Study on Monitoring and Evaluation Management Policy

Description
Evaluation is a systematic determination of a subject's merit, worth and significance, using criteria governed by a set of standards. It can assist an organization, program, project or any other intervention or initiative to assess any aim, realisable concept/proposal, or any alternative, to help in decision-making

World Vision International Design, Monitoring and Evaluation Management Policy

Purpose
This management policy establishes LEAP (Learning through Evaluation with Accountability and Planning) as the common Partnership standard for design, monitoring and evaluation for all programmes and projects in the World Vision Partnership. Adherence to this policy enables effective programme and project management, learning, and accountability for programme and project performance, effective decision making, and consistency of communication to donors. Compliance with this policy will be investigated as part of operations audit.

Scope
The LEAP framework has six basic components, which apply to any World Vision programme or project: Assessment, Design/re-design, Monitoring, Evaluation, Reflection, and Transition. LEAP replaces all DME standards developed and used by various Regional, National and Support Offices. For the purpose of this policy: • Standard describes expected behaviour. Within the organisation, failure to act in the expected way seriously hinders the organisation in achieving its mission. Therefore, people are held accountable for meeting standards. • Donor covers all bilateral, multilateral, foundation or private non-sponsorship funders. • Programme explicitly refers to both programme and the projects related to a programme. • Programming staff refers to partners to a programme who have responsibility to participate in design, monitoring and evaluation activities.

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This policy goes beyond LEAP’s principles, in that the standards are applied as stated to all World Vision programmes and projects. While recognising that all regions have responsibility for programme quality, if partners (including communities, donors, World Vision, governments, other organisations) have competing requirements, then the standards of the partner who has a legal precedent (as verified by WVI Legal) in the circumstance are applied. For example, if the contractual requirements of any donor (bilateral, multilateral, or private foundation) on one or more specific points are more stringent than these standards, then those specific legal requirements apply. The World Vision office that signs a contract with a donor is responsible for ensuring that all donor requirements are met in a satisfactory manner. Proir agreement is required from all partners, with full knowledge of any additional conditions that will apply, before such contracts are signed.

Principles for Programme Cycle Management
Design, monitoring and evaluation of all World Vision programmes and projects is founded upon principles of: 1. Systematic inquiry 2. Competence 3. Integrity and honesty 4. Participation, and 5. Respecting the interests of partners and the public

Standards for Programme Cycle Management
Strategy (including mission, vision, core values)
1. The programme is consistent with World Vision International’s Covenant of Partnership, the organisation’s mission, vision and core values and strategy. Programmes demonstrate integration with national strategy and linkages to regional and global strategy. 2. Programmes appropriately and contextually reflect relevant policy and international standard requirements of the integrated global ministry. Analysis as to the balance between relevant aspects of Transformational Development, Humanitarian and Emergency Affairs, and Advocacy should be apparent in all programmes. 3. Programmes reflect all other relevant policy requirements including child protection, disability, gender, sponsorship and environment. 4. Programme staff adhere to LEAP principles as they facilitate each LEAP component.

Design
5. Design documents are completed for all new programmes and projects before implementation of activities begins, and are available to all program partners. For ongoing programmes and projects a redesign should be completed at the end of the current
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implementation phase, and not later than October 2010. National Offices ensure that design documents follow LEAP design guidelines and meet the standards outlined in this policy. 6. Every programme adequately describes: • analysis of issues and opportunities identified; • what success of the programme will look like, in terms of addressing poverty (issues and opportunities), sustainability, and facilitating positive change within communities; • who will be responsible for success of the programme • what the roles of partners will be (government, community, CBOs, NGOs, World Vision); • criteria that will be used to judge programme success; • factors that can affect success and that are within programme management’s control; • how success will be achieved, citing activities and resources required; • how success will be judged: indicators of achievement for outputs, outcomes and goals; • the plan for monitoring and evaluation of those indicators. 7. The logic of a programme design must be supported by secondary data or, if none is available, then justification for proceeding with the programme is presented as part of the design. 8. Description of the sustainability of programme outcomes and goals is to be developed as part of a programme’s design. Sustainability is within the scope of programme evaluation, and a transition strategy will be developed as one of the outputs from evaluation and throughout the life of a programme. 9. Relevant partners negotiate and agree on any needed changes to design documents, and continue to do so over the life of a programme. 10. Implementation plans and budgets are in alignment with programme and project designs and submitted to funding offices according to Partnership budgeting guidelines. Plans and budgets include costs for all assessment, design, monitoring and evaluation activities. 11. Funding partners provide adequate funding for all LEAP component activities and associated staff costs throughout the life of a programme. 12. Funding partners collaborating in a project commit to life-of-project funding (up to a maximum of 5 years), based on an agreed project design and budget. Funding for assessment is based on an agreed assessment plan and for the design process is based on an agreed design plan.

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Sponsorship
13. When sponsorship projects are being established, adequate time is dedicated to prepare and educate communities about sponsorship before beginning recruitment of sponsored children. 14. Registration of children begins only after draft design documents for the programme and the sponsorship management project have been submitted to all partners. 15. Child histories are sent to Support Offices only after agreement is reached by all partners on the programme design document and sponsorship management design document. National field and funding offices agree on levels of registered children during each cycle of a programme, for the life of a programme. 16. Sponsorship-funded projects meet all requirements of Child Sponsorship Programming Guidelines and Sponsorship Standards.

Systematic inquiry
17. Programming staff (including non-WV evaluators) conduct systematic, data-based inquiries to support judgements about whether a programme will have the desired impact in meeting needs and rights of communities through outcomes and activities being developed. 18. Data and information is always explained in relation to local context. Comparisons of data are made with reliable secondary data, and with similar data collected previously in the same programme. Appropriate protocols are followed in meta-analysis of datasets from multiple programmes. 19. Quantitative data (including TDI data) is always reported with 95% confidence intervals or other appropriate measures of confidence. 20. Qualitative data (including TDI data) is always reported in conjunction with use of appropriate text, quotes, examples, scores, and visual representations. 21. Attribution of progress towards stated objectives is only made at activity and output levels of a programme, with humility and accurate acknowledgement of the community’s, the government’s, and World Vision’s roles as partners in the process. At the outcome and goal levels of a programme, contribution is the more appropriate descriptor.

Competence
22. Competent programming staff possess knowledge, abilities, skills and experience appropriate to complete design, monitoring and evaluation tasks assigned. This means that National Offices and partners need to carefully examine the issue of competence when assigning staff and in determining the number and range of sectoral interventions in a particular programme or project.

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23. The competency and capability required of staff to carry out design, monitoring and evaluation is considered during the design process and staff performance reviews.

Participation
24. Programming staff establish what work has previously been undertaken locally and by whom. What were their respective roles and responsibilities, and their relative power to make change possible in tackling poverty and injustices they face. This will allow community members to better see how World Vision might come alongside and help community partners build on strengths already apparent. 25. Programming staff (including non-WV evaluators) respect the security, dignity and self-worth of respondents, programme participants, clients, and other partners with whom they interact. 26. Design, monitoring and evaluation work adheres to relevant and appropriate principles of participatory approaches, involving programme participants whenever practical and cost effective. This includes sharing of programme documents and reports in appropriate formats. 27. Programming staff (including non-WV evaluators) respect confidentiality of personal information disclosed by respondents. 28. Partners who have made commitments to support a programme financially or with other resources participate in design, monitoring and evaluation processes. Partners provide timely feedback, using appropriate review tools: • on assessment documents within four weeks of receiving them; • on design documents within four weeks of receiving them; • on management reports within four weeks of receiving them; • on evaluation reports within four weeks of receiving them. Note that review times above are maximums, and in some programmes, such as emergency response, far more rapid turnaround is required for all documents except evaluation.

Monitoring
29. Monitoring indicators describe and measure efficiency and consistency of delivering activities and outputs. 30. Baseline values for all indicators in programme and project design documents must be established within the first year of implementation for long-term programmes and within the first three months for programmes less than 18 months in duration. Monitoring and evaluation design is finalised after the indicator baseline has been completed. 31. Programmes use standards and formats for programme reporting described in LEAP. If the donor requires standards and formats that differ from LEAP, the World Vision

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office that signed the contract with the donor prepares reports and communications as per donor requirements. Implementing offices that accept grants must accept from the outset to provide any additional information stipulated in the contract. 32. Projects provide management reports to programme and National Office management on a regular basis (as determined for adequate country management purposes). These reports include monitoring of key project indicators and project implementation according to the plan. 33. Programmes post core financial reports on the Financial Reports Database quarterly, and provide management reports to funding offices on their projects every six months, or as legally required either by the donor or national legislation (as verified by WVI Legal). These reports describe achievement of objectives against targets set in the design document, and information on expenses against budget, following guidelines of the Partnership Global Centre. Semi-annual and annual management reports are submitted within one month after the close of the half-year or year. Given that some offices don’t close their financial books until two weeks after the end of the financial year, this means that annual budget reports should be submitted within six weeks of the end of the financial year.

Evaluations and value-added information
34. Project evaluations are conducted at the close of projects, or as specified by the donor, and focus on project objectives. When a programme evaluation is conducted, examination of progress towards all project objectives in the programme design should be included in the evaluation. 35. Programme evaluation is conducted no later than five years after the start of a programme, and at the end of each phase or cycle of programming thereafter. 36. Transformational Development Indicator (TDI) measurements inform end-of-cycle programme evaluations. All area development programmes measure TDIs at the beginning of the programme’s implementation and before an end-of-management-cycle programme evaluation. 37. A TDI programme report is submitted within three months of completing the measurements. TDI reports are used only to communicate changes in quality of life of programme-area partners as defined by the indicators. These changes cannot be attributed solely to World Vision. Programme evaluation is used to determine and communicate World Vision’s contribution to changes in quality of life for programmearea partners. 38. Evaluators make findings available to programme partners. Findings are available to other partners within World Vision, so that other programmes can benefit from the information. Guidelines are established regarding sharing of evaluation findings outside World Vision. Evaluation findings are available within three months of completion of data collection, for the purpose of analysis and reaching consensus. The evalu-

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ation process is not completed until partners have reached consensus on a report. Evaluation reports are finalised within four months of completing data collection. 39. Data collected for monitoring and evaluation, and the methods used to collect it, are documented. Documentation is kept accessible for a minimum of five years. This allows rigorous review of the trustworthiness of the data, and allows external evaluators to make good use of monitoring data in an evaluation. 40. Implementation of recommendations in monitoring and evaluation reports is documented.

Changes in these standards
41. Proposed changes to these standards are prepared for review by the LEAP Strategy and Working Group. Proposed changes shall be sent to national entities and others as appropriate for feedback. Feedback will be reviewed by the LEAP Strategy and Working Group, and final recommendation for changes made to the Ministry Advisory Group for approval.

National entity standards
42. Each national entity will write descriptions of evidence for each of these standards, showing that the standard has been met in their context. Any standards added to this group of standards must not be in conflict with an existing standard in this group. The document stating descriptions of evidence for each of these standards, and any additional standards, will be viewed as that national entity’s standards for programme monitoring and evaluation work. 43. National entities are encouraged to check compliance with their monitoring and evaluation standards on a regular basis in their own internal audits. Appropriateness of monitoring and evaluation standards adopted by a national entity, and compliance with those standards, may be tested in a World Vision internal audit. 44. The national entity shall seek to make adequate resources available to comply with these standards by including adequate resources in appropriate budget requests. The national entity shall use resources allocated to it for monitoring and evaluation wisely. 45. The national entity shall adopt a set of guidelines for applying their monitoring and evaluation standards to different types of programmes. Guidelines may include topics on terms of reference for an evaluation, topics that should be included in an evaluation plan, who should be included in an evaluation team, how often values of indicators should be reported, qualifications for an external evaluator, suggestions for building capacity of programme participants and beneficiaries to do evaluation work, procedures for verifying trustworthiness of information collected in an evaluation, procedures for following through on implementation of evaluation recommendations or implementation of adjustments indicated by monitoring results, and so forth.

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46. National entities shall adopt and enforce policy to protect evaluators from negative consequences after reporting programme flaws based on sound evidence.

Integrity and honesty
47. All people involved with programme management ensure the honesty and integrity of the entire management process. They shall negotiate honestly and thoroughly with partners, regarding tasks, limitations, scope, costs, and uses of products. They shall keep partners informed of all changes in agreed-upon plans. 48. All participants must determine and disclose their own interests and those of other partners, in the conduct and outcomes of programme management. People involved with programme management do not misrepresent procedures, data or findings. They shall seek feedback on the accuracy of data and findings from partners. They correct or refute substantial misuses of design, monitoring and evaluation work by other people, respecting the interests of partners and the public. 49. Programming staff (including non-WV evaluators) articulate and take into account diversity of interests and values, considering broad assumptions, implications, and potential side effects of whatever is being evaluated. 50. Programme managers allow all relevant partners to access evaluative information. They maintain a balance in meeting different evaluation needs of partner groups, and negotiate conflicts among them. They serve the public interest by considering the society as a whole in planning and implementing an evaluation, not just partner interests.

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