedule for reporting appropriate for activity
management? If no, describe how it should be changed
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Precision 46
This means that the data has sufficient detail.
For example, an indicator requires the number of students
trained and graduated, by sex of the student. An information
system lacks precision if it is not designed to record the sex
of the student who received training and graduated.
Guiding questions:
– Is there a method for detecting duplicate data? If yes,
please describe.
– Is there a method for detecting missing data? If yes,
please describe.
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Integrity. This is when data47 generated is protected from
deliberate bias or manipulation for political or personal reasons.
Guiding questions:
– Are there proper safeguards in place to prevent
unauthorized changes to the data?
– Are there procedures in place to ensure unbiased
analysis of data and subsequent reporting?
– Are there safeguards in place to ensure that all relevant
tools, tracking sheets and data are backed up and
protected from data loss?

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 Data Quality
48

 How well the information collected represents the project

activities
 Refers to the worth/accuracy of the information collected
 Data that reflects true performance
 Focuses on ensuring that data management process is of a
high standard

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 Data management and safeguards

Strategies to safeguard beneficiary confidentiality

• Systems to store/maintain original data files/project
records
• Database management (backup)
• Database entry procedures
• Data management protocol
 Planning for EVALUATION

Why are you evaluating- need to assess if the

desired results have been achieved.
Concentrates mainly on outcomes and
impact levels.
Define purpose and scope of evaluation.
Each evaluation should have a primary
purpose around which it can be designed and
planned.
 Developing and evaluation Plan

Clarify program objectives and goals

Develop evaluation questions
Develop evaluation methods
Set up a timeline for evaluation activities
 Planning for EVALUATION Cont’d

 Why is the evaluation being done? What do you want to learn?

 Evaluation questions
 Relevance- Are we doing the right thing in the right way at the right
time
 Effectiveness-To what extent has the intervention achieved its
objectives
 Efficiency- Were the results delivered in the least costly manner
possible
 Impact- Measures both intended and unintended changes
 Sustainability- Whether the intervention will manage
 Decide on the evaluation design.(types of evaluation)
 Is it mid term end of term or impact evaluation
 Methodology
 Sampling methods, measurement tools and data collection
procedures
Reporting results
Timeline
Developing the TOR
Basic components of a TOR
Budget for evaluation
 Communication Strategy

An important (and often overlooked) component

of M&E plans is how to disseminate and use the
information obtained by the M&E system
Careful thought needs to be given to
disseminating and using M&E information
including:
• What information should be distributed?

• Who needs what information?

• Why do they want this information?

• How much information they want to know?

• How does the information get distributed?

Need for Advocacy and Communication strategy for M&E
Effective advocacy and communication for M&E are critically important for
55
the following reasons:
1. Help to overcome misconceptions and knowledge gaps: Advocacy
and communications are effective tools to overcome any
misconceptions or lack of information about M&E among stakeholders
who may have very little understanding of the subject.

2. Help to mainstream monitoring and evaluation as one of the

organization’s main functions: This helps to establish a positive
culture of M&E within the organization.

3. Help to convince and encourage organizations and individuals to

carry out their M&E functions. On an organizational and personal
level, strategic communication can play a large role in making
individuals more positive about M&E, as well as their participation in
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 The Uses of Monitoring and Evaluation Findings
56
Reporting project achievements and evaluation findings serves
many important functions, namely to:
 Advance learning among project staff as well as the larger
development community
 To demonstrate accountability
 Improve the quality of the services provided
 Inform stakeholders on the project benefits and engage them
in work that furthers project goals
 To gain support—demonstrating results to help gain support
among stakeholders
 Inform donors, policy makers and technical specialists of
effective interventions (and those that did not work as hoped)
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 Considerations in Information Reporting and
Utilisation Planning
57
Practical considerations in information reporting and utilization planning include:
 Design the M&E communication plan around the information needs of the
users.
 Identify the frequency of data reporting needs. For example, project managers may
want to review M&E data frequently to assess project progress and make decisions,
whereas donors may need data only once or twice a year to ensure accountability.
 Tailor reporting formats to the intended audience. Reporting may 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.
 Identify appropriate outlets and media channels for communicating M&E data.
Consider both internal reporting, such as regular project reports to management and
progress reports to donors, as well as external reporting, such as public forums, news
releases, briefings, and Internet Web sites.
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 M&E budgeting

Financial and human resources are

required to accomplish the M&E
activitities
Budget must be aligned with activities in
M&E plan
 Costs: for each aspect of data gathering
and use, from materials to transport and
telecommunications
M&E human capacity requirements
Rule of thumb- 10 % of the total project
cost
 M&E Budget
59
• It is a written plan predicting the expenses for
implementing the M&E operations during a specified
period

• used to allocate and authorise the financial resources

necessary to complete all M&E activities for the
intervention

• may contain information on the sources of funding

• serves as a baseline for managing the M&E resources,

such as for resources planning, allocation, accounting
and auditing
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How much will it cost60 to implement an M&E
plan?
Need to budget costs of:

– Information systems (data collection,

processing, and analysing)
– Information dissemination and use

– Data quality control system

– Coordination and capacity building, etc.

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Example of some questions that could guide the budget preparation
61
1. What are the human and material costs to consider in the budget? E.g.:
– Staff time – travel and sitting allowances, facilitation costs, over-time, etc.
– Training events – venue, travel, accommodation, materials, per diems,
course fees, etc.
– Office equipment – computer and accessories (hardware and software),
etc.
– Documentation – printing and distribution, display boards, services, etc.
– Technical assistance – fees paid to consultants for: developing the M&E
plan, establishing management information systems, evaluations, report
writing and data analysis, editorial assistants, etc.
– M&E Plan – plan preparation, review workshops, training, etc.
– Logistics and Supplies - office supplies, stationery, display boards, cost of
printing documents and their distribution, etc.
– Communications - telephone, fax, e-mail, internet, media, network
maintenance, etc.
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 Preparing cost estimates
62 for M&E activities
Step 1 Identify the personnel requirements in person days,
and calculate actual personnel costs to implement
the M&E activity.

Step 2 Identify the cost for material and equipment that

these people need to implement the M&E actions.

Step 3 Identify the operational costs.

Step 4 Record the identified costs in the organization’s

specific budget format.

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 M&E WORK PLAN

What is M&E work plan?

M&E work plan is an action plan, listing all activities that are necessary to implement
the M&E plan over a defined period.

Specifically, M&E work plan shows:

• the M&E activities to be performed
• when the M&E activities will be implemented (time frame)
• who will implement the M&E activities (personnel); and
• the total cost estimate to implement an M&E activity (if a costed M&E work plan
is required)

A costed M&E work plan indicates all the M&E activities required for implementing an
M&E plan together with their corresponding costs
 Difference between M&E work plan and M&E plan

The M&E plan is a narrative document that

describes, in detail, how the M&E system will
operate.
The M&E work plan, on the other hand, is an action
plan (with activities, responsibilities, time frames,
and costs for each of the 12 components).
An M&E work plan is in most cases an annex to an
M&E plan.
 DEVELOPING WORK PLANS

 Step 1

 Identify the planned M&E activities from the M&E operations plan
 Step 2
 Determine the logical sequence of activities and their time frame over a
specified period.
 Step 3
 Review the responsibilities and estimate personnel requirements for
implementing the M&E activities.
 Step 4
 Calculate all resources required to implement the M&E activity; develop
cost estimate/budget for the M&E activity
 Step 5
 Prepare a final costed M&E work plan by recording the information in an
M&E work plan format.
 DEVELOPING WORK PLANS

• Work plans should cover all activities necessary to

implement the M&E plans

• M&E work planning is a prerequisite to developing a

realistic overall M&E budget

• It helps to develop cost estimates for the identified

M&E activities

• by aggregating the cost estimates for individual M&E

activities the total M&E budget can be calculated
 M&E work plan format
67
Timeframe Personnel required for
M&E Activity implementation

Q1 Q2 Q3 Q4

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