Building Monitoring and Evaluation Systems in Civil ... MER for Civil Society Advocacy...CHAPTER 10 Reporting 10-1 Reporting to your internal and external audiences 10-1 Identifying

Building Monitoring and Evaluation Systems in Civil Society Advocacy Organizations.

Authors:

Lynn McCoy | Hannah Kamau | Jacqueline Ndirangu | Victoria Ayer

Design and Layout:

Ngele Waweru Ali

Pact Inc.

Washington, DC

Photos: Michaela Hackner

Module 1 of the Monitoring Evaluation and Learning Series PublicationsSecond Edition, March 2008

“This publication is made possible by the generous support of the American people through the United States Agency for International Development (USAID). The contents are the responsibility of the authors and do not necessarily reflect the views of USAID or the United States Government.”

Building Monitoring andEvaluation Systems in Civil Society

Advocacy Organizations.

Module 1 of the Monitoring Evaluation and Learning Series PublicationsSecond Edition, March 2008

Authors:Lynn McCoy | Hannah Kamau | Jacqueline Ndirangu | Victoria Ayer

Design and Layout: Ngele Waweru Ali

Pact Inc.Washington, DC

Pact1200 18th Street, NW, Suite 350

Washington, DC 20036Second Edition, March 2008

© 2007 by PactAll rights reserved. First edition 2007

Pact is committed to sharing high-quality learning tools and materials with development practitioners throughout the world. Pact demonstrates this commitment by publishing and disseminating books, papers, CD-ROMs

and other knowledge resources that represent the best intellectual capital of Pact and its trusted partners.

CHAPTER 1 Principles 1-1 Activity #1 Worksheet: Describing Why MER is Useful 1-5CHAPTER 2 Essential elements in developing a successful MER program and connecting to the project cycle 2-1 Activity #2a Worksheet: MER audience information needs analysis 2-7 Activity # 2b Worksheet: Stakeholder Analysis 2-8 CHAPTER 3 Results based MER 3-1 Activity # 3a Worksheet: Refining results statements and frameworks 3-31 Activity # 3b Worksheet: Building your own framework 3-32 Activity # 3c What are the assumptions behind your programs 3-33 Additional ideas: Information to further assist your organization develop a conceptual model 3-15 CHAPTER 4 Implementation plan 4-1 Activity #4a Worksheet: What’s wrong with this implementation plan? 4-5 Activity #4b Worksheet: Developing an implementation plan? 4-7 CHAPTER 5 Introduction to Indicators 5-1 Activity #5 Worksheet: Identifying indicators across level of results 5-9 Activity #6 Worksheet: Indicator Assessment 5-10 Activity #7 Worksheet: Developing an indicator protocol 5-13 Special Section: The USG F process indicators and your grant program indicators 5-15CHAPTER 6 Monitoring good governance and civil society advocacy 6-1 Key D&G International and regional Indices 6-7 Public Expenditure survey : Monitoring checklist 6-17 The organizational clout questionnaire 6-21 Constituency legitimacy questionnaire 6-24 Coalition/Networks effectiveness questionnaire 6-26CHAPTER 7 Data Quality 7-1 What is data quality 7-7 Getting Started with developing systems to address data quality 7-3 Improving data quality along the data management chain 7-4CHAPTER 8 Other Monitoring Tools 8-1 Activity based budget: Quarterly comparison of planned vs actual 8-4CHAPTER 9 Evaluation 9-1 What is evaluation and why is it important 9-1 Types and purposes of evaluation 9-2 Developing a Learning Agenda and evaluation schedule 9-6 Activity #8 Worksheet: Grant evaluation procedures 9-7 CHAPTER 10 Reporting 10-1 Reporting to your internal and external audiences 10-1 Identifying the audience and the appropriate communication tool 10-2 Activity #9 Worksheet: Identification of reporting tools and schedules 10-5 General guidelines on writing success stories 10-6CHAPTER 11 MER Review 11-1 Components of the MER procedures manual 11-1Sources and Recommended Resources i-ii

Table of Contents

APRM AFRICA PEER REVIEW MECHANISM

CBO COMMUNITY BASED ORGANIZATION

CEO CHIEF EXECUTIVE OFFICER

CIRI CINGRANELLI-RICHARDS HUMAN RIGHTS DATASET

CS/CA CIVIL SOCIETY/CIVIL AUTHORITY

CSO CIVIL SOCIETY ORGANIZATION

EPI ENVIRONMENTAL PERFORMANCE INDEX

MER MONITORING, EVALUATION AND REPORTING

MIS MANAGEMENT INFORMATION SYSTEMS

NGO NON GOVERNMENTAL ORGANIZATION

PETS PUBLIC EXPENDITURE TRACKING STUDY/SURVEY

PMP PERFORMANCE MONITORING PLAN

TI TRANSPARENCY INTERNATIONAL

UNDP UNITED NATIONS DEVELOPMENT PROGRAM

USAID UNITED STATES AGENCY FOR INTERNATIONAL DEVELOPMENT

USG UNITED STATES GOVERNMENT

VAT VALUE ADDED TAX

Abbreviations

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Inthischapter,readerswilllearn:

• Toidentifythebenefitsandpurposesoftrackingperformance, measuringresults,andreportingtheprogressofanorganization

• Todefinethetermsmonitoring,evaluation,andreporting(MER), aswellasotherkeytermsoftenusedinthediscussionofMERsystems

Inthischapter,readerswillworkonthefollowingtasksinbuilding

theirMERsystems:

• Identifythereasonsmonitoring,evaluation,andreportingisbeneficial totheirorganizations.

1) IntroductIon

CSOs and managers working in the Advocacy sector are often aware that in order to be effective they need solid information on a regular basis regarding how well their organizations are doing in promoting policy change and better governance; but in reality, however, they often base most of their critical decisions on personal and staff judgment, anecdotal data, or haphazardly collected field information.

While most advocacy professionals will tell you that a civil society organization’s ability to promote democracy and governance change largely depends on its ability to root its work in the community, develop links with its constituency, and create clout, (which in turn allow the CSO to influence the policymaking and governance monitoring processes) few advocacy organizations actually monitor or evaluate their programs to see if these funda-mental milestones are being achieved, or once an advocacy campaign has been won or lost few CSOs take the time to analyze / evaluate why this occurred to improve their efforts on the next topic they choose to address.

Managers commonly state that they tend to place less emphasis on monitoring and evaluation because they perceive measuring performance as complex and time-intensive, and they do not see a benefit to the investment. Many organizations and their manage-ment consider monitoring and evaluation to be a requirement of the funding agencies that support them, an external rather than internal necessity. Few managers report that they consider monitoring, evaluation and reporting to be a strategic system that they can adapt to assess their organizational capacity, determine a coalition’s effectiveness, judge their own advocacy skill, or help them predict the outcome of their advocacy efforts.

This book seeks to overcome some of these objections by addressing the principles of monitoring, evaluation, and reporting and analyzing the benefits and purposes of MER and learning systems.

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2) the Importance of monItorIng, evaluatIng, and reportIng

Civil Society Organizations (CSOs) exist in large part because they believe that change to the administrative, governance, social, health, economic or ecological conditions of an area will occur as a result of natural and human factors. The CSOs believe that if they intervene with initiatives, campaigns and programs, change will be promoted in a positive manner. A monitoring, evaluation and reporting (MER) system is simply a tool that organizations and managers use to see if they are achieving change.

MERisakeytoolforinstitutionswhoviewthemselvesas“AgentsofChange”Organizations often describe the ultimate change they would like to see when they define their vision statement and identify how their organization will bring about that change by defining a mission statement.

EXAMPLE

Vision: Ajustandequitablesociety

Mission: Empowerthepublictopromote,reinforce,andsafeguardwomen’sand

children’srights

MER is a key tool for institutions who are interested in program efficiencyAfter developing vision and mission statements, organizations then lay out a realistic plan for influencing change by identifying implementation strategies, specific program objectives, and key activities.

Monitoring the degree to which results/objectives have been achieved helps an organization evaluate its effectiveness in promoting the changes they wanted to bring about.

The strategies, objectives and activities are based on the perceived skills and strengths of an organization, on the anticipated availability (current or future) of resources, and on certain time frames. Monitoring how productively inputs such as money, time, equipment, personnel, etc were used in the creation of outputs (products, outcomes, results) helps an organization achieve its objectives with the wisest expenditures of resources, and in short, tells an organization how efficiently they produce change.

EXAMPLE

Vision: Ajustandequitablesociety

Mission: Empowerthepublictopromote,reinforce,andsafeguardhumanrightsandgoodgovernance

Strategy: Createlegalandhumanrightsawarenessamongthepublicandunder-privilegedsectionsofsociety.

Objective: ByJuly2008,conductanadvocacycampaignontherightsofthegirlchild.

Keyactivities: Researchbestpractices.Developresourcemanualonbestpractices.Trainserviceproviders.

Why MER isImportant:Reason 2

MERprovidesorganizationswith

atooltomonitorhowefficientlytheorganization

promoteschange.


MERprovidesorganizationswithatooltoevaluatehoweffectivelythe

organizationpromoteschange.

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MERisakeytoolforinstitutionswhoareinterestedinbuildingstakeholdersupportfortheirprogramsOnce an organization identifies what it wants to change and how it plans to go about changing it, the organization may seek partners or develop coalitions— incorporating, other NGOs, community-based organizations (CBOs), and donors, such as the United States Agency for International Development (USAID), World Bank, and the United Nations Development Programme (UNDP)—with similar goals to implement and fund specific programs. These partners and donors are all in-terested in promoting change but have different ways of working and different ways of accessing money and resources. An organization has to interest partners and donors in joining a cause; when they do join, the organization has to provide them with information about its programs in a manner that supports their particular method of operation. When your organization does this successfully, stakeholder support is fostered

TheInformationCircleHere is an example of how the information collected about a program fosters donor support: 1. A donor (for instance, USAID) wants to promote a change: CSOs more effectively demand and monitor good governance and provide critical services to their constituents. �. They provide (through Pact) a grant to a local NGO that has a similar goal. �. The NGO reports to Pact on how efficient and effective it has been in promoting a certain change. 4. Pact condenses this information and reports to USAID. 5. USAID condenses this information and sends it to key stakeholders. 6. The stakeholders read the information, measure the results, and possibly clear support for more programs relating to CSO strengthening and good governance.

MERisakeytoolforinstitutionswhoareinterestedintrackingprogressoftheireffortsandcampaignsOnce an organization is in the process of implementing a particular project, managers want to know how things are progressing. Managers recognize that the organization is responsible for and will be held accountable for the completion of certain tasks. To ensure the completion of tasks, they need to be able to compare what was planned to what is actually going on in the field.

MERisakeytoolforinstitutionswhoareinterestedinevaluatingtheircoalitionsandadvocacyeffortsAt key stages in the life of an organization or program, it is important to step back and ask: What have we learned? What are our lessons? What have been our successes and what have been our failures? This type of analysis allows organizations to better their systems and implementation practices and encourages institutional memory. Armed with this type of data, managers can ensure that successful program elements are replicated and mistakes are minimized. Organizations prosper when they capture new knowledge and support learning.


MERfosterspublicandpoliticalcooperation

andsupportsparticularinformationneedsfortargetaudiences(such

asdonors,boardmembers,etc.)


MERprovidesmanagerswithatool

togaintimelyinformationonthe

progressofprojectac-tivities,allowingthemtocomparewhatwasplannedtowhatisactuallyoccuring.

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MERisakeytoolforinstitutionswhoareinterestedinlearningandimprovingfutureprogrammingUsing new knowledge and learning is known as adaptive management, an approach to monitoring, evaluation, and management decision-making involving a cycle of planning, implementation, monitoring, research, and subsequent re-examination of management decisions based on new information. In its simplest form, adaptive management is action in response to learning.

Definitions of the concepts and five key benefits of having a functional MER system have been listed in this chapter to help organizations think about why and how MER systems are useful. There are numerous benefits, many of which are unique to the individual institutions implementing the systems.

Without monitoring and evaluation, it is impossible to judge if work is going in the right direction, whether progress and success can be claimed, and how future efforts might be improved. The strength of a quality MER system lies not in its ability to produce data, but rather in its ability to provide useful information for managing results.

3) defInItIons

A MER system is based on three separate but interrelated concepts: monitoring, evaluation, and reporting.

Monitoring is a systematic process of collecting and analyzing information to track the efficiency of the organization in achievement of goals.Monitoring provides regular feedback that helps an organization track costs, personnel, implementation time, organizational development, and economic and financial results to compare what was planned to actual events. In its simplest terms, monitoring is collection and analysis of information to track project implementation.

Evaluation is a systematic process of collecting and analyzing information to assess the effectiveness of the organization in the achievement of goals. Evaluation provides regular feedback that helps an organization analyze the consequences, outcomes, and results of its actions.

Evaluation also provides regular feedback that helps organizations assess their relevance, scope, and sustainability. In its simplest terms, evaluation is the collection and analysis of information to assess the impact of the organization’s work.

Advocacyisatoolthatidentifiesblockagestogoodgovernancepracticeinlaws,policies,practices,andbehavior,thatidentifiespointsofleverage,identifiespowerrelationsandclarifieswhatiswinnablewiththeresourcesofthoseadvocating.

Advocacyisdefinedbyitsabilitytocausechange,andisatoolthatclarifiesthespecificchangesneeded,identifiespossiblecoalitionsofdiverseactorsonacommonlyfeltissue,increasespopulareducation,harnessespopularopinionandbuildspopularsupportforanissue.

Itcanpragmaticallyidentifytheactivitiesthatcansucceedincausingchangeandmanagetheirexecution,keepissuesalive,andencouragesreflectiononwhatworksandwhatdoesn’tworksothatiterativeeffortscanbemadetofinallyeffectchange.

Advocacyisfedbyinformationthatcomesfrommonitoring,andisimplementedbyacompetentandwellmanagedorganization.

- Excerpt from “The NGO Corruption Fighters’ Resource Book” draft 2006

Why MER isImportant: Reason 5

MERprovidesorganizationallearningand

encouragesadaptivemanagement—

actiontolearning.

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Reporting is the systematic and timely provision of useful information at periodic inter-vals. Reporting provides regular feedback that helps organizations inform themselves and others (stakeholders, partners, donors, etc.) on the progress, problems, successes, and les-sons of program implementation.

Efficiency and effectiveness are two key terms used when discussing MER systems.

Effectiveness measures the degree to which results/objectives have been achieved. An effective organization is one that achieves its results and objectives.

Efficiency measures how productively inputs (money, time, equipment, personnel, etc.)were used in the creation of outputs (products, outcomes, results). An efficientorganization is one that achieves its objectives with the most resourceful expenditures ofresources.

Definitions of the concepts and five key benefits of having a functional MER system have been listed in this chapter to help organizations think about why and how MER systems are useful. There are numerous benefits, many of which are unique to the individual institutions implementing the systems. Without monitoring and evaluation, it is impossible to judge if work is going in the right direction, whether progress and success can be claimed, and how future efforts might be improved. The strength of a quality MER system lies not in its ability to produce data but rather in its ability to provide useful information for managing results.

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actIvIty # 1 Worksheet

Describing why MER is usefulBeyond the five reasons cited in this chapter, please list why having a functional MER system could be useful to your organization:

1. ______________________________________________________________

________________________________________________________________

________________________________________________________________

________________________________________________________________

�. ______________________________________________________________

________________________________________________________________

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�. ______________________________________________________________

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4. ______________________________________________________________

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5. ______________________________________________________________

________________________________________________________________

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1) RepoRting to YouR inteRnal and exteRnal audiences

There is not much point to collecting and monitoring evaluation data unless you know how and by whom that data will be used. Your challenge is to turn raw data andinformation into useful knowledge and then report your results to the different program audiences (e.g., donors, board members) in a way that will be useful both to them and your organization.

What is Reporting?A report is a compilation of descriptive information. A report is a communication tool topresent monitoring and evaluation results by presenting raw data and information asknowledge. A report is an opportunity for project implementers to inform themselves andothers (stakeholders, partners, donors, etc.) on the progress, problems, difficulties encoun-tered, successes, and lessons learned during implementation of programs and activities.

Why is Reporting Essential?Reporting enables the assessment of progress and achievements and helps focus audiences on the results of activities, enabling the improvement of subsequent work plans. Reporting helps form the basis for decision-making and learning at the program level. Reporting com-municates how effectively and efficiently an NGO is meeting its objectives.

Elements of a Good ReportA good report: • Focuses on results and accomplishments • Assesses performance over the past reporting period, using established indicators, schedules, baselines and targets • States explicitly whether and how much progress or results surpassed, met, or fell short of expectations, and why • Specifies actions to overcome problems and accelerate performance, where necessary • Explains the influence of comparative performance by objectives on the resource request • Identifies the need to adjust resource allocations, indicators, or targets, where necessary • Discusses the way forward and the prospects for successful program closeout or graduation, and addresses aspects of sustainability of results

In this chapter, readers will learn:

• Aboutreportingandwhyitisimportant

• Thedifferenttypesofreportsandcommunicationtoolsthatareusually

producedbyorganizations

• Formatsforquarterlyandfinalprojectreports

In this chapter, readers will complete the following tasks in building their MER systems:

• Developareportingprogramandschedule.

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2) identifYing the audience and the appRopRiate communication tool

The first step in reporting is identifying your audience and their information needs. (Thiswas done earlier) The second step is to determine how you will report to each audience by selecting a presentation format that best suits the information that you want to convey to the specific audience you are trying to reach. Think about what their primary interest in the data is.What exactly does that audience want to know? Next, review your information and identify what data you have to tell that story. For each audience, ask yourself what key mes-sage your organization wants to communicate and what the best tool for communicating that message and reaching the audience is. Specific types of communication tools include: • Oral presentations • Discussion sessions • Informal contacts • Written progress reports/updates • Written performance/evaluation reports • Press and media releases • Brochures and pamphlets • Formal academic papers and books • Visual presentations • Internet, e-mail, and websites • Play, music, and dances

Types of Communication Tools Often Required by DonorsThree types of communication are often required by donors (in addition to regularfinancial information): 1. Written progress reports (quarterly) �. Internal mid-term evaluations �. Participatory final evaluations

Generic Outline for Quarterly Progress ReportsQuarterly progress reports are probably the most common and most important format anorganization has for conveying information about a project to its donor. Progress reportsshould focus on presenting in a concise format the advances (or lack thereof ) made on aproject during a specific quarter. Quarterly reports are often laid out in the following manner:

i. Introduction: Brief one to two paragraph introduction (concise presentation of the objectives of the proj-ect, the need for this report and what the report includes).

ii. Comparison of planned versus actual events: Brief narrative comparing planned activities and budget to actual activities undertaken and budget spent during the quarter. The basis of this narrative is an updated benchmark calendar or work plan and information from the Comparison Worksheet. Included in this narrative is a description of the factors that disrupted what you had planned and how you are responding (tells the donor why something that was planned did not take place, and what you plan to do about it); and/or the facilitating factors that helped you achieve activities faster than expected (tells the donor if you are ahead of schedule and why).

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iii. Administrative review: Discuss the status of your administration of the program. During the reporting period, were there any changes in staffing, organizational development issues (new systems, failing systems, etc.), managerial issues, or results on special awards conditions (if applicable)?

iv. Financial review/expenditure report/cost share report: Provide a brief management review of the organization’s financial status (compare what the organization planned to spend to what the organization actually spent). Do you need a budget realignment? Will rescheduling of activities affect the budget? How are the cost-share components functioning? Are these on track with expectations? Explain any very low or very high expenditure rates.

v. Indicator data and MER databases: Discuss your progress in collecting and storing project indicator data. When you have new data, report the baseline figures and provide a brief analysis of the new information. Pro-vide updated protocols if changes occurred.

vi. Notable lessons, innovations, or quotes: Briefly capture any lessons learned during the recording period, interesting anecdotes sug-gesting program impacts, or small success stories.

vii. Issues requiring immediate support/attention by the donor: In bullet form note any issues requiring the immediate assistance or attention of donor personnel in support of your project. (This is a concise list of items that may be mentioned otherwise in the report.)Example • Project budget re-alignment is requested to account for change in workshops venue.

Annex 1. Benchmark calendar: An updated Benchmark Calendar. This should be re-worked each quarter to reflect your progress or lack thereof during the recording period.

Annex 2. Status of deliverables: An updated Deliverables Schedule. This should be re-worked each quarter to reflect your progress or lack thereof during the recording period.

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Generic outline for Final Evaluation/Performance ReportDonors usually require that grantees submit a final evaluation/performance report at theend of the funding cycle. Final reports are often laid out in the following manner:

i) Executive summary: This section captures the essence of the report and provides an overview of its contents. It is the last section to be written and does not exceed one page.

ii. Introduction: Presents a very concise overview of the need for and history of this program. Describes the results, objectives, and activities anticipated under the program during the period of agreement.ii. Methods used: Briefly describes the methods and approach used to implement the program.

iv. Results/Impacts: Compares planned versus actual achievement. Summarizes program accomplishments or failings. Presents findings as to why progress toward planned results was unexpectedly positive or negative. Presents findings as to how well needs of different customers were met (e.g., by gender, age, ethnic group). Presents indicator results/tables and anecdotal infor-mation to support findings. Assesses the value of the contribution made by the program (clarify exactly how the achievement of your objectives contributed to the development outcome and impact). Reviews the validity of hypotheses and assumptions underlying the results framework based on lessons learned in implementation. Describes mitigating factors that disrupted what was planned (and the organization’s response to the disruption) and describes the facilitating factors that helped spur results. Identifies and analyzes unintended consequences and effects of assistance activities.

v. A summary of the prospects for sustainability: Describes the progress made in meeting the sustainability objectives of the program including the approaches used to build financial sustainability (e.g., local financing, cost recovery, resource diversification, and corporate sponsorships). Presents any cost leveraging achieved during the project. Identifies what the beneficiary communities say about sustaining project services through alternative funding sources at the close of the project.

vi. Review of deliverables: Reviews the deliverables submitted. Provides comments and recommendations regarding how unfinished work should be forwarded.

vii. Lessons learned/best practices/recommendations for Future programs: Distills lessons learned or best practices identified through program implementation that may be useful elsewhere and/or by others. Provides recommendations regarding program continuation and direction or new program development.

Annex 1. Fiscal report: Describes in detail budget find out and closeout matters, captures cost share results, or how any matching funds were used.

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Audience Communication Tool Selected

For Reporting Purposes

Schedule For Reporting

EXAMPLE:

Donor:Pact

Quarterlyreport Mar.1,June1,Sept.1,andDec.1

Quarterlye-mailupdate Apr.1,July1,Oct.1,andJan.1

Financialreports Monthlyandquarterly

Finalreport 30daysafterendofgrant

Finalfinancialreportandcloseoutaudit 30daysafterendofgrant

activitY # 9 WoRksheet

Identification of Reporting Tools and Schedules

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3) geneRal guidelines on WRiting success stoRies Pact encourages development of Success Stories for its programs as a way of telling the story of the impact of our work.

Appreciating that there are as many ways of writing Success Stories as there are writers, this document presents some general guidelines and tips on how to write success stories and provides specific examples of success stories from some key donors.

Some useful links for further reading are also included.

i. What is a success story?A success story shows how the program is making a difference in people’s lives. More than a list of events or activities, it describes a positive change and shows how that change benefits the target community. A good success story uses evidence from evaluation to show the value of the program.

You can write a success story about an entire program or part of a program that is particu-larly noteworthy and significant. It may be about an innovation, emergency response or outstanding effort. The program may be complete or in an earlier stage of development but with important accomplishments to describe. You could even write a success story several years after a program’s completion when you have collected evidence of long-term impact. For a multi-year initiative, you may write a series of success stories that describe significant but different changes that occur over the years.

Whatever you choose to write about, your story should show how your program has made the target community a better place to live – for individuals, families, organizations, busi-nesses, local governments and communities.

ii. What goes into a success story? Situation: What prompted the program? Response: How did the program respond? (inputs and outputs) Results: Who benefited? What resulted? (outcomes) Evidence: What’s the evidence? (evaluation)

Situation: Tell why you started the program. What problem, issue or concern needed addressing? Who cares? Who are the key stakeholders? The opening should make the case for why your program stepped in.

Response: Describe your program’s response including inputs (staff, funding, volunteers, research and expertise) and outputs. Outputs include activities (teaching, facilitation, product development) and people reached (number of people and demographics). Describe partnerships and external funding sources. Be sure to spell out your organization’s role in programming.

Results: Use quantitative and qualitative data to describe important outcomes (changes and benefits) achieved as a result of the program’s response. Who benefited and how? Outcomes include changes in knowledge, skills, motivation, behavior, decision making, practices,

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policies, social action, social, economic and environmental conditions. Describe outcomes in terms of value or meaning. For example, “Thirty participants increased their knowledge of safe food-handling practices (output). This should lead to better food-handling practices and fewer food-borne illnesses” (expected outcome). In other words, help the reader un-derstand the meaning behind the change. Link to existing research, if possible, and include future plans or lessons learned based on results.

Evidence: Briefly describe how you evaluated the program to attain the reported evidence. Include the data collection method (pre- or post-test surveys, interviews, testimonials), sample (number and how selected), response rate and the date of data collection. Remember – a good success story depends on credible information.

iii. Why write success stories? - To show accountability for public funds - To verify that we are using resources to make a positive difference in people’s lives - To share successes so individuals in and outside the program can learn from our results - To show that numbers alone don’t tell the whole story of the project - To reflect and learn from our work

iv. How are success stories used? By program leaders: - To assess team progress in relation to plans - To share information among partners and generate interest among potential partners - To help partners better understand program’s work and value - For donor reporting purposes - To post on program-area web sites - As a source of news stories for local media - To document activities and accomplishments of program and staffBy you the MER practitioner: - In performance reviews - As part of your program review documentation - In county annual reports and monthly reports to stakeholders - In communications with local elected officials - To share the value of the program with partners and generate interest among potential partners - To celebrate achievements with colleagues and stakeholders

v. What makes a good success story?A good success story: - Describes results that are valued by clients - Contains compelling, significant facts - Catches your attention - Tells who benefits - Answers: “So what?” - Spells out your program’s role in achieving results

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- Is easy to read and understand - Identifies key partners and funders

vi. When do you submit success stories? - When you have something significant to report and evaluation data to back it up - When you are proud of a program or initiative - On an ongoing basis – don’t wait until the end of the year

vii. Writing tips Below are some tips to help writers to success stories better show case programachievements:Rationale (Problem or Issue): Explain in about 10 sentences the need, importance, and significance of your program to the clientele, community, region and country. In other words, describe briefly the problem situation.

Objectives and Methodology: What do you want to accomplish through your program and what methods did you use to collect information? (Should not exceed �-� sentences).

Program Results: What happened as a result of your program? Highlight major or signifi-cant findings/results of the program. For example, you may want to include the awareness or knowledge level of participants or what they need in order to solve a particular problem or issue. Using catchy phrases, quotations from participants, or facts and figures helps to get the attention of the stakeholders. Also, you may want to think of charts, pictures, etc., to illustrate the success of the program. (Should not exceed 10-1� sentences). Program Impact: What impact did your program have on participants, families, and com-munities? Have people learned new things, and are they using them in their day-to-day needs? Are people doing anything differently than they used to do before? (Should not exceed 10 sentences).

Future Potential: What potential does your program have in the future? Help people un-derstand your program’s contribution to the well being of the society. (Should not exceed � sentences).

viii. Additional writing tips: - Use active voice. Example: Passive: Wells were tested by �0 percent of the participants. Active: Eighty percent of the participants tested their wells. - Use short, complete sentences. - Be concise. - Choose simple words. - Avoid jargon. - Avoid acronyms. - Use your name, program name or county name rather than “this agent” or “I.” - Write in paragraph style in complete sentences.

C H A P T E R 1 1

MER Review

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MER Review

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Components of the meR pRoCeduRes manual should inClude:

a) Grant AgreementA good MER system should help an organization to comply with any donor requirements as described in the award document. A copy of the Grant Agreement between Pact and your organzation for instance should be included with clearly marked tabs for the Monitor-ing and Evaluation related requirements of the award b) Chapter 1: IntroductionThis section should contain the following: 1. Identification of why quality MER (on specific award and in general) is important to our organization. 2. Purpose of having a procedures manual /MER Plan 3. Identification of MER audiences-- who needs specific monitoring and evaluation data information from the organization regarding this grant; what information they need; and when they need it (this includes both our internal and external audiences) 4. Linkage to the National Plan(s) or National development goal. 5. Brief review of the MER Human Resource Plan / Staffing/ Program teamc) Chapter 2: Conceptual Framework/Program Hypotheses and AssumptionsThis section should contain the following: 1. A conceptual framework for the program outlining the program’s underlying hypothesis of how things work (for instance a chain of results with inputs, outputs, out comes, and impacts which illustrates the cause and effect linkage that is believed to exist by the organization). 2. Critical assumptions (conditions outside the control of the organization that are likely to affect results that the organization assume will or will not take place).d) Chapter 3: Monitoring ProceduresThis section should contain the following: 1. Program indicators 2. Completed indicator protocols/Indicator reference sheets for each indicator 3. Data collection tools for each indicator 4. Data Quality Plan or a list of Standard Operating Procedures the organization will follow to assure data quality. 5. Other monitoring tools to be used by the indicator a. Implementation plan or benchmark calendars b. Field/site visit procedures/forms, c. Deliverables schedules etce) Chapter 4: Evaluation Procedures This section should contain the following: 1. Plan of when formative, process and effectiveness evaluations will be conducted • What needs to be evaluated at the beginning of the program and our plans for obtaining that information • Description of what we plan to evaluate in the mid term and our methodology • Description of what we plan to evaluate at the end of the program and our methodology 2. Any relevant Scopes of Work for the evaluations 3. Copies of key survey tools and methodologies 4. A learning agenda (if one exists) or list of learning activities to be undertaken.

C H A P T E R 1 1MER Review

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MER Review

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MER Review

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MER Review

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f) Chapter 5: Reporting ProceduresThis section should contain the following: 1. Reporting Schedule (identifying when the reports are due to various audiences) 2. Any relevant Reporting Formats (templates) 3. Notes on specific donor reporting procedures and databases

meR CheCklist

i. Understanding Our MER Needs —We have identified why quality MER (on this grant and in general) is important to our organization. —We have identified our audience—who needs specific monitoring and evaluation data information from us regarding this program; what information they need; and when they need it. This includes both our internal and external audiences.

ii. Results Framework and Implementation Plans —We have articulated a chain of results with inputs, outputs, outcomes, and impacts that illustrate the cause-and-effect linkage that is believed to exist by our organization. —We have described our critical assumptions (conditions outside the control of the organization that are likely to affect results that we assume will or will not take place). —We have laid out and finalized a course of action through an implementation plan or workplan.

iii. Monitoring Tools Indicators / Protocols — We have identified key input and process level indicators to support our efforts in monitoring our efficiency in completing activities and meeting targets. — We have identified key output level indicators to help us identify if short-term conditions have or have not changed (based on our work) and targets have been met. — We have identified key outcome and impact-level indicators (and/or secondary data sources) to help us identify intermediate changes in conditions and the impact of our program. — We have developed indicator protocols (instruction sheets) describing in detail the methodologies and instruments to be used in collecting information. — We have measured baseline levels for each indicator identified and made changes to the protocols and targets if necessary. — We have created an official filing system with a separate file for each indicator and the raw data and have established any databases we need to track and record data. — We have established realistic targets for projected change based on our baseline information and other national and regional data. — We have assessed our risking terms of data quality and have established a data quality plan for clear methods for verifying and analysis/reporting procedures — We have clearly described our strategies for monitoring program implementation and interventions. — We have clearly described how we plan to use data and information from different

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MER Review

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MER Review

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types of monitoring activities to make adjustments in the way the project is managed and the manner in which interventions are implemented.

Benchmark Calendar — We have clearly laid out in a weekly calendar format (covering the entire grant period) a listing of the key activities we are undertaking in our grant and are updating this quarterly.

Activity-Based Budget — We have an activity-based budget estimating the financial resources and financial inputs required to undertake each benchmark activity. (This is usually just completed once at the beginning of the grant.)

Comparison Chart — We have a comparison chart or method developed for comparing benchmark activities and budgeted financial data to what actually occurred during the quarter. We are filling out this chart quarterly so that we can analyze what was actually planned and budgeted versus what actually occurred and was spent to monitor our efficiency.

Deliverables Schedule — We have developed a chart outlining what is required of the organization to deliver (under the grant) to the donor or partner and the date it is due. We are updating this chart quarterly, noting when things were actually delivered, who actually delivered it, to whom it was delivered and by what means to track our efficiency.

iv. Evaluation/Learning Agenda — We have identified the key things we want to learn and how (and when) we will go about learning them. — We have clearly described a plan for measuring the project results at the mid-term and end of the project. — We have indicated the aspects of our project that we expect to remain in place when our grant funding terminates.

v. Reporting — We have identified which communication tools will be best suited to report to our various audiences. We have identified a format for various reports and developed a schedule identifying when the reports are due.

C H A P T E R 2Essential Elements in Developing a Successful MER

Program and Connecting to the Project Cycle

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• EssentialelementsindevelopingasuccessfulMERprogram

• Todeterminetheirorganization’sdifferentMERaudiencesandtheirunique

informationneeds.

• Threefactorsthatcontributetothefailureofamonitoringprogram

In this chapter, readers will work on the following tasks in building their MER systems:

• Identifyorganization-specificMERaudiencesandinformationneeds.

1) EssEntial ElEmEnts in DEvEloping a succEssful mER pRogRam

Building a MER system begins with development of a MER plan or procedures manual, which documents data collection, evaluation, and reporting procedures to be undertaken by the organization. The MER procedures manual builds from the organization’s strategic plan proposal (which outlines the mission, strategies, objectives, and key activities of the organization) or original funding proposal. The MER procedures manual includes thefollowing sections:

a) Grant AgreementA good MER system should help an organization to comply with any donor requirements as described in the award document. A copy of the Grant Agreement between Pact and your organzation for instance should be included with clearly marked tabs for the Monitor-ing and Evaluation related requirements of the award

b) Chapter 1: IntroductionThis section should contain the following: �. Identification of why quality MER (on specific award and in general) is important to our organization. 2. Purpose of having a procedures manual /MER Plan 3. Identification of MER audiences-- who needs specific monitoring and evaluation data information from the organization regarding this grant; what information they need; and when they need it (this includes both our internal and external audiences) 4. Linkage to the National Plan(s) or National development goal. 5. Brief review of the MER Human Resource Plan / Staffing/ Program team

c) Chapter 2: Conceptual Framework/Program Hypotheses and AssumptionsThis section should contain the following: �. A conceptual framework for the program outlining the program’s underlying hypothesis of how things work (for instance a chain of results with inputs, outputs, out comes, and impacts which illustrates the cause and effect linkage that is believed to exist by the organization). 2. Critical assumptions (conditions outside the control of the organization that are likely to affect results that the organization assume will or will not take place).

C H A P T E R 2

Essential Elements In Developing a Successful MER Program and Connecting to the Project Cycle

C H A P T E R 2Essential Elements in Developing a Successful MERProgram and Connecting to the Project Cycle

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d) Chapter 3: Monitoring ProceduresThis section should contain the following: �. Program indicators 2. Completed indicator protocols/Indicator reference sheets for each indicator 3. Data collection tools for each indicator 4. Data Quality Plan or a list of Standard Operating Procedures the organization will follow to assure data quality. 5. Other monitoring tools to be used by the indicator a. Implementation plan or benchmark calendars b. Field/site visit procedures/forms, c. Deliverables schedules etc

e) Chapter 4: Evaluation Procedures This section should contain the following: �. Plan of when formative, process and effectiveness evaluations will be conducted • What needs to be evaluated at the beginning of the program and our plans for obtaining that information • Description of what we plan to evaluate in the mid term and our methodology • Description of what we plan to evaluate at the end of the program and our methodology 2. Any relevant Scopes of Work for the evaluations 3. Copies of key survey tools and methodologies 4. A learning agenda (if one exists) or list of learning activities to be undertaken.

f) Chapter 5: Reporting ProceduresThis section should contain the following: �. Reporting Schedule (identifying when the reports are due to various audiences) 2. Any relevant Reporting Formats (templates) 3. Notes on specific donor reporting procedures and databases

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2) sEt youR pRogRam up foR succEss - not failuRE

Building a Monitoring, Evaluation and Reporting system should not be seen as separate to, or outside of, the ordinary programming effort of an organization but instead should be viewed as an integral part of the usual steps an organization takes to develop and implement a project.

The Project Cycle Key Activities to integrate the MER system into the project cycle

ClarifytheorganizationsVisionandMission ClarifythegoalsoftheMERsystem

Selectpolicyissuesofinterest Selectpolicyissuesofinterest

IdentifyStakeholders IdentifyMERaudiences;Identifywhoneedsinformationanddatafromtheorganization,why,andwhen.

Conductcommunityneedsassessment/rootcauseanalysis

Setupparticipatorymonitoringandevaluationframework

Developconceptualstrategy/campaignstrategy

ClarifyResultsframe/TOCorGoalsandObjectives,Iden-tifyAssumptionsandestablishstrategy

Developaplanofactionforagiventimepe-riod/includinggoalsobjectivesandactivities

Developanimplementationplanandbudgettotrackplannedtoactualevents/spending

IdentifywhattoMonitorandEvaluate IdentifywhattoMonitorandEvaluate

Implementactivities MonitorProgress:Collectdata

AnalyzeResultsandEvaluateProgram AnalyzeResultsandEvaluateProgram

Useresultstoadaptandlearn Report:Communicate/providefeedback

Design your Project Successfully MER program design is at its best when the MER system is a straight forward part of the program cycle, involves key stakeholders in project design including needs assessments, problem analysis and monitoring and evaluation efforts, is affordable, time efficient and above all else is considered by you, as being USEFUL to your ORGANIZATION!

When designing your project be sure to avoid the most common factors that are often sited as contributing to the failure of a monitoring program:

The first common problem is that many organizations over do it, that is they select too many indicators, making the program too burdensome or complex to implement. Remem-ber having ten or so high quality indicators is much better than having 25 indicators where the data has been poorly or only partially collected, or where analysis has not been com-pleted because there is just too much data to sort through.

Conversely the second most common program contributing to MER failure is under doing it - selecting too few indicators or only those that narrowly focus on monitoring activities (inputs and outputs) rather than presenting an indicator of results (outcome and impacts). A good program includes both process and outcome level indicators.

The third problem is failure to include constituents in project design including needs assessments, problem analysis and monitoring and evaluation efforts. Organizations who design advocacy projects without good community consultation are often setting themselves up to fail.


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Involving local stakeholders in project design is important for ensuring the advocacy goals are relevant (and as a result meet the real needs of the constituency) and for ensuring the program is monitored and evaluated from a broad citizens’ perspective. Data quality normally improves if the key stakeholders hear about and use the data for their own knowledge or work.

3) DEtERmining auDiEncEs anD infoRmation nEEDs

One of the first steps in developing a MER plan is to determine who will be using theinformation that you will be collecting and what it is they would like to know. You may collect the best information in the world but if nobody cares about it or it is in a form that people cannot or will not use, then all your hard work will be wasted.

Identify your audiencesAlmost any project will have multiple audiences (stakeholders). To begin the process ofdetermining your audiences, sit down with your project team and make a list of the variousgroups who you think might be interested in the results of your project and monitoring work. Differentiate between those audiences who just need to know about your organization versus those audiences who actually require information or data from your organization. In almost all cases, the first audience listed should be your own project team. Other possible internal audiences include the board, the membership, partner organizations, potential future donors, among others. Potential external audiences include the stakeholders or community members with whom your project is working (may also be defined as an internal audience), donors, and policy and decision-makers in government and other agencies.

Determine what data/information your audience needsAny project will have hundreds of possible questions that could potentially be asked about it. Your primary challenge in designing a MER plan is to focus on only the most important ones. The hard work and thinking you have invested in identifying and developing a strategic plan and/or work plan will make it much easier to determine what to monitor, so review the strategic and/or workplan when you develop information needs.

Determine why they need data/informationThink about why your stakeholders need the data. Review any reporting requirementcommunications they may have sent. How will they use the information? Understanding why a partner needs data increases your ability to provide useful information and helps build a sense of teamwork among stakeholders.

Identify when your audience needs data/informationIf you are aware of specific time frames when stakeholders need data, be sure to documentthese dates. This will help you when you are scheduling your activities and reportingprocedures. Be as exact as possible.

Identify how the audience can participate in the MER programCapture specific ways the stakeholders can either help plan or develop the MER systems, and how they can help with data collection and analysis, evaluation and use.

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4) usE youR stakEholDER analysis-consiDER influEncE anD intEREst

Many organizations interested in advocacy undertake stakeholder analyses. A stakeholder is an agency, organization, group or individual who has a (direct or indirect) interest in the project / program, or who affects or is affected positively or negatively by the implementa-tion and outcome of it. Stakeholder Analysis is an approach for identifying these actors and assessing their respective interest and influence in that system. Influence relates to the power which stakeholders have over a project - to control what decisions are made, facilitate its implementation, or exert influence which affects the project negatively. While interest relates to those stakeholders who have interests in the projects that converge closely with your own objectives the extent to which that stakeholder is able to persuade or coerce others into making decisions, and following certain courses of action.

Certainly any one you identify who has both a strong influence and a strong interest should be seen as one of your key MER audiences.

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Stakeholdersinthissegmentmayprovehelpfuliftheybecomesupportersoftheproject/programanditmaybeworthyourorganizationstimetoreachouttothemwithdataandtheresultsofyourmonitoringandevaluationefforts.

StakeholdersinthissegmentmustbeaccommodatedandshouldbeseenaskeyMERaudiences.

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Stakeholdersinthissegmentwillhavelittleornoaffectontheproject/program.Normallythesestakeholdersarenotin-cludedinyourlistofMERaudiences

Stakeholdersinthissegmentmaybecomedangerousorverysupportivetoproject/programiftheybecomeinterested.Youwillneedtodetermineonacasebycasebasisonwhethertoreachouttothemwithdataandtheresultsofyourmonitoringandevaluationefforts.

Adapted from: http://web.mit.edu/urbanupgrading/upgrading/issues-tools/tools/worksheet-stakeholders-2.html

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C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

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• The importance of results-based management and monitoring

• Levels of results

• How to refine strategic plan elements into results statements to clarify linkages and

hierarchy

• How to draft an implementation plan for a United States government (USG) grant


• Develop a conceptual framework.

• Identify critical assumptions

1) Results-Based ManageMent and MonitoRing

Traditionally, monitoring focused simply on the implementation of projects: tracking basic inputs (resources) and outputs (products or services). For example: We were given x amount of money and we trained 12 organizations, issued 300 press releases, tested 1,200 people, etc. Data collection was often completed haphazardly and not as part of a systemat-ic, comprehensive, and long-term plan. When a project ended, the monitoring ended too.

Today, given the increasing complexity of development issues and increasing competition for resources, organizations must think about (and present) the results of their programs as contributing to a larger strategic objective. A strategic objective is the overall and long term effect of an intervention. In other words, it is the highest level of impact an organization anticipates having. Some examples include: • Increasedgovernmentaccountability,transparencyandresponsiveness • ReducedCorruptioninGovernment • Improvedpoliticalgovernance(Moreeffective,independentandrepresentative government) • Improveddemocraticspace:Increaseddevelopmentofapoliticallyactivecivilsociety • Improvedeconomicgovernance • Equalityforwomen

When you were developing your organization’s strategic plan or your grant proposal, you were probably thinking about what your organization wants to do in terms of development and your advocacy objectives (results you want to see and make happen). In creating that planorproposal,youwerelayingoutthestructureforresults-basedmanagement.Results-based management is a management approach by which an organization ensures that its processes, products, and services contribute to the achievement of clearly stated results. A resultisaconsequenceofaparticularactivity,project,orprogramthatanorganizationcanaffect and for which it is willing to be held accountable.

Simply put, a result is a change in condition attributable in whole or part to the organization.

C H A P T E R 3Results based MER

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

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C H A P T E R 3

Results based MER

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Results based MER

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A good results statement is written so that it…

• Statesthemostambitiousimpactthatanorganization can effect • Expressesthehighestlevelforwhichtheprojectcan reasonably be expected to be held accountable • Mayneedtobequalifiedbyusingtermssuchasfacilitated, improved, and supported to ensure that it is a realistic result of the project • Doesnotincludethemeansofachievingit • Isasspecificaspossibleandstatedasanaccomplishment.

2) Results Based MeRIfyouarepracticingresults-basedmanagement,thenitmakessensethatyourMERwouldmirror the same structure so that you have information about whether you are meeting your results. This is referred to as results-based monitoring (also known as performance monitoring or outcome monitoring). In addition to tracking general project implementa-tion information (for example, how much money the organization spent on an activity), theMERsystemalsomeasurestheorganization’scontributionofprocesses,products,andservices to broader development objectives.

Levels of ResultsOrganizations plan, present, and monitor how they contribute to the attainment of a stra-tegic objective in the short-term, intermediate, and long-term. There can be several levels of results for a large complex program. One way to present the short, intermediate, and long-term results and associated indicators is to think about what the project is achieving at four levels: 1. Inputs and Processes 2. Outputs 3. Outcomes 4. Impacts.

Inputs and processes are the resources and methods employed to conduct an activity, proj-ect,and/orprogram.Inputscanbephysical,suchasequipmentrentalorpurchase;material,suchassuppliesandprovisions;human,suchaslaborcostsforsalaries,technicalassistance,andstaff;orfinancial,suchastravelcosts,perdiemcosts,directandindirectcosts.Processesare the methods or courses of action selected to conduct the work, such as training, capacity building, service provision, and message promotion. Inputs usually produce a result imme-diately (0–1 years).

Outputs are information, products, or results produced by undertaking activities or projects. Outputs relate to completion of activities and are the type of results over which managers have a high degree of influence. Outputs reflect what you hoped to produce from a particular input (or set of inputs). For example: You decide the process you want to use is to train people. People trained is the result at the input/process level while knowledge

A result is: • A broad term used to refer to the effects of a program • The most ambitious impact that an organization can effect and for which it is willing to be held accountable • A describable or measurable change in state that is derived from a cause-and- effect relationship • The consequences of a particular program/project/activity • The outcome, output, or impact (There can be several levels of results for a large complex program.)

A result is your objective restated as an accomplishment.

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

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C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

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level increased would be the result at an output level, the assumption being that if you train people, they will increase their knowledge on a given subject. Outputs usually reflect a result achieved in a relatively short time period (0–2 years).

Outcomes are broad changes in development conditions. Outcomes help us answer the “so what?”question.(Forexample:Wetrained100peopleandincreasedtheirknowledgebutdid or did they not change their behavior?). Outcomes often reflect draft policy changes, behavior change of decision makers, economic change, etc. and help us analyze how our activities and projects scale up or contribute toward development outcomes. Outcomes usually reflect a result achieved over an intermediate time period (2–5 years).

Impacts are the overall and long-term effects of an intervention. Impacts are the ultimate result attributable to a development intervention over an extended period, such as a more democratic society. Impacts usually reflect a result achieved over a longer time period (5–10+ years).

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

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C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

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cond

ucte

d•

Info

rmat

ion

cam

pai

gn c

ond

ucte

d•

Men

torin

g /

Tech

nica

l Ass

ista

nce

Pro

vid

ed•

Net

wor

ks E

stab

lishe

d•

Web

site

s E

stab

lishe

d•

Bes

t P

ract

ices

or

less

ons

shar

ed…

Whi

ch le

ad t

o …g

Sho

rt t

erm

cha

nge,

eff

ects

and

res

ults

Exa

mp

les

of o

utp

uts

incl

ude:

Kno

wle

dg

e /

Aw

aren

ess,

Und

erst

and

ing

C

hang

e: (I

ncre

ased

und

erst

and

ing

of a

n is

sue…

).C

apac

ity /

Ski

lls C

hang

e: (i

mp

rove

d s

kills

and

ab

ilitie

s, im

pro

ved

cap

acity

to

add

ress

sp

ecifi

c ne

eds,

e.g

incr

ease

d c

apac

ity o

f civ

ic o

rgan

iza-

tions

to

advo

cate

on

beh

alf o

f leg

isla

tion…

)

Acc

ess

/Exp

ansi

on

Cha

nge:

(im

pro

ved

acc

ess

to in

form

atio

n or

exp

ansi

on o

f net

wor

ks, m

ater

i-al

s or

info

rmat

ion.

Qua

lity

Cha

nge:

(im

pro

ved

pro

gram

s, s

ervi

ces,

q

ualit

y w

hite

pap

ers

or p

olic

y or

/ le

gisl

atio

n d

raft

ed…

)

Whi

ch le

ad t

o… g

Inte

rmed

iate

cha

nge

effe

cts,

and

re

sult

sE

xam

ple

s of

out

com

es in

clud

e:P

rop

ortio

n /

Cov

erag

e C

hang

e: e

.g. I

n-cr

ease

d p

rop

ortio

n of

the

pop

ulat

ion

fully

kn

owle

dge

able

/ aw

are

of t

heir

civi

c rig

hts

and

res

pon

sib

ilitie

s….

Att

itud

e C

hang

e (e

.g. c

hang

e in

bel

iefs

on

wha

t is

the

ap

pro

pria

te r

ole

of C

S/C

A

Beh

avio

r C

hang

e (in

crea

sed

par

ticip

a-tio

n, in

crea

sed

med

ia c

over

age,

red

uced

co

rrup

tion,

incr

ease

d p

artn

ersh

ip a

nd

colla

bor

atio

n on

join

t ac

tiviti

es, i

ncre

ased

ci

tizen

/go

vt r

epre

sent

ativ

e in

tera

ctio

n …

)

Fina

l Dra

ftin

g o

r Ve

ttin

g o

f P

olic

y o

r A

ctua

l Po

licy

Cha

nge

(Leg

isla

tion

deb

ated

by

le

gisl

atur

e /

agen

cy

Whi

ch L

ead

to…

g

Long

ter

m c

hang

e, e

ffec

ts, a

nd

resu

lts

Exa

mp

les

incl

ude:

Po

litic

al c

hang

e (d

emoc

racy

&

gove

rnan

ce i

mp

rove

d ,

tran

spar

ency

an

d a

ccou

ntab

ility

ach

ieve

d…

)Le

gal c

hang

e (le

gisl

atio

n en

acte

d

and

rul

e of

law

imp

rove

d...

)

Hum

an r

ight

s, s

oci

o c

ultu

ral &

em

po

wer

men

t ch

ang

e (d

ecre

ased

H

R

vio

latio

ns, i

ncre

ased

rep

rese

nta-

tion,

pro

tect

ion,

and

em

pow

erm

ent

achi

eved

)

So

cio

-eco

nom

ic a

nd o

r he

alth

st

atus

cha

nge

(red

uctio

n in

pov

erty

, in

crea

sed

live

lihoo

ds,

dec

reas

ed

HIV

... ).

Res

our

ce m

anag

emen

t ch

ang

e (b

iod

iver

sity

con

serv

atio

n, fo

od

secu

rity.

. )E

tc.

Pro

ject

Lev

el

(Tra

ckin

g Y

OU

R E

ffici

ency

) (Im

ple

men

tatio

n /

Pro

gres

s M

onito

ring)

Pro

gram

Lev

el

Str

ateg

ic L

evel

(E

valu

atin

g Y

OU

R E

ffect

iven

ess)

(Out

com

e /

Imp

act

Mon

itorin

g)

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-53-4

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-53-4

Exam

ples

of

resu

lts fr

amew

orks

: Pol

icy

Dev

elop

men

tIn

put

Out

put

Out

com

eIm

pac

t

Pro

ble

m d

efine

d /

iden

tified

, ini

tial d

ata

colle

c-tio

n /a

sses

smen

ts c

omp

lete

d.

Sta

keho

lder

s m

obili

zed

/co

nsul

ted

as

to n

eed

s,

per

cep

tions

and

pot

entia

l im

pac

ts.

Citi

zen

grou

ps

mob

ilize

d (a

gree

/ r

ecom

men

d

that

legi

slat

ion

is n

eed

ed o

n is

sue)

.

Res

earc

h co

nduc

ted

:-

Cos

t/b

enefi

t an

alys

es o

f var

ious

alte

rnat

ives

; an

d m

odel

ing

com

ple

ted

.

Civ

ic o

rgan

izat

ions

tra

ined

on

pro

ced

ures

of t

he

legi

slat

ure

and

on

how

to

advo

cate

for

a p

olic

y.

Issu

e p

aper

s d

evel

oped

.

Ad

voca

cy (r

adio

, prin

t, d

ram

as) m

essa

ges

dev

elop

ed.

Sta

keho

lder

s lin

ked

/ n

etw

orke

d

Incr

ease

d c

apac

ity o

f civ

ic o

rgan

izat

ions

to

advo

cate

on

beh

alf o

f leg

isla

tion.

Incr

ease

d a

cces

s to

info

rmat

ion

on t

he g

iven

p

olic

y is

sue.

Initi

al p

olic

y in

terv

entio

n(s)

dra

fted

.

Initi

al p

olic

y in

terv

entio

n(s)

vet

ted

with

rel

evan

t st

akeh

old

ers

(in g

over

nmen

t, n

on-g

over

nmen

t,

the

priv

ate

sect

or a

nd c

ivil

soci

ety)

,

Incr

ease

d c

ivic

und

erst

and

ing

of is

sue.

Civ

ic p

artic

ipat

ion

on d

raft

pol

icy

bro

aden

ed

(thro

ugh

roun

d t

able

dis

cuss

ions

, sem

inar

s an

d

wor

ksho

ps)

.

Qua

lity

pol

icy

/ le

gisl

atio

n d

raft

ed in

ligh

t of

d

iscu

ssio

ns a

nd c

ircul

ated

for

feed

bac

k.

Dra

ft t

ext

dis

cuss

ed in

par

ticip

ator

y fo

rum

s in

se

lect

ed r

egio

ns t

o en

sure

con

sist

ency

with

the

w

ishe

s of

the

civ

il so

ciet

y se

ctor

Issu

e in

trod

uced

in t

he r

elev

ant

legi

sla-

tive

com

mitt

ee/e

xecu

tive

min

istr

y.

Par

ticip

ator

y d

ialo

gue

und

erta

ken

to

final

ize

dra

ft p

olic

y/ le

gisl

atio

n (b

y re

l-ev

ant

com

mitt

ee o

r ex

ecut

ive

min

istr

y).

If d

raft

ed b

y th

e ex

ecut

ive,

it is

sub

mit-

ted

to

the

legi

slat

ure.

Inte

rest

ed C

SO

s ha

ve u

nder

take

n co

or-

din

ated

ad

voca

cy c

amp

aign

s.S

take

hold

ers

advo

cate

d t

o p

olic

y m

aker

s in

sup

por

t of

dra

ft o

r al

tern

ate

vers

ion.

Legi

slat

ion

deb

ated

by

legi

slat

ure

/ ag

ency

(Thi

s m

ight

incl

ude

add

ition

al c

omm

it-te

e he

arin

gs, a

nd/o

r co

nsid

erat

ion

of

alte

rnat

ive

mod

el la

ws,

pro

ject

ing

likel

y im

pac

t of

var

ious

pro

visi

ons.

)

Vett

ed q

ualit

y p

olic

y in

terv

entio

n w

ith

all i

ts c

omp

onen

ts a

nd c

laus

es is

fina

l-iz

ed fo

r fin

al a

dop

tion

and

ap

pro

val b

y ap

pro

pria

te a

dm

inis

trat

ive

agen

cy.

Pol

icy

inte

rven

tion

advo

cate

d b

y ci

tizen

’s g

roup

s/C

SO

s ap

pro

ved

by

the

app

rop

riate

ad

min

istr

ativ

e ag

ency

or

legi

slat

ive

bod

y.

or L

egis

latio

n p

asse

d

(Can

tak

e th

e fo

rm o

f the

vot

ing

on a

la

w; o

r th

e is

suan

ce o

f a d

ecre

e).

Pol

icy

imp

lem

ente

d a

nd e

nfor

ced

. (A

ctio

ns t

hat

put

the

pol

icy

inte

rven

tions

in

to e

ffect

-age

ncy

per

sonn

el t

rain

ed

in p

roce

dur

es, a

pp

rop

riate

inst

itutio

ns

crea

ted

or

stre

ngth

ened

, op

erat

ives

of

the

legi

slat

ion

wid

ely

dis

sem

inat

ed,

par

ticip

ator

y m

onito

ring

and

eva

luat

ion

und

erta

ken)

.

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-73-6

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-73-6

Exam

ples

of

resu

lts fr

amew

orks

: Ant

icor

rupt

ion

Inp

uts

A

ctiv

itie

sO

utp

uts

Out

com

esIm

pac

t

Fund

ing

pro

vid

ed in

a

pro

mp

t

man

ner.

Sta

ff hi

red

an

d t

echn

ical

as

sist

ance

p

rovi

ded

Sub

gra

ntee

s id

entifi

ed.

Faci

litat

e A

nti-

corr

uptio

n w

orki

ng

grou

p (W

G)

Bui

ld c

apac

ity a

nd s

tren

gthe

n th

e W

GFa

cilit

ate

mon

thly

WG

mee

tings

SW

G m

emb

ers

pro

vid

e re

por

ts o

n co

rrup

tion

in t

heir

resp

ectiv

e se

ctor

sP

artic

ipat

ion

in i

nfor

mal

don

ors

wor

king

gro

upA

naly

sis

of W

G s

trat

egie

s

Trai

ning

, men

torin

g an

d m

onito

ring

jour

nalis

ts/

edito

rsC

ond

uct

clea

n ha

nd c

amp

aign

Con

duc

t N

atio

nal a

dvo

cacy

co

nfer

ence

/WS

Bui

ld c

apac

ity o

f bus

ines

s as

soci

atio

ns t

o ad

voca

te a

gain

st

corr

uptio

n-T

rain

ing

(jour

nalis

ts, s

ub-g

rant

ees,

ot

her

stak

ehol

der

s)

Col

lect

and

dis

sem

inat

e d

ocum

ents

re

leva

nt t

o A

C a

nd fr

eed

om o

f in

form

atio

n re

form

s.

Iden

tify

tech

nica

l exp

ert

to p

rovi

de

sup

por

t to

the

gov

t of

fices

ass

igne

dto

est

ablis

h th

e A

CB

Iden

tify

tech

nica

l exp

ert

to p

rovi

de

sup

por

t to

cou

ncil

of m

inis

ters

to

dra

ft p

olic

y p

aper

on

FOIA

FOIA

tec

hnic

al a

dvi

sor

wor

ks w

ithco

unci

l of m

inis

ters

W/S

on

dra

ft p

olic

y p

aper

hel

d w

ith

coun

cil o

f min

iste

rs, n

atio

nal a

ssem

-b

ly, s

enat

e, C

SO

s an

d d

onor

sM

ento

ring

and

tec

hnic

al a

ssis

tanc

e (le

gisl

atio

n to

gov

t. s

ub g

rant

ees)

p

rovi

ded

Incr

ease

d c

oord

inat

ed a

ctio

n am

ong

key

stak

ehol

der

s /

don

ors

or a

nti-

corr

uptio

n re

form

- In

crea

sed

com

mun

icat

ion

on a

nti-

corr

uptio

n-

Wor

king

Gro

ups

esta

blis

hed

, res

earc

hing

and

rep

ortin

g on

cor

rup

tion

in t

heir

resp

ectiv

e se

ctor

s

Imp

rove

d k

now

led

ge a

nd u

nder

stan

din

g am

ong

key

stak

ehol

der

s, c

ivil

soci

ety

and

civ

il au

thor

ity o

n tr

ansp

ar-

ency

/ a

ccou

ntab

ly a

nd a

nti-

corr

uptio

n p

ract

ices

.-

Incr

ease

d u

nder

stan

din

g on

the

affe

cts

of c

orru

ptio

n on

bus

ines

s gr

owth

- In

crea

sed

und

erst

and

ing

of t

he s

kills

nee

ded

with

in

govt

to

enab

le t

hem

to

effe

ctiv

ely

man

age

pub

lic fu

nds

and

AC

ref

orm

.

Imp

rove

d c

apac

ity w

ithin

civ

il so

ciet

y (in

clud

ing

the

priv

ate

sect

or) t

o fo

rwar

d a

nti-

corr

uptio

n re

form

- In

crea

sed

ski

lls t

o in

vest

igat

e is

sues

- In

crea

sed

ski

ll to

rep

ort

on is

sues

/ d

isse

min

ate

info

rmat

ion

on c

orru

ptio

n -

Incr

ease

d s

kill

to a

dvo

cate

for

refo

rm-

Incr

ease

d s

kill

in g

over

nmen

t ov

ersi

ght/

wat

ch

dog

ging

, whi

stle

-blo

win

g.-

Incr

ease

d s

kill

in b

uild

ing

par

tner

ship

s an

d n

etw

orks

to

forw

ard

AC

ref

orm

Pro

fess

iona

lism

and

eth

ical

pra

ctic

e in

Gov

t st

reng

then

ed-

Incr

ease

d u

nder

stan

din

g/kn

owle

dge

am

ong

govt

sta

ff as

to

thei

r ro

les

and

res

pon

sib

ility

(rol

e of

civ

il au

thor

ity).

- Fi

scal

Man

agem

ent

& A

ccou

ntab

ility

ski

lls o

f tar

gete

d

GO

C D

epts

. im

pro

ved

- Im

pro

ved

cap

acity

of G

OC

ent

ities

to

solic

it an

d m

an-

age

civi

c in

put

pro

cess

es

Lega

l fra

mew

orks

dev

elop

ed /

dra

fted

tha

t su

pp

ort

tran

spar

ency

/ a

ccou

ntab

ly a

nd a

nti-

corr

uptio

n p

rac-

tices

.-P

olic

y p

aper

s/le

gisl

atio

n re

sear

ched

and

dra

fted

Incr

ease

d c

ivic

act

ion

rega

rdin

g th

e p

roce

sses

an

d p

ract

ices

of g

ovt

& o

vers

ight

of p

ublic

in

stitu

tions

.-

Incr

ease

d n

umb

er o

f CS

Os

(and

oth

er k

eyst

akeh

old

ers)

ad

voca

ting

for

imp

rove

dtr

ansp

aren

cy &

acc

ount

abili

ty /

anti-

corr

uptio

n re

form

-

Incr

ease

d in

cid

ence

of c

ivil

soci

ety

inve

stig

atio

n of

(and

rep

ortin

g on

) cor

rup

tion.

Incr

ease

d m

onito

ring

of t

he p

erfo

rman

ce o

f go

vern

men

t b

y ci

vil s

ocie

ty-

Incr

ease

d n

umb

er o

f CS

Os

mon

itorin

gof

the

per

form

ance

of g

ovt

Incr

ease

d g

over

nmen

t ac

coun

tab

ility

,tr

ansp

aren

cy a

nd r

esp

onsi

vene

ss.

- In

crea

sed

op

enne

ss t

o ci

vil s

ocie

ty in

volv

e-m

ent

in g

over

nanc

e p

roce

sses

- m

echa

nism

s fo

r ob

tain

ing

citiz

en in

put

in

crea

sed

/ b

road

ened

-

incr

ease

d s

harin

g /

rele

ase

/ av

aila

bili

ty o

fin

form

atio

n to

citi

zens

-Dec

isio

ns m

ade

incr

easi

ngly

con

sist

ent

with

th

e w

ishe

s of

(or

feed

bac

k fr

om) t

he c

ivil

soci

ety

sect

or.

- Im

pro

ved

fina

ncia

l mgm

t sy

stem

s in

pla

ce.

Lega

l fra

mew

orks

ref

orm

ed a

nd im

ple

men

ted

to

sup

por

t tr

ansp

aren

cy /

acc

ount

ably

and

an

ti-co

rrup

tion

pra

ctic

es.

- In

crea

sed

imp

lem

enta

tion

of p

olic

ies

/ ov

ersi

ght

mec

hani

sms

rela

ting

to im

pro

ved

tr

ansp

aren

cy a

nd a

ccou

ntab

ility

/ a

nti-

corr

up-

tion

refo

rm-

Free

dom

of I

nfor

mat

ion

Act

Pas

sed

- La

w e

nfor

cem

ent

incr

ease

d

Cor

rup

tion

red

uced

Incr

ease

d

dev

elop

men

t of

a

pol

itica

lly

activ

e ci

vil

soci

ety

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-73-6

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-73-6

Exam

ples

of

resu

lts fr

amew

orks

: Loc

al G

over

nmen

t Str

engt

heni

ngIn

puts

A

ctiv

itie

sO

utpu

tsO

utco

mes

Impa

ct

Fund

ing

prov

ided

Staff

hire

d

Tech

nica

l ass

ista

nce

and

men

torin

g pr

ovid

edid

entifi

ed.

Nat

iona

l For

ums/

wor

ksho

ps fo

r or

gani

zatio

ns to

sha

re le

sson

s le

arne

d, a

ppro

ache

s an

d ne

w id

eas

in

pro

mot

ing

loca

l gov

t par

tner

ship

s co

nduc

ted

Best

pra

ctic

e pa

rtne

rshi

p ca

ses

and

less

ons

lear

ned

from

mem

bers

and

ot

her s

take

hold

ers

at a

ll le

vels

col

-le

cted

and

dis

sem

inat

ed.

Part

ners

hip

hand

book

dev

elop

ed

and

wid

ely

diss

emin

ated

to p

artn

ers

and

stak

ehol

ders

at a

ll le

vels

Key

entr

y po

ints

to d

evel

op a

rela

-tio

nshi

p w

ith d

ecen

tral

izat

ion

polic

y m

aker

s id

entifi

ed.

Polic

y di

alog

ue b

etw

een

the

WG

PD

and

gove

rnm

ent p

olic

y m

aker

s re

gard

ing

part

ners

hip

prom

otio

n es

tabl

ishe

d. Pe

rfor

man

ce a

sses

smen

t con

duct

ed

and

feed

back

on

gove

rnm

ent p

oli-

cies

and

act

iviti

es to

nat

iona

l lev

el

gove

rnm

ent p

rovi

ded

Qua

lity

of IE

C m

ater

ials

incr

ease

d Kn

owle

dge/

und

erst

andi

ng in

crea

sed

with

in

com

mun

ities

and

Com

mun

e Co

unci

ls o

n :

- the

sta

tus

of d

emoc

racy

and

dec

entr

aliz

a-tio

n,

- th

e pr

opos

ed /

or n

eede

d re

form

s / p

ro-

cess

es a

nd b

est p

ract

ices

for e

ncou

ragi

ng

refo

rm.

- Inc

reas

ed u

nder

stan

ding

/kno

wle

dge

amon

g ci

tizen

s re

gard

ing

thei

r rig

hts/

resp

onsi

bilit

ies

(role

of c

ivil

soci

ety)

and

in p

artic

ipat

ion

in

dem

ocra

cy a

nd d

ecen

tral

izat

ion

proc

esse

s.

- Und

erst

andi

ng/k

now

ledg

e in

crea

sed

amon

g Co

mm

une

Coun

cilo

rs a

s to

thei

r rol

es a

nd

resp

onsi

bilit

y (ro

le o

f civ

il au

thor

ity) a

nd in

de

moc

racy

and

dec

entr

aliz

atio

n pr

oces

ses.

- Inc

reas

ed c

omm

itmen

t to

part

ners

hip

(resp

onsi

ve g

over

nanc

e) a

mon

g ci

vil s

ocie

ty

and

loca

l civ

il au

thor

ity a

ctor

s

- Inc

reas

ed li

nkag

es a

mon

g th

e w

orki

ng

grou

p an

d th

e Co

mm

une

Coun

cils

.

- Im

prov

ed C

ivil

Soci

ety

advo

cacy

on

beha

lf of

de

moc

racy

and

dec

entr

aliz

atio

n re

form

Incr

ease

d ci

tizen

par

ticip

atio

n in

the

proc

ess

and

over

sigh

t of p

ublic

inst

itutio

ns (C

omm

une

Coun

cils

).- I

ncre

ased

dia

logu

e/pa

rtic

ipat

ion

amon

g CS

and

Co

mm

une

Coun

cilo

rs.

- Inc

reas

ed C

S m

onito

ring

of th

e pe

rfor

man

ce o

f go

vt (c

omm

une

coun

cils

)

- Inc

reas

ed c

oord

inat

ed a

ctio

n (a

dvoc

acy,

part

icip

atio

n…) a

mon

g ci

vil s

ocie

ty a

ctor

s in

su

bjec

ts re

latin

g to

D&

D

Incr

ease

d go

vern

men

t (i.e

. in

Com

mun

e Co

unci

ls) a

ccou

ntab

ility

, tra

nspa

renc

y an

d re

spon

-si

vene

ss.

- mec

hani

sms

for o

btai

ning

citi

zen

inpu

t inc

reas

ed/

broa

dene

d (c

itize

n pa

rtic

ipat

ion

incr

ease

d)- i

ncre

ased

sha

ring/

rele

ase/

avai

labi

lity

of in

form

a-tio

n to

citi

zens

- inc

reas

ed n

umbe

r of d

ecis

ions

mad

e th

at a

re

cons

iste

nt w

ith th

e w

ishe

s of

(or f

eedb

ack

from

) the

ci

vil s

ocie

ty s

ecto

r.

Incr

ease

d go

vern

ance

aut

horit

y tr

ansf

erre

d to

loca

l co

unci

ls.

- D&

D p

olic

y in

terv

entio

ns a

dvoc

ated

by

loca

l gov

t/

citiz

en’s

grou

ps/C

SOs

appr

oved

by

the

appr

opria

te

adm

inis

trat

ive

agen

cy o

r leg

isla

tive

body

.

Impr

oved

Gov

erna

nce

at

the

loca

l le

vel

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-93-8

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-93-8

Exam

ples

of

resu

lts fr

amew

orks

: Loc

al G

over

nanc

eIn

put

s

Out

put

sO

utco

mes

Imp

act

Gra

nt d

isb

urse

d t

o co

mm

une

coun

-ci

ls a

nd N

GO

s /

CB

Os

in a

pro

mp

t m

anne

r

Sta

ff em

plo

yed

.

Tech

nica

l ass

ista

nce

and

men

torin

g p

rovi

ded

Cap

acity

of C

omm

une

Cou

ncils

and

se

lect

ed N

GO

s as

sess

ed

NG

Os

and

Com

mun

e C

ounc

ils

trai

ned

in d

emoc

ratic

pro

cess

/man

-ag

ing

fund

s/d

esig

ning

pla

ns a

nd

bud

gets

/gen

der

/bas

ic la

w/c

onfli

ct

reso

lutio

n/ag

ency

func

tion

D&

D m

edia

cam

pai

gn la

unch

ed

Incr

ease

d u

nder

stan

din

g of

the

sta

tus

of d

emoc

racy

an

d d

ecen

tral

izat

ion

with

in c

omm

uniti

es a

nd C

omm

une

Cou

ncils

.

Incr

ease

d k

now

led

ge a

mon

g ci

tizen

s re

gard

ing

pro

pos

ed

/ or

nee

ded

dem

ocra

cy a

nd d

ecen

tral

izat

ion

refo

rms/

pro

-ce

sses

.

Incr

ease

d u

nder

stan

din

g/kn

owle

dge

am

ong

citiz

ens

re-

gard

ing

thei

r rig

hts/

resp

onsi

bili

ties

tow

ard

the

ir co

mm

unity

(ro

le o

f civ

il so

ciet

y) a

nd in

par

ticip

atio

n in

dem

ocra

cy a

nd

dec

entr

aliz

atio

n p

roce

sses

.

Incr

ease

d in

stitu

tiona

l and

fina

ncia

l via

bili

ty o

f NG

Os:

- In

crea

sed

link

ages

to

com

mun

ities

/ci

tizen

s-

Imp

rove

d C

SO

ad

voca

cy s

kills

for

dem

ocra

cy a

nd

dec

entr

aliz

atio

n re

form

-Fis

cal M

anag

emen

t &

Acc

ount

abili

ty s

kills

imp

rove

d-I

mp

rove

d fi

nanc

ial m

gmt

syst

ems

in p

lace

.

Incr

ease

d u

nder

stan

din

g/kn

owle

dge

am

ong

Com

mun

e

Cou

ncilo

rs a

s to

the

ir ro

les

and

res

pon

sib

ility

(rol

e of

civ

il

auth

ority

) and

in d

emoc

racy

and

dec

entr

aliz

atio

n p

ro-

cess

es.

Incr

ease

d u

nder

stan

din

g of

the

ski

ll ne

eds

in C

omm

une

Cou

ncils

(to

enab

le t

hem

to

effe

ctiv

ely

man

age

pub

lic

fund

s an

d d

emoc

racy

and

dec

entr

aliz

atio

n p

roce

sses

).

Incr

ease

d g

over

nanc

e an

d fi

nanc

ial v

iab

ility

of C

omm

une

Cou

ncils

:-

dem

ocra

cy a

nd d

ecen

tral

izat

ion

cap

acity

/ s

kills

of C

om-

mun

e C

ounc

ilors

imp

rove

d.

-Fis

cal M

anag

emen

t &

Acc

ount

abili

ty s

kills

of C

omm

une

Cou

ncilo

rs im

pro

ved

-Im

pro

ved

fina

ncia

l mgm

t sy

stem

s in

pla

ce.

- In

crea

sed

op

enne

ss o

f Cou

ncilo

rs t

o ci

vil s

ocie

ty in

volv

e-m

ent

in g

over

nanc

e p

roce

sses

Incr

ease

d c

itize

n p

artic

ipat

ion

in t

he p

roce

ss a

nd o

vers

ight

of

pub

lic in

stitu

tions

(Com

mun

e C

ounc

ils).

-Inc

reas

ed d

ialo

gue/

par

ticip

atio

n am

ong

civi

l so

ciet

y an

d C

omm

une

Cou

ncilo

rs.

-Inc

reas

ed C

S m

onito

ring

of t

he p

erfo

rman

ce o

f gov

t

(com

mun

e co

unci

ls)

-

Incr

ease

d c

oord

inat

ed a

ctio

n (a

dvo

cacy

, par

ticip

atio

n…)

amon

g ci

vil s

ocie

ty a

ctor

s in

sub

ject

s re

latin

g to

dem

ocra

cy

and

dec

entr

aliz

atio

n

Incr

ease

d g

over

nmen

t (i.

e. in

Com

mun

e C

ounc

ils) a

ccou

nt-

abili

ty, t

rans

par

ency

and

res

pon

sive

ness

.-m

echa

nism

s fo

r ob

tain

ing

citiz

en in

put

incr

ease

d/b

road

-en

ed (c

itize

n p

artic

ipat

ion

incr

ease

d)

-inc

reas

ed s

harin

g/re

leas

e/av

aila

bili

ty o

f inf

orm

atio

n to

ci

tizen

s-i

ncre

ased

num

ber

of d

ecis

ions

mad

e ar

e co

nsis

tent

with

th

e w

ishe

s of

(or

feed

bac

k fr

om) t

he c

ivil

soci

ety

sect

or.

Incr

ease

d g

over

nanc

e au

thor

ity t

rans

ferr

ed t

o lo

cal c

oun-

cils

.-

Dem

ocra

cy a

nd d

ecen

tral

izat

ion

pol

icy

inte

rven

tions

ad

voca

ted

by

loca

l gov

t/ c

itize

n’s

grou

ps/

CS

Os

app

rove

d

by

the

app

rop

riate

ad

min

istr

ativ

e ag

ency

or

legi

slat

ive

bod

y.

- C

omm

une

Cou

ncilo

rs s

eek,

hav

e an

d s

ucce

ssfu

lly m

an-

age

thei

r ow

n p

ublic

bud

gets

/don

or fu

ndin

g in

a t

rans

par

ent

man

ner.

- C

omm

une

Cou

ncilo

rs c

ond

uct

and

imp

lem

ent

loca

l p

artic

ipat

ory

pla

nnin

g ef

fort

s.-

Mec

hani

sms

in p

lace

to

reso

lve

confl

ict

in t

heir

com

-m

unes

Incr

ease

d c

ivic

ac

tion

Imp

rove

d p

oliti

cal

gove

rnan

ce (M

ore

effe

ctiv

e, in

dep

en-

den

t an

d r

epre

sent

a-tiv

e go

vern

men

t)

Imp

rove

d e

cono

mic

go

vern

ance

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-93-8

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-93-8

Exam

ples

of

resu

lts fr

amew

orks

: Civ

il Pa

rtic

ipat

ion

in P

olic

y M

akin

gIn

put

s

Out

put

sO

utco

mes

Imp

act

Ad

voca

cy E

xper

t Tr

aini

ng (A

ET)

con

-d

ucte

d

Ad

voca

cy N

ewsl

ette

r p

ublis

hed

Bas

elin

e su

rvey

con

duc

ted

Trai

ning

of T

rain

ers

(ToT

) on

gras

sroo

ts

advo

cacy

con

duc

ted

Sur

vey

on g

rass

root

s ad

voca

cy c

ase

stud

y an

d fo

cus

grou

p in

terv

iew

s co

n-d

ucte

d

Gra

ssro

ots

Ad

voca

cy c

onfe

renc

e he

ld

Ad

voca

cy H

and

boo

k w

idel

y d

isse

mi-

nate

d

Incr

ease

d a

dvo

cacy

kno

wle

dge

and

ski

lls o

f NG

Os,

CB

Os

in

man

agin

g ad

voca

cy c

amp

aign

s.

Imp

rove

d c

apac

ity o

f CB

O &

NG

O p

artn

ers

Incr

ease

d a

cces

s b

y N

GO

ad

voca

tes

to c

omm

unity

mob

ili-

zatio

n an

d p

artic

ipat

ion

met

hod

olog

ies.

Incr

ease

d #

of q

ualit

y IE

C m

ater

ials

for

par

tner

s an

d s

take

-ho

lder

s

Imp

rove

d c

oord

inat

ion

bet

wee

n co

mm

uniti

es,

NG

Os

and

CB

Os

to a

dvo

cate

the

gov

ernm

ent

rela

ted

to

hum

an r

ight

s vi

olat

ion

issu

es

Incr

ease

d n

umb

er o

f ad

voca

cy c

amp

aign

s at

the

na

tiona

l and

gra

ssro

ots

leve

l im

ple

men

ted

by

AE

T gr

adua

tes.

Incr

ease

d #

of N

GO

s, C

BO

s, a

nd v

illag

ers

par

tici-

pat

ing

in g

rass

root

s ad

voca

cy c

amp

aign

s

Incr

ease

d p

artic

ipat

ion

by

citiz

ens

in in

itiat

ing

and

im

ple

men

ting

advo

cacy

cam

pai

gns

Incr

ease

d g

rass

root

s ci

vic

par

ticip

atio

n in

pub

lic

pol

icy

mak

ing

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-113-10

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-113-10

Exam

ples

of

resu

lts fr

amew

orks

: Wom

en’s

lead

ersh

ip

Inp

uts

O

utp

uts

Out

com

esIm

pac

t

Wom

en le

ader

s se

nsiti

zed

to

cont

est

in

2007

gen

eral

ele

ctio

ns.

Offi

cial

s of

pol

itica

l par

ties

trai

ned

on

mai

nstr

eam

ing

wom

en in

pol

itica

l p

artie

s’ m

anag

emen

t an

d a

ctiv

ities

.

Can

did

ates

con

test

ing

for

civi

c an

d

par

liam

enta

ry s

eats

, sen

sitiz

ed o

n

mai

nstr

eam

ing

wom

en le

ader

s in

C

onst

ituen

cy D

evel

opm

ent

Fund

co

mm

ittee

s.

Trai

ning

and

Aw

aren

ess

rais

ing

cond

uct-

ed o

n w

ork

pla

ns fo

r C

DF

com

mitt

ees.

New

slet

ters

pro

duc

ed

Web

site

est

ablis

hed

A s

usta

inab

le t

ool f

or a

dvo

cacy

es

tab

lishe

d

Incr

ease

d k

now

led

ge a

nd u

nder

stan

din

g am

ong

wom

en o

n vo

ter

regi

stra

tion

and

how

to

par

ticip

ate

in t

he d

emoc

ratic

p

roce

ss.

Incr

ease

d c

apac

ity a

nd s

kill

of w

omen

to

advo

cate

for

thei

r rig

hts

and

issu

es

Incr

ease

d a

war

enes

s an

d u

nder

stan

din

g am

ong

pol

itica

l p

artie

s le

ader

s on

gen

der

issu

es in

clud

ing

the

imp

orta

nce

of in

clud

ing

wom

en le

ader

s in

Con

stitu

ency

Dev

elop

men

t Fu

nd C

omm

ittee

s.

Incr

ease

d c

apac

ity a

nd s

kill

of p

oliti

cal p

arty

lead

ers

to

und

erta

ke g

end

er m

ains

trea

min

g of

wom

en in

the

ir p

oliti

cal

par

ties

Incr

ease

d c

apac

ity a

nd s

kill

of C

DF

com

mitt

ee m

emb

ers

in

des

igni

ng w

ork

pla

ns.

Incr

ease

d n

umb

er o

f Mem

oran

dum

of U

nder

stan

din

g si

gned

bet

wee

n ou

r m

anag

emen

t co

mm

ittee

and

eac

h of

the

ind

ivid

ual c

and

idat

es t

o p

rom

ote

mai

nstr

eam

ing

of

youn

g w

omen

lead

ers.

Incr

ease

d n

etw

orki

ng c

omm

unic

atio

n am

ong

wom

en

inte

rest

ed in

the

pol

itica

l pro

cess

Incr

ease

d a

cces

s to

info

rmat

ion

abou

t p

oliti

cal i

ssue

s

effe

ctin

g w

omen

.

Incr

ease

d n

umb

er o

f wom

en p

artic

ipat

ing

in

gove

rnan

ce a

nd t

he p

oliti

cal p

roce

ss-

Incr

ease

d n

umb

er o

f wom

en r

egis

tere

d a

s vo

ters

-

Incr

ease

d n

umb

er o

f wom

en le

ader

s co

ntes

ting

civi

c se

ats

- In

crea

sed

num

ber

of w

omen

invo

lved

in p

oliti

cal

par

ties’

act

iviti

es.

- In

crea

sed

num

ber

of w

omen

on

the

C

onst

ituen

cy D

evel

opm

ent

Fund

Com

mitt

ees

Incr

ease

d g

over

nmen

t re

spon

sive

ness

- In

crea

sed

num

ber

of p

oliti

cal p

artie

s w

ith r

ules

an

d p

roce

dur

es t

o en

able

wom

en t

o p

artic

ipat

e in

the

gen

eral

ele

ctio

ns.

- A

“p

olic

y” t

o m

ains

trea

m w

omen

in C

DF

has

bee

n in

pla

ce b

y th

e na

tiona

l sec

reta

riat

of

CD

F.-

Em

pow

erm

ent

pro

gram

mes

for

wom

en

mai

nstr

eam

ed in

CD

F w

ork

pla

ns.

Wom

en m

ains

trea

med

in

gov

erna

nce

& p

oliti

cal

par

ties.

-Inc

reas

ed p

rop

ortio

n of

w

omen

vot

ing.

-Mor

e w

omen

ele

cted

as

coun

cilo

rs.

-Wom

en m

ains

trea

med

in

the

gov

erna

nce

of

CD

F

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-113-10

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-113-10

Exam

ples

of

resu

lts fr

amew

orks

: You

th

Inp

uts

O

utp

uts

Out

com

esIm

pac

t

Offi

ce e

stab

lishe

d

Sta

ff hi

red

Res

earc

h on

tar

gete

d y

outh

top

ics

cond

ucte

dR

esea

rch

Doc

umen

ted

Tool

s /

mat

eria

ls d

evel

oped

and

tes

ted

(G

uid

es, c

urric

ula…

)To

ols

/ m

ater

ials

dis

sem

inat

ed

Trai

ning

wor

ksho

ps

and

con

fere

nces

fa

cilit

ated

Tech

nica

l cou

ntry

sup

por

t an

d r

evie

w

mis

sion

s co

nduc

ted

.

Net

wor

ks e

stab

lishe

dIn

form

atio

n ex

chan

ge fa

cilit

ated

Onl

ine

reso

urce

s cr

eate

dR

esou

rce

Cen

ter

crea

ted

Info

rmat

ion

del

iver

y st

ruct

ured

Dev

elop

men

t p

roce

sses

dev

elop

ed.

Dev

elop

men

t p

roce

sses

con

duc

ted

Imp

rove

d k

now

led

ge a

nd u

nder

stan

din

g am

ong

yout

h on

:-

The

scal

e, e

ffect

and

form

s of

cor

rup

tion

affe

ctin

g yo

uth.

- H

ow t

o p

artic

ipat

e an

d in

fluen

ce g

over

nanc

e p

roce

sses

Incr

ease

d s

kill

/ ca

pac

ity o

f you

th t

o:-

Sp

earh

ead

the

ant

i-co

rrup

tion

cam

pai

gn-

Influ

ence

gov

erna

nce

pro

cess

es in

Afr

ica.

Incr

ease

d c

omm

unic

atio

n on

-

Afr

ican

gov

erna

nce

pro

cess

es

Imp

rove

d y

outh

lead

ersh

ip a

nd e

ngag

emen

t in

go

vern

ance

pro

cess

es:

- In

crea

sed

inci

den

ce o

f you

th a

nd y

outh

or

gani

zatio

ns in

vest

igat

ing

and

rep

ortin

g

on c

orru

ptio

n-

Incr

ease

d n

o. o

f you

th a

nd y

outh

org

aniz

atio

ns

advo

catin

g fo

r im

pro

ved

tra

nsp

aren

cy a

nd

acco

unta

bili

ty.

- In

crea

sed

you

th p

artic

ipat

ion

and

eng

agem

ent

at n

atio

nal A

fric

an P

eer

Rev

iew

and

in c

ount

ry

revi

ew p

roce

sses

- In

crea

sed

num

ber

of y

outh

par

ticip

atin

g as

w

atch

dog

s in

the

imp

lem

enta

tion

of

reco

mm

end

atio

ns fr

om t

he c

ount

ry r

evie

w

pro

cess

es

Incr

ease

d g

over

nmen

t tr

ansp

aren

cy a

nd

resp

onsi

vene

ss

- In

crea

sed

sha

ring

and

rel

ease

of i

nfor

mat

ion

to y

outh

- In

crea

sed

incl

usio

n of

you

th in

mee

tings

and

p

roce

sses

Hei

ghte

ned

deb

ate

on c

orru

ptio

n

Incr

ease

d y

outh

in

fluen

ce in

on

an

ti- c

orru

ptio

n an

d

gove

rnan

ce is

sues

Cor

rup

tion

red

uced

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-133-12

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-133-12

Exam

ples

of

resu

lts fr

amew

orks

: Eco

nom

ic P

olic

y R

esea

rch

Inst

itut

e

Inp

uts

O

utp

uts

Out

com

esIm

pac

t

Dat

a co

llect

ion

and

ana

lysi

s ca

rrie

d o

ut

Pol

icy

revi

ew c

arrie

d o

ut

Mee

tings

org

aniz

ed a

nd a

tten

ded

Rel

atio

nshi

ps

form

ed w

ith t

he

Exe

cutiv

e, P

arlia

men

t, C

itize

ns, C

ivil

Soc

iety

, go

vern

men

t p

aras

tata

ls,

pro

fess

iona

l ass

ocia

tions

and

priv

ate

sect

or

Res

earc

h an

d a

naly

sis

dis

sem

inat

ed

Trai

ning

of c

ivil

soci

ety

and

wan

anch

i or

gani

zed

and

car

ried

out

Res

earc

h an

d a

naly

sis

pub

lishe

d

Trai

ning

on

cons

titue

ncy

stra

tegi

c p

lan-

ning

car

ried

out

Col

lab

orat

ions

form

ed w

ith s

tate

and

no

n st

ate

acto

rs

Str

ateg

ic p

lans

dev

elop

ed b

y co

nstit

u-en

ts

Link

s fo

rmed

with

med

ia

Enh

ance

d r

elat

ions

hip

s b

etw

een

the

Exe

cutiv

e, P

arlia

men

t,

Citi

zens

, Civ

il S

ocie

ty, g

over

nmen

t p

aras

tata

ls a

nd p

rivat

e se

ctor

on

econ

omic

ref

orm

.

Incr

ease

d a

cces

s am

ong

key

stak

ehol

der

s to

rel

evan

t ec

o-no

mic

pol

icy

rese

arch

and

ana

lysi

s fin

din

gs.

Bet

ter

und

erst

and

ing

and

incr

ease

d k

now

led

ge w

ithin

the

p

ublic

, gov

ernm

ent,

par

asta

tals

, don

ors

and

priv

ate

sect

or

on:

- Th

e ec

onom

y-

Eco

nom

ic p

olic

y an

d r

egul

atio

ns is

sues

-

Fina

ncia

l sec

tors

Incr

ease

d c

apac

ity w

ithin

the

pub

lic, g

over

nmen

t,

par

asta

tals

, don

ors

and

priv

ate

sect

or o

n:-

Eco

nom

ic p

olic

y d

evel

opm

ent

- A

dvo

cacy

and

lob

byi

ng

- S

trat

egic

pla

nnin

g

Enh

ance

d p

artic

ipat

ion

in p

olic

y d

esig

n, a

mon

g ci

tizen

s an

d P

arlia

men

t

Incr

ease

d c

ivil

soci

ety

and

civ

il au

thor

ity jo

int

colla

bor

atio

n on

eco

nom

ic p

olic

y an

d r

egul

a-tio

n d

evel

opm

ent

(am

ong

Exe

cutiv

e, P

arlia

men

t,

Citi

zens

, Civ

il S

ocie

ty,

gove

rnm

ent

par

asta

tals

an

d p

rivat

e se

ctor

):-

Par

ticip

ator

y d

ialo

gue

und

erta

ken

amon

g th

e p

ublic

and

gov

ernm

ent

to fi

naliz

e d

raft

pol

icy

or

regu

latio

ns-

Plu

ralis

m o

f id

eas

enco

urag

ed

Info

rmed

pol

icy

deb

ate-

util

izin

g re

sear

ch a

ndd

ocum

ente

d k

now

led

ge (e

.g. u

sing

our

res

earc

hfin

din

gs)

Pol

icie

s p

asse

d w

hich

sub

stan

tially

…

- R

eflec

t ou

r re

sear

ch a

nd r

ecom

men

dat

ions

. -

Refl

ect

par

ticip

ator

y ci

vic

inp

ut

Enh

ance

d c

itize

n an

d p

arlia

men

tary

par

ticip

atio

n in

pol

icy

mon

itorin

g, e

valu

atio

n an

d o

vers

ight

Dev

elop

men

t of

eco

nom

ic r

efor

m:

- In

crea

sed

gov

ernm

ent

tran

spar

ency

- In

crea

sed

gov

ernm

ent

acco

unta

bili

ty-

Incr

ease

d g

over

nmen

t re

spon

sive

ness

- Im

pro

ved

ser

vice

del

iver

y b

y go

vern

men

t

Info

rmed

eco

nom

ic

pub

lic p

olic

ies

and

re

gula

tions

- (r

eflec

ting

our

rese

arch

and

ana

lysi

s an

d s

take

hold

er in

put

)

A w

ell m

anag

ed

econ

omy

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-133-12

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-133-12

Exam

ples

of

resu

lts fr

amew

orks

: Hum

an R

ight

s

Inp

uts

O

utp

uts

Out

com

esIm

pac

t

Dat

a co

llect

ion

and

act

ion

rese

arch

co

nduc

ted

on

per

tinen

t is

sues

affe

ctin

g ac

cess

to

just

ice

and

hum

an r

ight

s -

Issu

es id

entifi

ed.

Find

ings

doc

umen

ted

Find

ings

dis

sem

inat

ed t

o th

e p

ublic

, th

e m

edia

and

to

targ

eted

mem

ber

s of

G

over

nmen

t on

per

tinen

t is

sues

affe

ctin

g ac

cess

to

just

ice

and

hum

an r

ight

s

Lega

l aid

clin

ics

cond

ucte

d

Par

aleg

al a

nd a

dvo

cate

lega

l ad

vice

ses

-si

ons

cond

ucte

d

Qua

rter

ly t

alks

on

per

tinen

t hu

man

rig

hts

issu

es c

ond

ucte

d

Ad

voca

cy n

etw

orks

and

coa

litio

ns c

re-

ated

/ s

upp

orte

d

Pos

ition

pap

ers

dev

elop

ed

Trai

ning

pro

vid

ed t

o co

mm

uniti

es a

nd

coal

ition

s /

netw

orks

in h

ow t

o p

artic

i-p

ate

in t

he d

emoc

ratic

pro

cess

and

how

to

und

erta

ke a

dvo

cacy

Incr

ease

d a

cces

s to

info

rmat

ion

( res

earc

h/, a

naly

sis

/

find

ings

) on

per

tinen

t is

sues

affe

ctin

g ac

cess

to

just

ice

and

hu

man

rig

hts,

am

ong

the

med

ia, t

he p

ublic

and

G

over

nmen

t

Incr

ease

d a

war

enes

s am

ong

the

gene

ral p

ublic

on

thei

r hu

man

rig

hts

and

the

ir rig

hts

to a

cces

s ju

stic

e -

as a

fford

ed

to t

hem

by

law

Incr

ease

d a

war

enes

s am

ong

Gov

ernm

ent

offic

ials

on

criti

cal l

egal

issu

es a

ffect

ing

acce

ss t

o ju

stic

e, h

uman

rig

hts,

and

rul

e of

law

Incr

ease

d u

nder

stan

din

g am

ong

the

pub

lic a

nd

Gov

ernm

ent

on t

he c

urre

nt le

gal l

imita

tions

/ r

estr

ictio

ns

rele

vant

to

hum

an r

ight

s an

d a

cces

s to

just

ice

and

whe

re

the

law

nee

ds

to b

e b

road

ened

or

imp

rove

d

Incr

ease

d a

war

enes

s am

ong

the

med

ia, t

he p

ublic

, and

G

over

nmen

t on

any

hum

an r

ight

s vi

olat

ions

(i.e

. tor

ture

in

crim

inal

just

ice

syst

ems,

inac

cess

ibili

ty o

f jus

tice

etc)

Incr

ease

d k

now

led

ge a

nd s

kill

with

in c

omm

uniti

es t

o p

artic

ipat

e in

the

dem

ocra

tic p

roce

ss a

nd a

dvo

cate

for

thei

r rig

hts.

Incr

ease

d c

omm

unic

atio

n b

etw

een

the

citiz

enry

and

the

G

over

nmen

t on

per

tinen

t is

sues

affe

ctin

g ac

cess

to

just

ice

and

hum

an r

ight

s

Info

rmed

pub

lic d

ebat

e- u

tiliz

ing

rese

arch

and

d

ocum

ente

d k

now

led

ge (e

.g. u

sing

our

res

earc

h fin

din

gs) o

n p

ertin

ent

issu

es a

ffect

ing

acce

ss t

o ju

stic

e an

d h

uman

rig

hts

Incr

ease

d c

itize

n ac

tion

rega

rdin

g th

e le

gal p

ro-

cess

es a

nd p

ract

ices

of p

ublic

inst

itutio

ns-

Incr

ease

d in

cid

ence

of c

ivil

soci

ety

inve

stig

atin

g an

d d

ocum

entin

g hu

man

rig

hts

viol

atio

ns-

Incr

ease

d n

umb

er o

f per

sons

cla

imin

g th

eir

right

s-

Incr

ease

d c

oord

inat

ed a

ctio

n (a

dvo

cacy

, p

artic

ipat

ion.

.) am

ong

civi

l soc

iety

act

ors

in

sub

ject

s re

latin

g to

acc

ess

to ju

stic

e an

d

hum

an r

ight

s-

Incr

ease

d c

ivic

mon

itorin

g of

hum

an r

ight

s an

d

acce

ss t

o ju

stic

e

Pol

icie

s an

d r

egul

atio

ns p

asse

d w

hich

sub

stan

-tia

lly…

-

Refl

ect

our

rese

arch

and

rec

omm

end

atio

ns.

- R

eflec

t p

artic

ipat

ory

civi

c in

put

Enh

ance

d c

itize

n an

d p

arlia

men

tary

par

ticip

atio

n in

hum

an r

ight

s p

olic

y m

onito

ring,

eva

luat

ion

and

ov

ersi

ght

Incr

ease

d G

over

nmen

t tr

ansp

aren

cy ,

acco

unt-

abili

ty a

nd r

esp

onsi

vene

ss o

n p

ertin

ent

issu

es

affe

ctin

g ac

cess

to

just

ice

and

hum

an r

ight

s-

Incr

ease

d s

harin

g /

rele

ase

/ av

aila

bili

ty o

f in

form

atio

n to

citi

zens

-

Incr

ease

d e

nfor

cem

ent

of t

he la

w a

nd p

olic

ies

that

pro

mot

e ac

cess

to

just

ice

for

all

Red

uced

inci

den

ce o

f hu

man

rig

hts

viol

atio

ns

Incr

ease

d a

cces

s to

jus-

tice

by

all

incl

udin

g th

e p

oor

and

mar

gina

lized

Incr

ease

d r

esp

ect

for

the

rule

of l

aw

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-153-14

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-153-14

Exam

ples

of

resu

lts fr

amew

orks

: Lan

d Po

licy

Ref

orm

Inp

uts

O

utp

uts

Out

com

esIm

pac

t

Fund

s p

rovi

ded

Sta

ff hi

red

Logi

stic

s p

rovi

ded

Them

atic

Con

stitu

tiona

l & p

olic

y an

alys

is

carr

ied

out

:-

On

Fore

st d

wel

lers

sta

tus

- O

n B

asel

ine

min

ing

issu

es

Res

earc

h/ a

naly

sis

find

ings

pub

lishe

d &

d

isse

min

ated

Com

mun

ity m

eetin

gs fa

cilit

ated

:-

To id

entif

y N

RM

issu

es

Trai

ning

wor

ksho

ps

held

with

con

stitu

enci

es:

- on

how

to

cond

uct

pol

icy

advo

cacy

& p

olic

y m

onito

ring.

Com

mun

ity m

eetin

gs a

nd is

sue

bas

ed r

allie

s fa

cilit

ated

.

Med

ia d

ebat

es s

pon

sore

d o

n:-

dem

and

ing

acco

unta

bili

ty &

tran

spar

ency

on

mgm

t of

land

& n

atur

al r

esou

rces

.

Mee

tings

and

dia

logu

e se

ssio

ns w

ith

gove

rnm

ent

offic

ials

hel

d:

- M

eetin

gs w

ith p

arlia

men

tary

com

mitt

ee o

n la

nd, e

nviro

nmen

t an

d n

atur

al r

esou

rces

p

olic

ies

held

- M

eetin

g w

ith p

arlia

men

tary

pas

tora

lists

gro

up

held

-

Mee

tings

with

loca

l cou

ncils

on

issu

es

affe

ctin

g us

e of

tru

st-l

and

s he

ld

Lob

byi

ng c

ond

ucte

d o

n:-

on p

ro-p

oor

lega

l pro

visi

ons

on u

se

& e

xplo

itatio

n of

min

eral

s

Bia

nnua

l vis

its c

ond

ucte

d t

o m

onito

r an

d t

ract

p

rogr

ess

of im

ple

men

tatio

n of

pla

nned

ac

tiviti

esP

roje

ct e

valu

atio

ns c

ond

ucte

d

Com

mun

ity la

nd is

sues

iden

tified

Imp

rove

d a

war

enes

s am

ong

the

Pub

lic o

n:-

Pub

lic p

olic

y is

sues

rel

atin

g to

land

an

d n

atur

al r

esou

rce

man

agem

ent

- Th

eir

right

s fo

r ac

coun

tab

ility

and

tr

ansp

aren

cy o

n m

anag

emen

t of

p

ublic

land

s an

d n

atur

al r

esou

rces

Incr

ease

d s

kill

with

in la

nd d

epen

den

t co

mm

uniti

es t

o :

• P

artic

ipat

e in

pol

icy

form

ulat

ion

• A

dvo

cate

lob

by

and

influ

ence

p

olic

ies

& le

gisl

ativ

e fo

rmul

atio

n &

imp

lem

enta

tion

fram

ewor

ks•

Bui

ld c

oalit

ions

/ n

etw

orks

• M

onito

r p

olic

y

Enh

ance

d a

war

enes

s an

d u

nder

-st

and

ing

with

in G

over

nmen

t :

- am

ong

par

liam

enta

ry p

asto

ralis

t gr

oup

s on

com

mon

res

ourc

e p

olic

y is

sues

-

to s

upp

ort

pol

icie

s on

land

and

na

tura

l res

ourc

es

Incr

ease

d a

cces

s to

info

rmat

ion

and

ev

iden

ce b

ased

kno

wle

dge

with

in t

he

pub

lic a

nd G

ovt:

on

min

eral

use

and

ex

plo

itatio

n

Imp

rove

d u

nder

stan

din

g on

pol

i-ci

es a

ffect

ing

com

mun

al/c

omm

on

reso

urce

s

Incr

ease

d p

roac

tive

pub

lic p

artic

ipa-

tion/

(civ

ic a

ctio

n) in

env

ironm

enta

l pol

icy

dev

elop

men

t :

- In

crea

sed

use

of p

etiti

ons

and

m

emor

and

ums

- In

crea

sed

att

end

ance

at

mee

tings

-

Incr

ease

d s

pea

king

out

at

pub

lic

mee

tings

- In

crea

sed

use

of s

tron

g in

form

ed

netw

orks

/ c

oalit

ions

(to

lob

by

and

ad

voca

te fo

r p

ro-p

oor

land

and

nat

ural

re

sour

ce la

ws

& p

olic

y)

Incr

ease

d p

ublic

par

ticip

atio

n /

civi

c ac

-tio

n in

the

ove

rsig

ht o

f pub

lic in

stitu

tions

an

d m

gmt

of p

ublic

land

s an

d r

esou

rces

:-

Incr

ease

d p

artic

ipat

ion

in d

ecis

ion

mak

-in

g on

man

agem

ent

issu

es a

ffect

ing

fo

rest

dw

elle

rs-

Incr

ease

d p

artic

ipat

ion

of c

onst

ituen

cies

in

mon

itorin

g &

eva

luat

ion

of p

rogr

amm

e im

ple

men

tatio

n

Incr

ease

d g

over

nmen

t ac

coun

tab

ility

, tr

ansp

aren

cy a

nd p

ublic

res

pon

sive

-ne

ss r

egar

din

g m

gmt

of p

ublic

land

s an

d

reso

urce

s at

loca

l & n

atio

nal l

evel

s -

mec

hani

sms

for

obta

inin

g ci

tizen

inp

ut

incr

ease

d /

bro

aden

ed-

incr

ease

d s

harin

g /

rel

ease

/ a

vaila

bili

ty

of in

form

atio

n t

o ci

tizen

s -

Incr

ease

d n

umb

er o

f dec

isio

ns m

ade

that

are

con

sist

ent

with

the

wis

hes

of (o

r fe

edb

ack

form

) the

pub

lic.

- P

olic

y op

tions

/pro

pos

als

on is

sues

af

fect

ing

fore

st d

wel

lers

incl

uded

in c

on-

stitu

tiona

l & p

olic

y m

akin

g p

roce

ss

Land

and

nat

ural

res

ourc

e m

anag

emen

t im

pro

ved

-

Eq

uita

ble

acc

ess

to la

nd

and

nat

ural

res

ourc

es

- B

ette

r ut

iliza

tion

of la

nd &

na

tura

l res

ourc

es

Imp

rove

d g

over

nanc

e on

la

nd a

nd n

atur

al r

esou

rces

-

Nat

iona

l lan

d p

olic

y en

tren

ched

in t

he

cons

titut

ion

- M

ore

bill

s on

land

and

na

tura

l res

ourc

es p

asse

d

- R

educ

ed c

orru

ptio

n

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-153-14

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-153-14

Exam

ples

of

resu

lts fr

amew

orks

: Wor

kpla

ce P

rogr

ams

Inp

uts

Out

put

sO

utco

mes

Imp

act

Bus

ines

ses

/ ta

rget

wor

kpla

ces

iden

tified

.

Wor

kpla

ce H

IV C

omm

ittee

s es

tab

lishe

d

Par

tner

ship

est

ablis

hed

for

pee

r ed

ucat

or t

rain

ing.

Pee

r ed

ucat

ors

iden

tified

from

eac

h w

ork

pla

ce

Pee

r ed

ucat

or m

anua

l dev

elop

ed.

Pee

r ed

ucat

ors

trai

ned

.

Com

mun

icat

ion

mes

sage

s d

eliv

ered

by

pee

r m

ento

rs

Lay

coun

selin

g d

eliv

ered

by

pee

r m

ento

rs

Pee

r m

ento

rs m

ento

red

/ m

onito

red

VC

T m

obile

uni

ts o

per

atio

naliz

ed.

Par

tner

ship

est

ablis

hed

for

AR

T d

eliv

ery

Mon

itorin

g an

d e

valu

atio

n st

reng

then

ed

with

in B

CH

A

Incr

ease

d n

umb

er o

f pee

r ed

ucat

ors,

em

plo

yees

, and

em

plo

yers

with

accu

rate

kno

wle

dge

on

HIV

/AID

S,

pre

vent

ion,

VC

T an

d w

ork

pla

ce p

rogr

ams/

HIV

pol

icie

s,

Incr

ease

d n

umb

er o

f pee

r ed

ucat

ors,

em

plo

yees

, and

em

plo

yers

with

acc

urat

e kn

owle

dge

on

pos

itive

livi

ng p

ract

ices

and

A

RT

serv

ices

.

Incr

ease

d e

mp

ower

men

t (s

kills

, kno

wle

dge

, p

latf

orm

) of e

mp

loye

es t

o ad

voca

te o

n b

ehal

f of s

upp

ortiv

e w

orkp

lace

con

diti

ons

for

PLW

HA

.

Incr

ease

d n

umb

er o

f wor

kpla

ces

that

hav

e d

evel

oped

frie

ndly

and

non

dis

crim

inat

ory

wor

kpla

ce p

olic

ies

for

HIV

/AID

S

Incr

ease

d a

cces

s am

ong

emp

loye

es t

o m

obile

uni

t V

CT

serv

ices

.In

crea

sed

num

ber

of e

mp

loye

es a

nd e

mp

loy-

ers

test

ed

Incr

ease

d a

cces

s am

ong

emp

loye

es t

o m

obile

uni

t to

AR

T se

rvic

es.

Incr

ease

d n

umb

er o

f em

plo

yees

rec

eivi

ng

AR

T

Incr

ease

d p

rop

ortio

n of

wor

k p

lace

s im

ple

men

ting

qua

lity

HIV

/AID

S w

orkp

lace

pol

icie

s/ p

rogr

ams

(incr

ease

d

enga

gem

ent

by

emp

loye

rs)

Incr

ease

d p

rop

ortio

n of

wor

kers

who

kno

w t

heir

HIV

st

atus

Incr

ease

d p

rop

ortio

n of

wor

kers

pra

ctic

ing

pre

vent

ion

beh

avio

rs.

Incr

ease

d p

rop

ortio

n of

wor

kers

follo

win

g p

ositi

ve li

ving

p

ract

ices

and

rec

eivi

ng A

RV

s.

Red

uced

inci

den

ce o

f stig

ma

and

dis

crim

inat

ion

at t

he

wor

kpla

ce fo

r P

LWH

A

Red

uced

em

plo

yee

abse

ntee

ism

Red

uced

em

plo

yee

turn

over

Red

uced

HIV

tra

nsm

issi

on a

mon

g w

orke

rs a

nd

thei

r fa

mili

es

Imp

rove

d q

ualit

y of

life

am

ong

wor

kers

livi

ng w

ith

HIV

and

AID

S a

nd t

heir

fam

ilies

.

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-173-16

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-173-16

Exam

ples

of

resu

lts fr

amew

orks

: Bus

ines

s D

evel

opm

ent S

ervi

ces

Inp

uts

Out

put

sO

utco

mes

Imp

act

Res

ourc

es a

nd p

roce

sses

util

ized

to

pro

duc

ea

chan

ge/r

esul

t

Inp

uts/

Res

ourc

es D

eliv

ered

:•

Per

sonn

el P

rovi

ded

- N

RM

Sp

ecia

list,

Ent

erp

rise

Dev

elop

men

t S

taff

• M

ater

ials

and

Eq

uip

men

t •

Pro

gram

Fun

din

g

Pro

cess

es c

ond

ucte

d•

Nat

iona

l ass

essm

ent

of k

ey n

atur

al r

esou

rce

sub

-sec

-to

rs c

ond

ucte

d

• Fi

ndin

gs o

f nat

iona

l ass

essm

ent

shar

ed w

ith s

take

-ho

lder

s•

Fore

st a

nd w

ildlif

e su

b-s

ecto

rs id

entifi

ed a

s hi

ghly

th

reat

ened

•

Ten

Fore

st a

nd W

ildlif

e N

atur

e-b

ased

ent

erp

rises

p

riorit

ized

for

sup

por

t •

Par

ticip

ator

y Va

lue

chai

n an

alys

is o

f com

mer

cial

fore

st

and

wild

life

pro

duc

ts c

ond

ucte

d•

BD

S in

terv

entio

ns id

entifi

ed

• S

ervi

ce p

rovi

der

s tr

aine

d

• P

lans

for

serv

ice

pro

visi

on d

evel

oped

•

NB

Es

- se

rvic

e p

rovi

der

s lin

kage

foru

ms

orga

nize

d•

NB

Es

– p

rod

uct

mar

kets

link

age

foru

ms

orga

nize

d•

NB

Es-

NB

Es

netw

orks

initi

ated

Whi

ch le

ad t

o g

Sho

rt t

erm

cha

nge,

effe

cts

and

res

ults

• In

crea

sed

aw

aren

ess

on t

he s

tate

of t

he lo

cal

fore

stry

and

wild

life

reso

urce

bas

e b

y st

akeh

old

ers

• In

crea

sed

acc

ess

to B

DS

•

Imp

rove

d q

ualit

y of

BD

S

• In

crea

sed

und

erst

and

ing

of fo

rest

and

wild

life

pro

duc

t va

lue

chai

ns a

mon

g ac

tors

•

Incr

ease

d t

rans

actio

ns b

etw

een:

NB

Es

and

ser

vice

p

rovi

der

s; N

BE

s an

d e

nd-m

arke

ts•

Form

atio

n of

col

lect

ive

mar

ketin

g an

d p

rod

uctio

n N

BE

s fo

rum

Whi

ch le

ad t

o g

Inte

rmed

iate

cha

nge,

effe

cts,

res

ults

• Jo

int

reso

urce

man

agem

ent

pla

ns d

evel

oped

by

st

akeh

old

ers

• C

omm

unity

att

itud

e of

fore

stry

and

wild

life

reso

urce

s ch

ange

d p

ositi

vely

• C

o-m

anag

emen

t of

fore

stry

and

wild

life

reso

urce

s b

y th

e co

mm

unity

, gov

ernm

ent

and

ot

her

stak

ehol

der

s

• Im

pro

ved

per

form

ance

of N

BE

s

• B

ette

r re

latio

ns b

etw

een

acto

rs in

the

fore

st a

nd

wild

life

pro

duc

t va

lue

chai

n

• Im

pro

ved

pro

duc

tion

and

mar

ketin

g ef

ficie

ncie

s

Whi

ch le

ad t

o g

Long

ter

m c

hang

e, e

ffect

s, r

esul

ts

• R

educ

tion

in in

cid

ents

of f

ores

t d

estr

uctio

n an

d w

ildlif

e p

oach

ing

• In

crea

se in

qua

ntity

and

qua

lity

of

ecos

yste

m g

ood

s an

d s

ervi

ces

• E

nhan

ced

com

pet

itive

ness

of t

he

fore

st a

nd w

ildlif

e p

rod

uct

valu

e ch

ains

• In

crea

sed

hou

seho

ld in

com

e

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-173-16

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-173-16

Inputs / Processes (Results relating to resources & processes utilized):

1. Grants and materials provided.2. Information provided.3. Appropriate fora, committees, alliances and institutions established.4. Inclusion of key stakeholders in processes and groups.5. Key stakeholders trained/mentored.6. Curriculum/ best practices/lessons identified.7. Advocacy initiatives developed.

Leading to g

Outputs (Results relating to short term change, effects):

8. Knowledge and understanding increased.9. Demand for grassroots peace building increased.10. Capacity improved to address peace issues / improved conflict facilitation

& negotiation. 11. Stakeholders engaged & dialogue expanded.12. Improved planning/plans.13. Improved access to basic services.14. Improved safety of passage and expanded freedom of movement.15. Networks for peace supported (knowledge and access improved).16. Increased # of CS/CA partnerships.17. Laws and policies developed which promote stability.18. Governance capacity in (and linkages to) early warning systems

enhanced.19. Strengthened capacity of governance systems to better support and safe

guard peace building initiatives.

Leading to g

Outcomes (Intermediate change effects, and results sought):

20. Increased action by an enlarged constituency for demanding and managing grassroots peace building.

21. Consolidated and expanded grassroots peace achievements. 22. Expanded options to displaced communities.23. Control of illegal firearms and removal of landmines.24. Improved pastoral land use management.25. Trauma healing improved.26. Improved community stability.27. Laws and policies implemented which promote stability (e.g. land use

rights and management).28. Improved responsiveness of governance systems in preventing conflict

and safe guarding peace.

Leading to g

Impacts (Long term change, effects, and results sought):

29. Reduction in violent conflict in Southern Sudan.30. Increased legitimacy, transparency and accountability in governance.31. Increased civil society participation in political processes.32. Improved livelihoods (income, health and education).

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-193-18

C H A P T E R 3

Results based MER

C H A P T E R 3

Results based MER

3-193-18

Dev

elo

pm

ent

Imp

act

So

ught

: Fo

und

atio

n fo

r a

stab

le, p

eace

ful a

nd d

emo

crat

ic S

. Sud

an

esta

blis

hed

thr

oug

h in

clus

ion

and

par

tici

pat

ion

of

an e

mp

ow

ered

cit

izen

ry.

Res

ult

#1:

Res

tore

Co

mm

unit

y S

tab

ility

.R

esul

t #2

: E

mer

gen

ce o

f an

em

po

wer

ed

civi

l so

ciet

y.

Res

ult

#3:

Em

erg

ence

of

an a

cco

unta

ble

, tr

ansp

aren

t, &

leg

itim

ate

civi

l au

tho

rity

Res

ult

#4:

Imp

rove

d a

cces

s to

qua

lity

ind

epen

den

t in

form

atio

n to

p

rom

ote

pea

ce a

nd g

oo

d

go

vern

ance

.

2.1

Str

engt

hene

d c

ivic

aw

aren

ess

&

advo

cacy

to

dem

and

pea

ce,

pro

tect

hum

an r

ight

s &

ens

ure

civi

l lib

erty

.

3.1

Mor

e tr

ansp

aren

t &

acc

ount

able

go

vern

men

t in

stitu

tions

. 4.

1 E

nhan

ce fr

ee fl

ow o

f inf

orm

atio

n &

acc

ess

to in

form

atio

n.

2.2

Imp

rove

d p

oliti

cal e

qui

ty &

em

pow

erm

ent

of m

argi

naliz

ed

pop

ulat

ions

.

3.2

Imp

rove

CA

cap

acity

in p

eace

b

uild

ing

& c

onfli

ct r

esol

utio

n4.

2 In

crea

se q

ualit

y of

info

rmat

ion

1.1

Brin

g co

nstit

uenc

ies

toge

ther

to

pla

n &

imp

lem

ent

legi

timat

e st

abili

zatio

n ac

tiviti

es

1.2

Sup

por

t th

e es

tab

lishm

ent

of

criti

cal s

ervi

ces

to t

he

com

mun

ities

& im

pro

ve

pas

tora

l & o

ther

nat

ural

re-

sour

ce b

ased

live

lihoo

ds.

1.3

Incr

ease

cap

acity

to

reco

ncile

so

ciet

al c

onfli

ct w

ithin

an

inst

itutio

nal f

ram

ewor

k

2.3

Incr

ease

d p

artic

ipat

ion

of c

ivil

soci

ety

in t

he p

olic

y p

roce

ss &

ov

ersi

ght

of p

ublic

inst

itutio

ns

3.3

Str

engt

hen

Rul

e of

Law

, Acc

ess

to J

ustic

e &

Res

pec

t fo

r H

uman

R

ight

s

4.3

Pro

mot

e le

arni

ng &

bet

ter

pra

ctic

e

2.4

Incr

ease

d in

stitu

tiona

l & fi

nanc

ial

viab

ility

of C

SO

s

C H A P T E R 3

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3) otheR FoRMats oF ConCeptual Models

A results framework is just one way to diagram key aspects of your conceptual model there are many other ways. There is no one right way, just select the one that makes the most sense to your organization – the important thing is that you lay out the cause and effect linkage that you believe exists, and which you can influence.

UNDP / USAID (non health offices) often utilize a 4 level result frame:

Input Output Outcome Impact

World Bank and many health sector programs (including USAID) often use 5 levels:

Results Monitoring Goal

hOutcomes

hOutputs

hActivities

hInputs

Long-term, widespread improvement in society.

Intermediate effects of outputs on clients

Implementation Monitoring Products and services produced

Tasks personnel undertake to transform inputs to outputs

Financial, human, and material resources.

Foundations often use a Theory of Change Construct

C H A P T E R 3

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DFID/SIDA often use 4 levels for log frames (Goal, Purpose, Output, Activities)

Project Summary/ Framework

Objectively Verifiable Indicators

Means of Verification

Critical Assumptions

Goal: Long-term impact sought.

Purpose: Intermediate effects of outputs on clients. Over arching strategies (Outcomes)

Output: Means to achieve the purpose. Products and services produced

Activities: Key tasks undertaken to achieve an output.

Examplesofresultschains/conceptualmodels/logframeworksforspecificareasof advocacy programming follow:

Goal Civil service is conducted with accountability, transparency, and integrity.

Purpose To make civil service recruitment in Thermopolis free of corruption in three years

Outputs

1. Past and present corrupt practices researched and exposed

2. A civic reform campaign implemented against recruitment corruption

Activities 1. Past and present corrupt practices are researched and implemented1.1. Find and document past and present recruits taking civil service exams and

their exam results1.2. Get testimony of corruption from past and present bribe payers and receivers1.3. Get testimony of past (or present) civil servants about the system of corruption

2. A popular reform campaign is implemented against recruitment corruption2.1. Identify, recruit and obtain high level supporters of your reform effort2.2. Produce materials through street theatre, songs, public meetings etc) about

recruitment corruption and its harmful effects2.3. Inform relevant offices of the Civil Service of your intentions to campaign against

corruption in recruitment2.4. Build a pressure group for clean recruitment.

Adapted from the NGO Fighters Corruption Handbook. R. Halloway, Draft 2006

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Co

mp

aris

ons

Bet

wee

n Te

rmin

olo

gie

s o

f D

iffer

ent

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nor

Ag

enci

es f

or

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ults

/ L

og

ical

Fra

mew

ork

s C

ompi

led b

y Jim

Rug

h fo

r CAR

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tern

atio

nal a

nd In

terA

ction

’s Ev

alua

tion

Inte

rest

Gro

up

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e Im

pac

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nd O

utco

mes

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rmed

iate

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com

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rven

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ns

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ds-

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ighe

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nce

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put

s

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tabl

e has

bee

n re

ferre

d to

as “

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oset

ta S

tone

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ogica

l Fra

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orks

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AR

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pac

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uid

elin

es, O

ctob

er 1

999.

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ame

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AM

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hnol

ogie

s, In

c.3

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ults

Orie

nted

Ass

ista

nce

Sou

rceb

ook,

US

AID

, 199

8.4

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Log

ical

Fra

mew

ork

Ap

pro

ach

to p

ortf

olio

Des

ign,

Rev

iew

and

Eva

luat

ion

in A

.I.D

.: G

enes

is, I

mp

act,

Pro

ble

ms

and

Op

por

tuni

ties.

CD

IE, 1

987.

5 7

A G

uid

e to

Ap

pra

isal

, Des

ign,

Mon

itorin

g , M

anag

emen

t an

d Im

pac

t A

sses

smen

t of

Hea

lth &

Pop

ulat

ion

Pro

ject

s, O

DA

[now

DFI

D],

Oct

ober

199

56

Gui

de

for

the

use

of t

he L

ogic

al F

ram

ewor

k A

pp

roac

h in

the

Man

agem

ent

and

Eva

luat

ion

of C

IDA’

s In

tern

atio

nal P

roje

cts.

Eva

luat

ion

Div

isio

n.7

ZO

PP

in S

tep

s. 1

989.

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roje

ct C

ycle

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agem

ent:

Inte

grat

ed A

pp

roac

h an

d L

ogic

al F

ram

ewor

k, C

omm

issi

on o

f the

Eur

opea

n C

omm

uniti

es E

valu

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n U

nit

Met

hod

s an

d In

stru

men

ts fo

r P

roje

ct C

ycle

Man

agem

ent,

No.

1, F

ebru

ary

1993

9 P

roje

ct A

pp

rais

al a

nd t

he U

se o

f Pro

ject

Doc

umen

t Fo

rmat

s fo

r FA

O T

echn

ical

Coo

per

atio

n P

roje

cts.

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-Cou

rse

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ivity

: Rev

isio

n of

Pro

ject

For

mul

atio

n an

d A

ssig

ned

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din

g.

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taff

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elop

men

t G

roup

, Per

sonn

el D

ivis

ion,

Aug

ust

1992

10 U

ND

P P

olic

y an

d P

rogr

am M

anua

l11

The

Log

ical

Fra

mew

ork

Ap

pro

ach

(LFA

). H

and

boo

k fo

r O

bje

ctiv

es-o

rient

ed P

roje

ct P

lann

ing.

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roje

ct P

lann

ing

in U

NH

CR

: A P

ract

ical

Gui

de

on t

he U

se o

f Ob

ject

ives

, Out

put

s an

d In

dic

ator

s fo

r U

NH

CR

Sta

ff an

d Im

ple

men

ting

Par

tner

s. S

econ

d V

er. M

arch

200

2.13

Aus

AID

NG

O P

acka

ge o

f Inf

orm

atio

n, 1

998

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Additional Ideas:Information to further assist your organization

to develop a conceptual model

C H A P T E R 3

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4) ConCeptual Models: theoRy oF Change

What is a Theory of Change?A theory of change is an explanation of how an organization thinks social change is brought about. It describes a process of planned social change, from the assumptions that guide its design to the long term change it seeks to achieve. A theory of change often includes a reference to other actors working in parallel and complementary ways in order to achieve this change. This helps identify the long-term relationships needed with other actors in order to achieve the desired impact.Simply put, a theory of change is a ‘roadmap’ to get us from where we are now to where we want to be.

Importance in M&EAtheoryofchangeidentifiestheessentialpreconditionsnecessaryfortheintendedchangeto occur. These pre-conditions help the organization trace several ‘outcome pathways’ (visible and measurable short- and medium-term outcomes) that will lead to its long term impact. As a result, the organization is able to draw logical connections between activities and outcomes and to articulate what proposition and assumptions it is testing. This helps indevelopingaclearmonitoringandevaluationsystemthatspecifieswhatshouldbemea-sured when, how and by whom.

A theory of change also helps us understand the real difficulties of bringing about lasting social change. It forces the organization to think outside of itself and see itself as one actor in a wider activity ecosystem.

Developingagoodtheoryofchangeisnoeasytaskandrequiresthatorganizationsthinkand work differently from how they have done in the past. It might also clash with the pressure most organizations face from donors to think and plan in terms of short term projects using other operational planning tools like the logical framework.

Stages in developing a Theory of Change: •Identifyinglong-termgoalsandtheassumptionsbehindthem •Backwardsmappingandconnectingthepreconditionsorrequirementsnecessaryto achieve the goals. •Identifyingthenecessaryinterventionstoachievethedesiredchange. •Developingindicatorstomeasureyouroutcomestoassesstheperformanceof the initiative. •Writinganarrativetoexplainthelogicoftheinitiative.

Benefits of developing a Theory of Change:Oncecompleted,agoodTheoryofChangewillprovideanorganizationwith: •Aclearandtestablehypothesisabouthowchangewilloccurthatnotonlyallows you to be accountable for results, but also makes your results more credible because they were predicted to occur in a certain way •Avisualrepresentationofthechangeyouwanttoseeinyourtargetcommunityand how you expect it to come about •Ablueprintforevaluationwithmeasurableindicatorsofsuccessidentified

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•Anagreementamongstakeholdersaboutwhatdefinessuccessandwhatittakesto get there •Apowerfulcommunicationtooltocapturethecomplexityofyourinitiative

In addition, the organization can use the theory: •Asaframeworktocheckmilestonesandstayoncourse •Todocumentlessonslearnedaboutwhatreallyhappens •Tokeeptheprocessofimplementationandevaluationtransparent,soeveryone knows what is happening and why •Asabasisforreportstodonors,policymakers,boardsetc.

C H A P T E R 3

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C H A P T E R 3

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C H A P T E R 3

Results based MER

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VIS

ION

OF

SUC

CES

SIn

divi

dual

s , c

ivil

soci

ety

orga

niza

tions

, loc

al g

over

nmen

t and

her

rele

vant

pub

lic a

nd p

rivat

e se

ctor

or

deve

lopm

ent a

ctor

s ha

ve s

tren

gthe

ned

thei

r cap

aciti

es ,

coor

dina

te a

nd m

utip

ly th

eir e

ffort

s , b

ecom

ing

resp

onsi

ble

prot

agon

ist i

n co

nstr

uctin

g an

equ

itabl

e , s

usta

inab

le fu

ture

.

II) D

evel

opm

ent a

ctor

s as

sum

e th

eir r

oles

in

coor

dina

ted

actio

n le

ads

to a

n en

ablin

g en

viro

nmen

t an

d ac

hiev

emen

t of s

hare

d vi

sion

and

goa

ls.

III)

Inst

itutio

nal f

ram

ewor

ks e

xist

that

pro

mot

e pa

rtic

ipat

ion

assu

med

resp

onsi

bilit

y of

key

dev

elop

men

t act

ors

in th

e fo

rmul

atio

n an

d ap

plic

atio

n of

pub

lic p

olic

ies

that

favo

r the

eq

uita

ble

sust

aina

ble

deve

lopm

ent p

roce

ss.

I) C

ivil

soci

ety,

pub

lic a

nd p

rivat

e or

gani

zatio

ns d

efin

e th

eir n

eeds

and

put

thei

r pro

gram

mat

ic s

trat

egic

m

anag

emen

t and

net

wor

king

cap

aciti

es to

pra

ctic

e.

A)

Cap

acity

bui

ldin

g ap

proa

ches

are

des

igne

d to

incr

ease

ove

rall

prog

ram

mat

ic im

pact

.

1. A

hig

h qu

ality

mar

ket o

f ca

paci

ty b

uild

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serv

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prov

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s ha

s be

en

cons

olid

ated

.2.

Info

rmat

ion

exis

ts in

ad

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te fo

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s w

ith e

nd

user

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min

d.

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n en

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onfid

ence

ex

ists

that

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ives

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to

conv

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echa

nism

s

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rgan

izat

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hav

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chan

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ator

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them

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lly

carr

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h qu

ality

ca

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ty b

uild

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proc

ess.

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Dev

elop

men

t act

ors

prod

uce,

org

aniz

e an

d us

e hi

gh q

ualit

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form

atio

n, th

ereb

y im

prov

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the

qual

ity o

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ecis

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Spac

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ondi

tions

an

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echa

nism

s ex

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n eq

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inte

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s

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s in

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ct ta

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into

ac

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com

mon

go

od a

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rinci

ples

of

dem

ocra

cy e

quity

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d re

spec

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hani

sms

exis

t to

eval

uate

the

qual

ity o

f ser

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sta

nd p

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of

bene

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don

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ncia

l sus

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ning

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sem

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est p

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KK

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ign

and

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inal

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odel

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orks

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ship

Cre

ate

and

diss

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self-

eval

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n fr

eew

are M

ento

ring

and

acco

mpa

nim

ent p

rofe

ssor

ch

ange

age

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Lead

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ip

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g

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litat

e th

e co

nstr

uctio

n of

sha

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itoria

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tisec

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l vis

ion

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das

Doc

umen

t fra

min

g

KM &

KK

Prom

ote

lead

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ip a

mon

gst

loca

l ‘pr

ime

mov

ers’

Doc

umen

t and

dis

sem

inat

e su

cces

s st

orie

s

Pact

Lat

in A

mer

ica

Theo

ry o

f Cha

nge

KM&

KK =

Kn

owle

dge

M

anag

emen

t and

Know

ledg

e N

etw

orki

ng

C H A P T E R 3

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Logical Framework vs Theory of Change

Logical framework Theory of change

Graphically illustrates program components and creating one helps stakeholders to clearly iden-tify outcomes, outputs and activities

Links outcomes and activities to explain HOW and WHY the desired change is expected to come about.

Usually starts with what the organization is doing - i.e. program activities – and illustrates its components

Starts with outcomes and seeks to work backwards to identify ALL causal factors before deciding what programmatic approaches are needed. It allows for dialogue on what success looks like and the pathways to achieving suc-cess.

Takes a narrow practical look at the relationship between inputs and results.

Takes a wide view of a desired change, carefully probing the assumptions behind each step.

Connects programmatic activities to outcomes. Entails thinking through all the steps along a path towards a desired change, identifying pre-conditions that will enable (and possibly inhibit) each step.

Often presented as a table listing steps from input or resources through to the achievement of a desired program goal.

Often presented as a flow chart, listing activi-ties that will produce the desired changes and explaining why the activities are likely to work.

A logical model makes the work of looking at a variety of programs easier.

A theory of change helps us manage for effec-tiveness by providing an opportunity for learning and reflection every so often. The organization is constantly able to check if it is achieving results in line with the desired end.

Most useful when you want to:- Summarize inputs, outputs and outcomes of

a pre-defined project at a glance.- Manage the inputs and outputs of a project

Most useful when you want to:- Design a complex initiative and want to have a

rigorous plan for success.- Engage in dialogue and learning with

stakeholders.- Evaluate appropriate outcomes at the right

time and the right sequence- Explain why an initiative worked or did not

work, and what exactly went wrong.

Adapted from: http://www.theoryofchange.org/html/overview.html

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5) ConCeptual Models: logiCal FRaMewoRks

Definition A logical framework or logframe matrix is an analytical and management tool that consists of a series of activities with a causal relationship between each other. As a management toolitaimstopromotegoodprojectdesignbyclearlystatingthedefinedprojectlogicandcomponents. The logframe presents information about a project in a logical, systematic and concise way. It is presented in form of a 4 x4 matrix, with a hierarchy of objectives, indica-tors of performance, means of verifying the indicators, and important risks and assump-tions.

The matrix provides a summary of what the project aims to achieve and how, what the main assumptions are and a framework for developing the activity’s monitoring and evalu-ation system. Progression from one line to the next is based on “if/and/then” logic: e.g. if the activity in the lowest line takes place and the assumptions hold true (or the risks are not realized) then the output in the next line can be achieved. Below is a basic logframe outline.

While the Logical Framework Approach (LFA) is a project design methodology which is a rigorous process that involves situational analysis, stakeholder analysis and the problem analysis,thelogicalframeworkisaspecifictoolwhichoutlinesseveralspecificdimensionsof the project, including objectives, purpose, results and activities, and indicators for each of these dimensions. The LFA process is used to develop the content of the logframe. While log frames are primarily the same across organisations, different organisations and donors use different terminology.

Logframes can be developed at different levels – i.e. at project, program and organizational level.Inordertoensurethatlogframesatdifferentlevelsfittogether,itiscrucialthattheconceptsanddefinitionsofthevariouselementsareusedinaconsistentandstandardizedmanner.Thismeansthatan“output”alwaysreferstoatangible/intangibleresult;a“pur-pose” to the utilization of such results by recipients outside the direct management control, and so on. Differences between the logframes at the various levels refer only to the number of and the degree of details contained in the cells.

Advantages of Logframes •Putstogetherallthekeycomponentsofaproject(thisisparticularlyusefulfor management purposes) •Itpresentstheminasystematic,conciseandcoherentway,thusclarifyingand exposing the logic of how the project is expected to work •Itseparatesoutthevariouslevelsinthehierarchyofobjectives,helpingtoensure that inputs and outputs are not confused with each other or with objectives and that wider ranging objectives are not overlooked •Itclarifiestherelationshipswhichunderliejudgmentsaboutlikelyefficiencyand effectiveness of projects •Itidentifiesthemainfactorsrelatedtothesuccessoftheproject •Itprovidesabasisformonitoringandevaluationbyidentifyingindicatorsof success,andmeansofquantificationorassessment •Itencouragesamultidisciplinaryapproachtoprojectpreparationandsupervision.

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Disadvantages of Logframes •Logframesarenotabletorepresentmultipleparallelprocesses,asdistinctfroma single process e.g. what people are doing at multiple project locations, within a single national project •Logframesaren’tabletorepresentinteractionsbetweenmultipleeventsatthesame level of a Logical framework. e.g. How different project outputs (manuals, training events, newsletters, websites, etc) feed into each other •Logframesconcealthedifferencesininterestsofthevariousactorsorstakeholders in a project hence ignoring potential areas of conflict that may jeopardize the success of a project •Logframesallowlittleroomforflexibilityanddynamismassumingthatallproject contingencies can be foreseen from the start and that there will be a predictable, linear, logical progression from activities to outputs to purpose to the goal. However, this is not always the case especially in process approaches, (Pasteur K & Scott-villiers p, 200)

Basic Log Frame Outline (Heirarchy of Objectives)

Narrative Summary

Objectively Verifiable Indicators (OVIs)

Means of Verification (MOV)

Assumptions (External factors)

Direct or indirect measures that will verify to what extent the objectives have been fulfilled.

Source of the information for the measurements or verification specified in the indicators column

These are important events, conditions, or decisions which are necessarily outside the control of the project, but which must remain favorable for the project objective to be attained

Goal – Long term impact sought/overall vision

Qualitative/quantita-tive evidence to judge achievement of the goal

Specific sources of data to quantify or assess indicators of the goal (should be cost effective)

External factor necessary to sustain the objectives in the long term

Purpose – Intended immediate impact of the project

Qualitative/quantita-tive evidence to judge achievement of the purpose

Specific sources of data to quantify or assess indicators of the purpose (should be cost effective)

(Purpose to goal) External factors necessary for project purpose to contribute to the achievement of the project goal

Outputs Refers to tangible/intangible result(s) expected from the project to achieve the purpose

Qualitative/quantita-tive evidence to judge achievement of the outputs

Specific sources of data to quantify or assess indicators of the outputs (should be cost effective)

(Output to purpose) External factors which if present can restrict progress of outputs to achieve project purpose

Activities Defines the actions needed to accomplish each output of the project (These are things that the project can control)

Inputs: Include a summary of the project budget

(Activity to output)External factors which if pres-ent can restrict progress from activities to achieve outputs

Adopted from DFID’s Guidance on Humanitarian Assistance,” May 1997

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6) ConCeptual Models: Results FRaMewoRk

How to Write a Results Statement1. Review the precise wording and intention of the activities, objectives, and project hypothesis. What exactly do they say? Sometimes objectives and results are so broadly stated it is difficult to identify the right indicators. Instead, specify those aspects believed to make the greatest difference to improve performance. Avoid overly broad results statements. For example,ratherthanusingabroadstatementlike,“Reducedstigma and discrimination in xx community,” clarify those aspects that program activities actuallyemphasizesuchas,“Fewerincidencesofstigmaanddiscriminationrequiring documentation of human rights abuses of persons living with HIV & AIDS (PLWHAs) in xx community.”

2. Clarify what type of change is implied. Because a result is a describable or measurable change, you need to be clear about what type of change is implied. What is expected to change?Isitasituation,acondition,thelevelofknowledge,attitude,abehavior?Chang-ing a country’s law about discrimination toward PLWHAs is very different from changing PLWHAs’ awareness of their rights. And that is different from the amount of stigma and

discriminationthatPLWHAsreceive.Eachtypeofchangeismeasuredbydifferent types of indicators.

3. Clarify whether the change being sought is an absolute change, a relative change, or no change.•Absolutechangesinvolvethecreationorintroductionofsomethingnew.•Relativechangesinvolveincreases,decreases,improvements, strengthening, or weakening in something that currently exists, but at a higher or lower level than is considered optimum.•Nochangeinvolvesthemaintenance,protection,orpreservationof somethingthatisconsideredfineasis.

4. Identify precisely the specific target for change. Be clear about where change should appear. Is change expected to occur among individuals, families,groups,communities,regions?Clearly,achangeinbehavioralpracticesofthegeneralpopulationwillbequitedifferentthanforapar-ticular sector of the community, such as youth. This is known as identify-ingthe“unitofanalysis”fortheindicators.Whoorwhatarethespecifictargets for the change? If individuals, which individuals?

5. Determine what changes are reasonable to expect in relation to the project objectives and timeline. Before appropriate statements can be developed, it is necessary to be clear about the expected relationship between activities and their intended outcomes over a spe-cifictimeframe,inordertounderstandexactlywhatchangesarereasonabletoexpect.

If you still need help in clarifying results, try answering (in point form) the following questions: 1. Specifically,who(people)orwhat(environment)willbenefitfromtheresult? 2. Specifically,whatarethebenefits? 3. What changes would have occurred if this result is achieved (what differences would you be able to observe)? 4. How do activities contribute to achieving results?

Questions to ask when writing results statements • Do the results reflect the highest desired achievements of the program that you can realistically be held accountable for delivering? • Are the results realistic for the program to achieve during its lifetime? • Are there any results that are unnecessary in terms of achieving the program purpose? • Is there a set of practical strategies and actions that can be carried out to achieve each key result? • Do the results lend themselves to being a clear and simple way of explaining what the project is all about? • Are the results understandable to project stakeholders and expressed as plainly and -succinctly as possible?

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7) the Role oF assuMptions

Resultsframeworks/conceptualmodelsarebuiltonacoresetofcritical assumptions. Criticalassumptionsare: - …those key things we assume will or will not take place that are likely to affect results.Example: The Government will make available the appropriate medications (or home based care kits) in sufficient quantities. …propositions that we take for granted, or we believe to be true – or we believe are very likely to be true, that affect results.Some examples might be: – A partner will provide a critical referral service – Enough people will be interested in volunteering in communities that we will have a sufficient workforce to reach all the OVC or PLWHA

Pickupanyprojectmonitoringplanandyouwillusuallyfindanassumptionlist.Whileit is standard practice, there is often nothing intrinsically useful about having a “list of as-sumptions” Often the really important program assumptions (those underlying the hypoth-esis of the program or the budget) are not even listed… – Eg.“Therewillbealowturnoverofvolunteers”Foraprogramthatplanstooperate with a primarily volunteer workforce, they may assume (and budget based on this assumption) low volunteer turnover but may never consider if this is in reality, true or not true.

We can get off track in our planning, budgeting and problem solving if we have don’t list our assumptions or have assumptions that are wrong – We need to deeply think about those things we are “assuming” as they can affect the results of the program – We need to write down our really important assumptions – We need to test our assumptions to be sure that our assumptions are based in reality.

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aCtivity #3a woRksheet Refining results statements and frameworks

Put the following results statements in the correct results level categories:

Example:

Improved knowledge and understanding of rights of HIV positive citizens / role of govern-ment;GoodGovernanceStrengthened;Advocacy campaigns undertaken;Citizensdemandaccountability / rights. (See answer in chart.) 1. Increased number of women running for political office (local, regional and national levels);Knowledge and understanding of political systems improved among women; Training conducted for women on how to exercise ones right to vote;Improved democracy (representation).

2. GoodGovernanceStrengthened.(effectivecivicparticipation);Communityreflective position papers drafted;Improved ability of communities to advocate for position papers /policy reform;Policy/Legislation drafted reflecting public input.

INPUTS OUTPUTS OUTCOMES IMPACTS

Example:Advocacy campaigns undertaken.

Example:Improved knowledge and understanding of rights of HIV positive citizens / role of government.

Example:Citizens demand accountability / rights.

Example:Good Governance Strengthened.

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aCtivity # 3C woRksheet

What are the assumptions behind your program?AssumptiontestingisoneofthekeypartsofimplementingaqualityMERprogram. This information can dramatically influence our development philosophy and how we do business.

Our Assumptions for this program are:

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• How implementation planning is related to monitoring

• How to write quality goal objective and activity statements

In this chapter, readers will complete the following tasks in building

their MER systems:

• Develop an implementation plan for your program

Once you have selected a program of work, and you have a conceptual model /results framework, you need to complete an implementation plan that lays out your activities over a time frame and refines results particularly anticipated at the input and output levels. While you may have included an implementation plan in your proposal, this is the time to finalize it reflecting the grant negotiations and final award (modify as per the KCSSP docu-ment proposed). This is also a time to ensure you have written high-quality goal and objec-tive statements. The clearer these statements are, the easier it will be to select appropriate indicators for specific programs. Goals and objectives reflect results statements but are more specific and detailed, as they present the strategy you have selected for attaining results.

An implementation plan is a key tool for monitoring program progress as it allows an or-ganization to compare what it planned to do over a given time period and compare this to what was actually done in the same time period. When paired with a budget and updated financial information (comparing what an organization planned to spend versus what it actually spent) the implementation plan becomes a critical monitoring tool to track the efficiency of an organization. 1) Hints For Writing Quality goals

• Present the desired outcomes, accomplishments, results, or purposes sought (but not the process!). Capture broad changes in conditions, answering the “so what?” question (So…we trained 100 people and increased their knowledge but did or did they not change their behavior?). • Goals reflect behavior, attitude, or economic change and show how activities contribute toward a larger development impact. They usually reflect a result achieved in an intermediate time period (2–5 years).

To write a goal statement, review your results frameworks at the outcome and impact lev-els, then mentally picture what you want specifically to accomplish in a particular program or period of time related to those results and say:

(We want) to ……………………… the ……………. ……….….….of/among/ (action verb, like improve, increase,) (what behavior/practice/attitude or economic change is sought, though reduce, etc. sometimes just the knowledge, capacity or access change is sought )

by……………..………….................... (whom or where)

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For example: To ensure the appropriate management of public budgets by City CouncillorsOrTo ensure the Freedom of Information Act is passed by ParliamentOrTo increase the voice for sound governance by civil society actors in Nigeria

Goals should not be a restatement of the development objective or impact-level results, but should present more detail in what you plan to accomplish under a specific program with-out presenting information on how you will accomplish it. Do not present your process/methods in a goal statement.

NO YES

Improved Economic Governance To ensure appropriate management of public budgets by

City Councilors

Freedom of the Press To ensure the Freedom of information Act is passed by Parliament

2) Hints For Writing Quality objectives

Objectives reflect what you hope to produce by undertaking a specific activity. For example: you decide you want to train people (the activity). The objective should relate to the knowledge or skills you seek to increase, and should be linked directly to the goals (they are the strategies you will un-dertake to achieve your goals). Objectives usually reflect a result achieved in a relatively short time period (0–2 years) and often relate to your anticipated output level results.

Remember that all objectives should be SMART: • Specific: The objective states a specific output to be accomplished—in numbers, percentages, frequency, reach, scientific outcome. The object is defined. • Measurable: The objective can be measured and the measurement source is identified. • Achievable: The objective or expectation of what will be accomplished is realistic given the time period, working conditions, resources, etc. • Relevant: The output of the objective supports the goals sought in the project. • Time-bound: The objective clearly states when the objective will be accomplished.

To write an objective, review your goal statement and results frameworks at the input and output levels, then mentally picture what you need to do/accomplish to achieve your goal and say:

(I want) to …………………….. the…………..…………….…. (direction of change) (what will be changed) in/of………………………….... by/in….……………..… …………... (target area of change) (results to be achieved)

By …………... …………... (as measured by ………………………… ) (time frame) (how measured)

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Forexampleifourgoalwas:To ensure appropriate management of public budgets by City Councilors

Then one of our objectives might be…

To increase (the) capacity of 25 City Councilors in financial management and economic governance, by 75% by December 2009 (as measured by a pre and post test).

Another way to write objectives is to review your goal statement and results frameworks atthe input and output levels, then mentally picture what you need to do/accomplish toachieve your goal and say:

(I want) to …………………….………….… to………………………… (action taken) (object of action)

to ………………………….… by ………………………... (to whom/recipient) (by when)

(as measured by ………………………….. ) (how measured)

ExampleTo provide four workshops (action taken) on how to manage public funds (object ofaction) to 150 City Councilors (to whom/recipient) by December 30, 2009 (bywhen) as measured by attendance registers (how measured).

3) Hints For HoW to best capture your activities

Activities listed in an implementation plan need to be written as specific and precise actions or events that explain the exact parameters of your work.

NO! YES!

Conduct Advocacy

Campaign on Children’s

Rights

Activity Area: Advocacy Campaign on Children’s Rights

Key Sub- Activities

a. Conduct policy research to identify various legislative

frameworks used in Africa to protect the rights of children

b. Conduct a needs assessment at the community level

to determine specific rights issues/ risks in country

c. Identify key stakeholders

d. Establish coalitions and networks

e. Conduct workshops / meetings to develop draft policy

f. Vet draft policy with key stakeholders and community members

g. Submit draft legislation

h. Lobby key legislature etc

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Implementation FormatThere are many ways to format an implementation plan / work plan but the critical things that need to be included are: • Your goal • Your objectives • The key activities and sub activities • The dates (by calendar week) of when the activities will start and conclude • The activity budget (anticipated) • The individual responsible for ensuring the activity takes place.

4) results FrameWorks and implementation planning

IMPACT (VISION)

OUTCOMES

OUTPUTS

INPUTS/ PROCESSES

GOAL

OBJECTIVES

ACTIVITIES

MISSION

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lete

d. B

e as

exa

ct a

s p

ossi

ble

.Id

entif

y w

ho is

tak

ing

the

lead

on

com

ple

ting

or fo

llow

ing

the

activ

ity. I

s it

exec

utiv

e st

aff,

a co

nsul

tant

, a p

artn

er, o

r so

meo

ne e

lse?

1–1:

Ap

ril 2

004

– Ju

ly 2

004.

1–2:

May

200

4 –

July

200

41–

3: M

ay 2

004

– A

ug. 2

004

PE

RS

ON

/PA

RT

NE

R R

ES

PO

NS

IBLE

List

the

res

ults

you

will

brin

g ab

out

once

the

act

ivity

is c

omp

lete

d, (

i.e.,

in-

form

atio

n, p

rod

ucts

, or

resu

lts p

rod

uced

tha

t ar

e at

trib

utab

le t

o yo

ur e

ffort

s.)

Nor

mal

ly, t

hese

rel

ate

to y

our

inp

ut a

nd o

utp

ut le

vel r

esul

ts.

1–1:

Exe

cutiv

e st

aff

1–2:

Man

agem

ent

team

1–3:

Pub

lic r

elat

ions

con

sulta

nt

RE

SU

LTS

AN

TIC

IPAT

ED

(TA

RG

ET

INP

UT

S/O

UT

PU

TS

)B

e as

exa

ct a

s p

ossi

ble

and

use

num

ber

s. If

thi

s ac

tivity

has

to

do

with

tr

aini

ng, s

ervi

ces

offe

red

, or

num

ber

of p

atie

nts

serv

ed, b

eex

act

as t

o ho

w m

any

peo

ple

you

pla

n to

tra

in, h

ow m

any

peo

ple

will

re-

ceiv

e se

rvic

es, o

r ho

w m

any

pro

gram

s/se

rvic

es y

ou p

lan

to o

ffer.

1–1:

One

com

mitt

ee e

stab

lishe

d; m

anag

emen

t ca

pac

ity im

pro

ved

1–

2: S

tand

ard

s p

ublis

hed

; inc

reas

ed o

vers

ight

cap

acity

/qua

lity

defi

ned

1–3:

One

str

ateg

y d

evel

oped

. In

form

atio

n m

ater

ials

and

med

ia a

ctiv

ities

dev

elop

ed a

nd d

istr

ibut

ed; i

n-cr

ease

d k

now

led

ge o

n st

and

ard

s of

car

e am

ong

pro

fess

iona

ls

BU

DG

ET

Pul

ling

the

dat

a fr

om y

our

final

ized

bud

get,

est

imat

e th

e co

st fo

r th

e ac

tivity

or

the

rel

ated

ser

ies

of a

ctiv

ities

. The

bud

get

can

eith

er b

e in

loca

l cur

renc

y or

U.S

. dol

lars

.

1–1:

thr

ough

1–3

: $30

,000

US

D

CO

MM

EN

TS

List

any

oth

er in

form

atio

n th

at is

ess

entia

l to

und

erst

and

ing

the

info

rmat

ion

in t

he p

lan.

Som

e ex

amp

les

mig

ht b

e ge

ogra

phi

c ar

ea o

f cov

erag

e, m

ore

det

ail o

n m

ater

ials

to

be

pur

chas

ed, d

evel

oped

, or

dis

trib

uted

, etc

.

1–1:

Exe

cutiv

e st

aff w

ill e

nsur

e m

emb

er o

rgan

izat

ions

from

eac

h p

rovi

nce

are

rep

rese

nted

on

the

man

agem

ent

com

mitt

ee.

C H A P T E R 4


C H A P T E R 4


4-74-6

C H A P T E R 4


C H A P T E R 4


4-74-6

imp

lem

en

tat

ion p

lan e

xa

mp

le #

2P

RO

GR

AM

NA

ME

/OR

GA

NIZ

ATIO

N N

AM

E: H

IV/A

IDS

PA

LLIA

TIV

E C

AR

E A

SS

OC

IAT

ION

GR

AN

T G

OA

L #1

: IM

PR

OV

E T

HE

STA

ND

AR

DS

OF

QU

ALI

TY

PA

LLIA

TIV

E C

AR

E P

RA

CT

ICE

AM

ON

G P

ALL

IAT

IVE

CA

RE

AS

SO

CIA

TIO

N M

EM

BE

RS

.

OB

JEC

TIV

E #

1: IN

CR

EA

SE

TH

E C

APA

CIT

Y IN

OV

ER

SIG

HT,

MA

NA

GE

ME

NT,

AN

D A

DV

OC

AC

Y, O

F T

HE

NAT

ION

AL

LEV

EL

BO

DY

OF

TH

E P

ALL

IAT

IVE

CA

RE

AS

SO

CIA

TIO

N B

Y 1

2/06

(AS

ME

AS

UR

ED

B

Y M

EM

BE

RS

’ PE

RC

EP

TIO

NS

).

KE

Y A

CT

IVIT

IES

TAR

GE

TB

EN

EFI

CIA

RIE

ST

IME

FR

AM

EE

ND

ING

ON

PE

RS

ON

/PA

RT

NE

R

RE

SP

ON

SIB

LE

RE

SU

LTS

AN

TIC

IPAT

ED

(TA

RG

ET

INP

UT

/OU

TP

UT

S)

BU

DG

ET

CO

MM

EN

TS

1–3:

Eq

uip

nat

iona

l offi

ce.

Nat

iona

l Hos

pic

e P

allia

tive

Car

eA

ssoc

iatio

n an

d m

emb

eror

gani

zatio

ns; p

allia

tive

care

pro

fess

iona

ls

Ap

ril 2

004

Sep

t. 2

004

Man

agem

ent

team

Incr

ease

d n

etw

orki

ng/a

dm

inis

trat

ion

cap

acity

$15,

000

1–4:

Rec

ruit

mem

ber

s.A

pril

200

4O

ngoi

ngM

anag

emen

t te

amTe

n ne

w m

emb

ers

1–5:

Dev

elop

sta

ndar

ds

for

pal

liativ

e ca

re

good

gov

erna

nce

and

man

agem

ent.

May

200

4Ju

ly 2

004

Man

agem

ent

team

Sta

ndar

ds

pub

lishe

d; i

ncre

ased

ove

rsig

ht

cap

acity

/qua

lity

defi

ned

1–6:

Est

ablis

h p

olic

ies

and

pro

ced

ures

fo

r ho

spic

e m

anag

emen

t an

d g

ood

go

vern

ance

.

Ap

ril 2

004

Dec

. 200

4M

anag

emen

t te

amP

olic

ies

and

pro

ced

ures

pub

lishe

d; i

ncre

ased

ov

ersi

ght

cap

acity

/qua

lity

defi

ned

1–7:

Est

ablis

h ac

cred

itatio

n p

rogr

am.

Ap

ril 2

004

Aug

. 200

4M

anag

emen

t te

amA

ccre

dita

tion

pro

gram

dev

elop

ed; i

ncre

ased

ov

ersi

ght

cap

acity

/qua

lity

defi

ned

$5,0

00

1–8:

Con

duc

t ac

cred

itatio

n of

mem

ber

ho

spic

es.

Aug

. 200

4M

arch

200

5M

anag

emen

t te

amTe

n ho

spic

es fu

lly a

ccre

dite

d; 4

2 in

pro

cess

ev

alua

ted

1–9:

Dev

elop

com

mun

icat

ion

stra

tegy

.M

ay 2

004

Aug

. 200

4P

ublic

rel

atio

nsco

nsul

tant

One

str

ateg

y d

evel

oped

; inf

orm

atio

n m

ater

ials

an

d m

edia

act

iviti

es d

evel

oped

; kno

wle

dge

am

ong

pro

fess

iona

ls in

crea

sed

$10,

000

1–10

: Pro

mot

e ac

cess

to

esse

ntia

l p

allia

tive

care

dru

gs in

clud

ing

mor

phi

ne.

Pat

ient

s, m

emb

ers,

pat

ient

s, p

rovi

der

s,go

vern

men

t

July

200

4O

ngoi

ngM

anag

emen

t te

amA

cces

s to

ap

pro

pria

te d

rugs

imp

rove

d

1–11

: Lia

ise

with

key

DO

H o

ffici

als

at

natio

nal a

nd p

rovi

ncia

l lev

el.

Ong

oing

thr

ough

out

gran

tH

PC

AK

now

led

ge a

nd u

nder

stan

din

g of

pal

liativ

e ca

re is

sues

incr

ease

d

1–12

: Rai

se a

war

enes

s am

ong

co

mm

unity

mem

ber

s an

d h

ealth

p

rofe

ssio

nals

in r

esp

ect

of p

allia

tive

care

.

Com

mun

ity m

emb

ers

and

he

alth

car

e p

rofe

ssio

nals

.O

ngoi

ng t

hrou

ghou

t gr

ant

HP

CA

Kno

wle

dge

and

und

erst

and

ing

of p

allia

tive

care

issu

es in

crea

sed

$8,0

00

C H A P T E R 4


C H A P T E R 4


4-74-6

C H A P T E R 4


C H A P T E R 4


4-74-6

ac

tiv

ity #

4a W

or

ks

He

et: d

ev

elo

pin

g a

n im

ple

me

nta

tio

n p

lan

W

hat’s

wro

ng w

ith

this

impl

emen

tati

on p

lan?

EX

AM

PLE

: Im

ple

men

tati

on/

Wo

rk p

lan

Go

al #

1: T

o im

pro

ve t

he g

ove

rnan

ce a

nd m

anag

emen

t o

f w

ildlif

e re

sour

ces

in K

enya

Ob

ject

ive

#1: T

o in

flue

nce

the

go

vern

men

t to

am

end

the

Wild

life

Act

and

dev

elo

p p

olic

ies

that

will

ens

ure

mo

re d

evo

luti

on

of

man

agem

ent

auth

ori

ty t

o t

he c

om

mun

ity

and

land

ow

ners

by

Dec

emb

er 2

007.

Act

ivit

ies/

Sub

act

ivit

ies

Qua

rter

Qua

rter

Janu

ary

Feb

ruar

yM

arch

Ap

ril

May

June

1 2

34

12

34

12

34

12

34

12

34

12

34

Act

ivity

Are

a: P

olic

y is

sue

iden

tifica

tion

A

ctiv

ity B

udge

t: U

S $

1000

Sub

Act

ivity

Ind

ivid

ual

Res

pon

sib

le

1. C

ond

uct

cons

ulta

tions

with

rel

evan

t st

akeh

old

-er

s to

iden

tify

spec

ific

pol

icy

gap

s, s

tren

gths

and

w

eakn

esse

s

Geo

rge,

Sal

ly,

Ric

hard

2. C

onso

lidat

e re

por

t on

issu

e to

focu

s on

Geo

rge,

Sal

ly

3. S

hare

rep

ort

on s

take

hold

er v

iew

sA

hmed

, Geo

rge,

S

ally

4. In

clud

e fe

edb

ack

from

sta

keho

lder

sS

ally

Act

ivity

Are

a: C

ond

uct

rese

arch

on

pol

icy

issu

e A

ctiv

ity B

udge

t: U

S $

5,00

0

Sub

Act

ivity

Ind

ivid

ual

Res

pon

sib

le

1. C

arry

out

sec

ond

ary

dat

a re

view

M

aria

, Geo

rge

2. D

ocum

ent

all p

olic

y ga

ps

that

nee

d t

o b

e w

orke

d

on 3. S

urve

y d

esig

n

4. C

arry

out

prim

ary

dat

a co

llect

ion

5. D

ata

entr

y

6. D

ata

anal

ysis

and

rep

ort

writ

ing

7. In

vite

Par

ticip

ants

R

uth

8. S

hare

res

ults

of t

he p

olic

y re

sear

chG

eorg

e, R

icha

rd

9. In

clud

e fe

edb

ack

from

p

artic

ipan

ts t

o fin

aliz

e re

por

tG

eorg

e, M

aria

10.

Act

ivity

Are

a: P

olic

y is

sue

iden

tifica

tion

A

ctiv

ity B

udge

t: U

S $

1000

Sub

Act

ivity

Ind

ivid

ual

Res

pon

sib

le

1.M

eetin

g w

ith K

WS

Dire

ctor

to

rais

e co

mm

unity

co

ncer

ns

Geo

rge,

Ric

hard

2. D

isse

min

ate

info

rmat

ion

to t

he m

edia

to

sens

itize

th

em o

n th

e ne

ed t

o su

pp

ort

the

initi

ativ

eV

ince

nt, S

ally

3. O

rgan

ize

for

com

mun

ity g

roup

s to

mee

t w

ith

rele

vant

loca

l MP

s M

aria

C H A P T E R 4


C H A P T E R 4


4-94-8

C H A P T E R 4


C H A P T E R 4


4-94-8

ac

tiv

ity #

4b W

or

ks

He

et: d

ev

elo

pin

g a

n im

ple

me

nta

tio

n p

lan

A

nsw

er

Go

al #

1: T

o im

pro

ve t

he g

ove

rnan

ce a

nd m

anag

emen

t o

f w

ildlif

e re

sour

ces

in K

enya

Ob

ject

ive

#1: T

o in

flue

nce

the

go

vern

men

t to

am

end

the

Wild

life

Act

and

dev

elo

p p

olic

ies

that

will

ens

ure

mo

re d

evo

luti

on

of

man

agem

ent

auth

ori

ty t

o t

he c

om

mun

ity

and

land

ow

ners

by

Dec

emb

er 2

007.

Act

ivit

ies/

Sub

act

ivit

ies

Qua

rter

Qua

rter

Janu

ary

Feb

ruar

yM

arch

Ap

ril

May

June

1 2

34

12

34

12

34

12

34

12

34

12

34

Act

ivity

Are

a: P

olic

y is

sue

iden

tifica

tion

A

ctiv

ity B

udge

t: U

S $

1000

Sub

Act

ivity

Ind

ivid

ual

Res

pon

sib

le

1. C

ond

uct

cons

ulta

tions

with

rel

evan

t st

akeh

old

-er

s to

iden

tify

spec

ific

pol

icy

gap

s, s

tren

gths

and

w

eakn

esse

s

Geo

rge,

Sal

ly,

Ric

hard

2. C

onso

lidat

e re

por

t on

issu

e to

focu

s on

Geo

rge,

Sal

ly

3. S

hare

rep

ort

on s

take

hold

er v

iew

sA

hmed

, Geo

rge,

S

ally

4. In

clud

e fe

edb

ack

from

sta

keho

lder

sS

ally

Act

ivity

Are

a: C

ond

uct

rese

arch

on

pol

icy

issu

e A

ctiv

ity B

udge

t: U

S $

5,00

0

Sub

Act

ivity

Ind

ivid

ual

Res

pon

sib

le

1. C

arry

out

sec

ond

ary

dat

a re

view

M

aria

, Geo

rge

2. D

ocum

ent

all p

olic

y ga

ps

that

nee

d t

o b

e w

orke

d

on 3. S

urve

y d

esig

n

4. C

arry

out

prim

ary

dat

a co

llect

ion

5. D

ata

entr

y

6. D

ata

anal

ysis

and

rep

ort

writ

ing

7. In

vite

Par

ticip

ants

R

uth

8. S

hare

res

ults

of t

he p

olic

y re

sear

chG

eorg

e, R

icha

rd

9. In

clud

e fe

edb

ack

from

p

artic

ipan

ts t

o fin

aliz

e re

por

tG

eorg

e, M

aria

10.

Act

ivity

Are

a: P

olic

y is

sue

iden

tifica

tion

A

ctiv

ity B

udge

t: U

S $

1000

Sub

Act

ivity

Ind

ivid

ual

Res

pon

sib

le

1.M

eetin

g w

ith K

WS

Dire

ctor

to

rais

e co

mm

unity

co

ncer

ns

Geo

rge,

Ric

hard

2. D

isse

min

ate

info

rmat

ion

to t

he m

edia

to

sens

itize

th

em o

n th

e ne

ed t

o su

pp

ort

the

initi

ativ

eV

ince

nt, S

ally

3. O

rgan

ize

for

com

mun

ity g

roup

s to

mee

t w

ith

rele

vant

loca

l MP

s M

aria

12

34

56

7

Key

1: T

he g

oal d

oes

not

mee

t th

e

crite

ria o

f a q

ualit

y go

al s

tate

men

t

2: T

he o

bje

ctiv

e d

oes

not

mee

t th

e

crite

ria o

f a q

ualit

y ob

ject

ive

stat

emen

t

3: M

issi

ng d

ata

– w

ho w

ill b

e

resp

onsi

ble

?

4: T

hese

dat

es a

re n

ot s

tagg

ered

, will

they

all

real

ly b

e co

mp

lete

d a

t th

e

sa

me

time?

5: M

issi

ng d

ata

– w

hat

is t

he a

ctiv

ity?

6: W

hat

activ

ity is

sch

edul

ed t

hat

mat

ches

thi

s d

ate?

7: T

he A

ctiv

ity A

rea

is n

ot a

pp

rop

riate

?

C H A P T E R 4


C H A P T E R 4


4-94-8

C H A P T E R 4


C H A P T E R 4


4-94-8

ex

am

ple

Fo

rm

at: i

mp

lem

en

tat

ion/W

or

k p

lan

EX

AM

PLE

: Im

ple

men

tati

on/

Wo

rk p

lan

Goa

l #1:

Ob

ject

ive

#1:

Act

iviti

es/S

ub a

ctiv

ities

Qua

rter

Qua

rter

Janu

ary

Feb

ruar

yM

arch

Ap

rilM

ayJu

ne

1 2

34

12

34

12

34

12

34

12

34

12

34

Act

ivity

Are

a:

Act

ivity

Bud

get:

Sub

Act

ivity

Ind

ivid

ual

Res

pon

sib

le

Act

ivity

Are

a:A

ctiv

ity B

udge

t:

Sub

Act

ivity

Ind

ivid

ual

Res

pon

sib

le

Act

ivity

Are

a:A

ctiv

ity B

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C H A P T E R 5

Introduction to Indicators

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•Toidentifywhatindicatorsareandwhytheyareimportant

• Howtoselectindicators

• Tencriteriaforassessingthequalityofindicators

• How(andwhyit’snecessary)todevelopindicatorprotocols

•WhattheUSGFprocessindicatorsareandwhicharerequiredfor

theirorganization


• Identifysomeoftheindicatorsforallorganizations.

• Assessthequalityofindicatorsselected.

• Developanindicatorprotocol.

• IdentifytheUSGFProcessindicatorsusedtoreportonagrant

1) IntroductIon Because you cannot afford either in terms of time or money to monitor every aspect of your program, you need to select indicators to identify what you will measure to know if conditions have or have not changed. Using indicators enables you to reduce a large amount of data down to its simplest form while retaining the essential information you need to make decisions.

What Is an Indicator? • Anindicatorisaunitofinformation,measuredovertime,thatdocumentschange. • Anindicatorprovidesevidenceofhowmuchhasbeenorhasnotbeenachieved. • Indicatorsareusuallyquantitative(number-related)measuresbutmayalsobe qualitative(narrative-related)observations. • Indicatorsenablealargeamountofdatatobereduceddowntoitssimplestform.

Why Are Indicators Important?Indicatorsserveastoolstoexaminetrendsandhighlightproblemsandcanactasearlywarning signals to predict future conditions. When compared with targets, indicators can signal the need for corrective management action, evaluate the effectiveness of various managementactions,andhelpdetermineifobjectivesarebeingachieved.Indicators,bythemselves, do not tell managers whether an observed change is acceptable or unacceptable nor do they necessarily identify the cause of the change.

Itisimportanttonotethatthereisnorequirementtodevelopanindicatorforeverypossible issue. Even the most ambitious program is likely to include a limited number of indicators. Many do not lend themselves to being easily monitored and can be addressed in adifferentmanner.Indicatorsrepresenttheelementsthataremostimportantformoni-toring, but usually no single indicator constitutes a comprehensive measure. Managers willneedtoselectanumberofcomplementaryindicatorstoadequatelyassesswhetheraparticular objective is being achieved.

C H A P T E R 5Introduction to Indicators

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Indicators Are Not….Indicatorsarenotjustanythingyoucanthinkoftomeasure.Everymeasureisnotan indicator.Indicatorsaremeanttoreducealargeamountofdatadowntoitssimplestform.

Forexample,sayyouwantedtobuyausedcarandyouwantedtoknowwhatcondition the car was in. You could look at or “measure” many things when you go to see the car, including the amount of gas in the car, the amount of tread on the tires, the number of dents in the car, the level of oil pressure, among many others. These measures are all associated with the car but they probably aren’t the best gauge or indicator of the car’s condition. The best indicator of a car’s condi-tionislikelytobethemileage(howmanykilometersthecarhasbeendriven).This data reduces a large amount of data down to its simplest form. The odometer reading tells you how much the car has been driven, indicating how much wear the engine has undergone, thus providing a useful indication to help you evaluate the condition of the car.

Indicators are not objectives, targets, goals, or results. Indicatorsdonotspecifyaparticularlevelofachievement.Thewords“improved,”“in-creased,” “gained,” etc., do not normally belong in an indicator. Rather, indicators describe theunitofinformationtobemeasuredovertime.Forexample,ifyouwanttoincreaseknowledge level, that is a goal. The indicator is the change in knowledge, which can be measured.Objectives,targets,andresultsstatementsareusedwhenyoudefinewhatexactlyyouhopetoaccomplish.Ifyouhopetotrain100people,then100peopleisyourtarget.Targetsreflectthemagnitudeorlevelofoutputanorganizationexpectstoachieve.Indica-

tor data when looked at alone, do not tell managers whether what is mea-sured is acceptable or unacceptable nor do they necessarily identify the cause of the change. However, when compared with targets, indicators signal the need for corrective management action, help us evaluate the effectiveness of various management actions, and help us determine if objectives are being achieved.

Aresult,goal,orobjectivemayrequiremeasuringseveralindicators.Forexample,ifyourobjectiveis“toincreasetheskillsof100coalitionmembersin advocacy message creation through training,” you might measure both

thenumberofpeopletrainedandtheirskilllevels(forexample,thepercentageofmemberstrained who report integrating new messages into their campaignswork).

Counting Measures and Proxy IndicatorsAnindicatorisideallymeanttoprovideindicativeevidenceofchangeinconditionsinarelativelysimpleform.Often,organizationsusesimplecountingmeasures(ordeliverables),such as number of meetings held, number of people trained, number of vehicles purchased, as indicators. While, generally, they should not be used as indicators, there are cases when measureslikethosecanbeusedasproxyindicators:alternateorindirectmeasuresusedto stand in for another indicator when obtaining direct information is too difficult, time consuming,orsensitive.Forexample,thenumberofpeopletrainedcouldbeseenasanindirect measure for level of knowledge, if it is assumed that if people were trained their levelofknowledgewillalwaysbeincreased.Anotherexamplewouldbeusinghousehold

TARGETS:

Magnitudeorlevelofoutputexpectedtobeachieved.

Targetsarevaluesagainstwhichtheactualprojectachievementsarecompared.Targetsshouldberealisticandarenormallyquantitative.Ifthetargetsare

qualitative,theyshoulddescribetheexpectedstateofaffairsattheendofaprojectperiod.

Indicators Are not...

...anythingthatcanbe measured.Theyshouldreducealargeamountofdatadowntoitssimplestform.

...objectives,targets,orresults.Theydonotspecifyaparticularlevelofachievement.Thewords“improved,”“increased,”“gained,”etc.donot belonginanindicator.

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consumptionofmaizeasaproxyindicatorforhouseholdincomeifitisknownthatmaizeconsumption always rises with income gain. Other times, these counting measures are no morethanjustmeasures(andnotindicativeofmorethanthemselves).Thenumberofvehicles you have usually only represents the number of vehicles you have; it does not really indicate your capacity. When choosing a set of key data by which to evaluate your results, select lower-level counting measures sparingly.

Indexed MeasuresSomeresultsarecomplexenoughorhaveenoughidentifiablestepsthattheylendthem-selvestobeingmeasuredbyanindex.Anindexvalueisderivedbymeasuringacompila-tionofdiscreetvariablesacrossascale(i.e.,keyelementsoraseriesofstepsareidentified,points assigned as to the level of completion of each, and then the total added to determine thelevelofmeasurement).Manyindicatorsrelatingtoadvocacyandimprovedgovernanceutilizeindexedmeasurestotrackcomplexissueslikeanticorruption,legitimacy,fiscalresponsibility, advocacy /policy progression, etc.

Example of an Indexed MeasureDirections: Score the following statements on a scale of 1 to 5, with 1 indicating littleornocapacityand5indicatingextensivecapacity.Averagethescoretodeterminetheorganization’s advocacy capacity.

Indicator:LevelofCSO’scapacitytoformulateapolicypositiononanissueScale:Littleornocapacity12345Extensivecapacity

1. Policy formulation is done in a participatory manner. Littleornocapacity12345Extensivecapacity

2.Policybeingadvocatedexistsinwriting,withformatsandlevelsofdetailthatare appropriate for various audiences and policy makers. Littleornocapacity12345Extensivecapacity

3. Policy position is clearly and convincingly articulated. Littleornocapacity12345Extensivecapacity

4.Rationaleforpolicyiscoherentandpersuasive. Littleornocapacity12345Extensivecapacity

Steps in Selecting IndicatorsSelectingappropriateandusefulindicatorsisafairlystraightforwardprocess,butrequirescareful thought, interactive refining, collaboration, and consensus-building. The following suggestionscanbehelpfulintheselectionprocess.Althoughpresentedassequentialsteps,some can be effectively undertaken simultaneously.

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Step 1: clarIfy the reSultS StatementS; IdentIfy what needS

to be meaSured. Good indicators start with good results statements that people can under-standandagreeon.Carefullyconsidertheresultsdesired.Reviewtheprecisewordingandintentionoftheobjectivesandhypothesis.Avoidoverlybroadresultsstatements.Beclearaboutwhattypeofchangeisimplied.Whatisex-pected to change—a situation, a condition, the level of knowledge, attitude, a behavior? Each type of change is measured by different types of indicators. Beclearaboutwherechangeshouldappear.Ischangeexpectedtooccuramongindividual,families,groups,communities,regions?Identifymoreprecisely the specific targets for change. Who or what are the specific targets

forthechange?Ifindividuals,whichindividuals?Beforeappropriateindicatorscanbedeveloped,youmustbeclearabouttheexpectedrelationshipbetweenactivitiesandtheirintendedresults,inordertounderstandexactlywhatchangesarereasonabletoexpect.

Step 2: develop a lISt of poSSIble IndIcatorS for your reSultS through braInStormIng and reSearch. Lookatoneofyourresultsstatementsandaskyourselfwhatcouldbemeasuredtoseeifthis result has been achieved or not, or if conditions have at least changed. Many possible indicatorsexistforanydesiredoutcome,butsomearemoreappropriateandusefulthanothers.Inselectingindicators,donotsettletooquicklyonthefirstthatcomemostconve-nientlyorobviouslytomind.Abetterapproachistostartwithalistofalternativeindica-torsthatcanthenlaterbeassessedagainstasetofselectioncriteria.Createaninitiallistofpossibleindicatorsby: • Internalbrainstorming • Identifyingandbuildingontheexperienceofothersimilarorganizations • Consultingwithbeneficiariesandexperts • Identifyingexistingsecondarydatasources(datacollectedbysomeoneelsebut thatyouusetomeasurearesult) • ReferringtoexistingindicatorsdevelopedbyotheragenciessuchastheWorld Bank, United States Government, UNDP etc.Thekeytocreatingausefulinitiallistofindicatorsistobeinclusive.Allowsufficientop-portunity for a free flow of ideas and creativity.

Step 3: aSSeSS each poSSIble IndIcator. experIence SuggeStS uSIng ten baSIc crIterIa for judgIng an IndIcator’S approprIateneSS and utIlIty (See table). Remember the assessment will help give an overall sense of the indicator’s relative merit and helpintheselectionprocess.However,applythisapproachflexiblyandwithjudgment,becausealltencriteriamaynotbeequallyimportanttoyouasamanager.

Step 4: Select the beSt IndIcatorS. Based on your analysis, narrow the list to the final indicators that will be used in the moni-toring system. They should be the optimum set that meets management needs at a reason-able cost. Be selective and remember the cost associated with data collection and analysis. Limitthenumberofindicatorsusedtotrackeachobjectiveorresulttotwoorthree.Selectonly those that represent the most basic and important dimensions of your objectives.

USE A PARTICIPATORY APPROACH

Collaboratecloselywith developmentpartners,

counterparts,andbeneficiariesateachstepoftheindicator selectionprocess.Thishasmanybenefitsasitcallson theexperienceofothersand obtainstheirconsensus throughouttheprocess

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Step 5: draft IndIcator protocolS and toolS. Protocols are instruction sheets that capture the reason for selecting indicators, describe the indicator in precise terms, and identify the plans for data collection, analysis, reporting and review.

Step 6: collect baSelIne data. Thebaselineisarecordofwhatexistsinanareapriortoanaction.Thebaselinevaluesestablish the starting point from which change can be measured.

Step 7: refIne IndIcatorS and protocolS and fInalIze your SelectIon.Based on initial data collection efforts, refine your indicators and/or your data collection instructions.

2) connectIng reSultS chaInS and IndIcatorS

AhighqualityMERsystemtracksalllevelsofdatabutDOESNOTuseinputindica-tors as evidence of results or to evaluate effectiveness of the program. Use a few indicators at each level of results and select only those that represent the most basic and important dimensions of your program. Your indicator set should be the optimum group that meets management needs at a reasonable cost.

Level of Results:

Input/ Process Output Outcome Impact

Key Results sought at each level:

ConductNationalWorkshopamongCS/CAtosharelessonslearned,approachesandnewideasinpromotingcivicparticipationandgovtresponsiveness

Increasedknowledge/skillsamonglocalgovernmentactorsonhowtoleadparticipa-toryinitiatives

IncreaseddialogueamongcivilsocietyandtargetedlocalGovernmentOfficials

IncreasedcivicresponsivenessinlocalGovernment

Indicators selected:

NumberoftargetedCS/CAactorsreceivingmaterialsonimprovingCS/CAdialogue

%oftargetedlocalgovernmentofficialsreportinganincreaseinknowledgeonmechanismsforobtainingcitizeninput

%oftargetedlocalgovernmentofficialswhoconductapar-ticipatorymeetingatleastonceamonth

%oftargetedlocalgovern-mentofficialswhoroutinelymakedecisionsconsistentwiththewishesofthecivilsocietysector(citizenreportcard)

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CriteriaExamplesNo= Does not meet criteriaYes= Meets Criteria

1. Measurable: Itcanbequantifiedandmeasuredbysomescale.Quantitativeindicatorsarenumerical.Qualitativeindicatorsaredescriptiveobservations.Whilequantitativeindicatorsarenotnecessarilymoreobjective,theirnumericalprecisionlendsthemtomoreagreementoninterpretationofresultsdataandarethususuallypreferable.However,evenwheneffectivequantitativeindicatorsarebeingused,qualitativeindicatorscansupplementthemtoprovidearichnessofinformationthatbringsaprogram’sresultstolife.

NO!Typesofhumanrightsviolationsrecorded.

YES!Numberofhumanrightsviolationreported.

2. Practical: Datacanbecollectedonatimelybasisandatreasonablecost.Managersrequiredatathatcanbecollectedfrequentlyenoughtoinformthemofprogressandinfluence decisions.Organizationsshouldexpecttoincurreasonable,butnotexorbitantcostsforobtainingusefulinformation.Ageneralruleistoplanonallocating3to10percentoftotalprogramresourcesformonitoringandevaluation.

NO!%oftargetedpopulationwhounderstandtheirvotingrights(census)

YES!%oftargetedpopulationwhounderstandtheirvotingrights(representativesample)

3. Reliable:Canbemeasuredrepeatedlywithprecisionby differentpeople.Thedatathataprogrammanagerneedstomakereasonablyconfidentdecisionsaboutaprogramisnot necessarilythesamerigorousstandardascientistislookingfor,butallindicatorsshouldbeabletobemeasuredrepeatedlywithrelativeprecisionbydifferentpeople.

NO!Numberofconstituentsreceiv-ingqualityadvocacymessagesaboutanti-corruption

YES!NumberofconstituentswhoreporttheyheardtheCleanHandscampaignontheradio.

4. Relevant-attributable at least in part to your organization: Aresultiscausedatleasttosomeextentbyprogramsponsoredactivities.

Attributionexistswhenthelinksbetweentheoutputsproducedbygrantfinancedactivitiesandtheresultsbeingmeasuredareclearandsignificant.

NO!Levelofreportedcorruptionincountry(usingtheanticorruptionindex)

YES!LevelofreportedcorruptioninCountyCouncilsinKidogoDistrict

5. Useful to Management:Informationprovidedbythemeasureiscriticaltodecision-making.Avoidcollectingandreportinginformationthatisnotusedto supportprogrammanagementdecisions.

NO!Numberofcomputers.Numberofstaffmeetings.

YES!Number(bytype)ofcriticalor-ganizationalsystemsfullyoperationalorAmount(bytype)ofresourcesmobilized.

6. Direct: Theindicatorcloselytrackstheresultitisintendedtomeasure.Anindicatorshouldmeasureascloselyaspossibletheresultitisintendedtomeasure.

Ifusingadirectmeasureisnotpossible,oneormoreproxyindicatorsmightbeappropriate.Forexample,sometimesreliabledataondirectmeasuresarenotavailableatafrequencythatisuseful.

Result:Increasedpositivemediacoverageonthechildwelfarebill.

NO!Numberofjournaliststrainedonthechildwelfarebill.

YES!NumberofarticlesintheDailynewspaperreportingpositivelyonthechildwelfarebill.

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CriteriaExamples: No= Does not meet criteriaYes= Meets Criteria

Proxymeasuresareindirectmeasuresthatarelinkedtotheresultbyoneormoreassumptions.Inruralregions,forexample,itisoftenverydifficulttomeasureincomelevelsdirectly.Measuressuchaspercentageofvillagehouseholdswithironsheetroofs(orradiosorbicycles)maybeauseful,ifsomewhataroughproxy.The assumptionisthatwhenvillagershavehigherincometheytendtopurchasecertaingoods.Ifconvincingevidenceexitsthatthe assumptionissound(forinstance,itisbasedonresearchor experienceelsewhere),thentheproxymaybeanadequateindicator,albeitsecond-besttoadirect

7) Early warning /Sensitive:Servesasanearlywarningofchang-ingconditions.Asensitiveindicatorwillchangeproportionatelyandinthesamedirectionaschangesintheconditionoritembeingmeasured,thussensitiveproxyindicatorscanbeusedasan indication(orwarning)ofresultstocome.Forexample,householdriceconsumptionisasensitiveproxyindicatorforincomeiftheamountofriceconsumedALWAYSriseswiththelevelofIncome.

NO!Numberofhumanrightsviolationsrecorded

NO!NumberofpeoplekilledinviolentConflict

YES!Numberofreportsfromcom-munitieswarningofimpendingconflicts(utilizingtheearlywarningmechanismsestablished.)

8) Responsive:Canbechangedbymanagementcontrol.Indicatorsshouldreflectchangeasaresultofprojectactivitiesandthusindicatorsreflectresultsthatareresponsivetomanagementcontrol.

Levelofrainfall.PassageoftheDroughtReliefBill(policyindex).

9) Precise:Themeasureisoperationalpreciseandone-dimen-sional.Apreciseindicatorhasnoambiguityaboutwhatisbeingmeasured.Thatis,thereisageneralagreementoverinterpretationoftheresults.Itisbothone-dimensionalandoperationallyprecise.Tobeone-dimensionalmeansthatitmeasuresonlyonephenomenonatatime.Avoidtryingtocombinetoomuchinoneindicator.

NO!Numberofexpandingandsuccessfulnaturebasedbusinesses

YES!Thenumberofnaturebasedbusinessesexperiencinganannualincreaseinrevenueofatleast5percent.

10) Capable of being Disaggregated:Datacanbebrokendownbygender,age,location,orotherdimensionwhereappropriate).Disaggregatingdatabygender,age,locationorsomeotherdimensionisoftenimportantfromamanagementorreportingpointofview.Experienceshowsthatdevelopmentactivitiesoftenrequiredifferentapproachesfordifferentgroupsandaffectthosegroupsindifferentways.Disaggregateddatahelptrackwhetherornotspecificgroupsparticipateinandbenefitfromactivitiesintendedtoincludethem.Therefore,itmakesgoodmanagementsensethatindicatorsbesensitivetosuchdifferences.

YES!Gender,age,location, ethnicgroup

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Common Problems to Avoid when setting up an MER System

Whenselectingyourindicators,avoidthesecommonpitfalls:

•Don’tselecttoomanyindicators,makingthemonitoringprogramtooburden

sometoimplement

•Don’tselectindicatorsthatnarrowlyfocusonjusttheactivities(inputsandout

puts)ratherthanpresentinganindicatorofresults(outcomeandimpacts)

•Don’tselecttoomanycountingmeasuresratherthanoptingforhigherlevel

indicators.

•Doselectindicatorsthatmeetthecriteriaofgoodindicators.

•Don’tselectimpracticalindicatorsthatrequirecomplicatedmeasurement

proceduresoraretootime-consumingtobefollowedoveralongperiodoftime

•Don’twaituntilthelastminute(priortoreporting)toeithersetupyourdata

systemsorenteroranalyzedata(resultingindatapileup)

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actIvIty # 5 workSheet

Identifying indicators across level of results1. Review your results framework. Select one of your impacts, a related outcome, a related output and input/process. Fill in chart.

2.Lookatoneofyourresultsstatementsandthink“whatcouldImeasuretoseeifthisresult had been achieved or not, or if conditions had at least changed?” There are usually many possible indicators for any desired outcome, but some are more appropriate and use-ful than others. For each level of results, brainstorm at least three possible indicators. Use existingindicatorsorselectnewones.

Level of Results Input Output Outcome Impact

Keyresultssought:

Potentialindicator:

Potentialindicator:

Potentialindicator:

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3) developIng IndIcator protocolS

Once you have selected indicators, you need to develop the protocols or details on themethods you will be using to collect the data. Protocols are instruction sheets and capturethe reason for selecting indicators; describe the indicator in precise terms; and identify theplans for data collection, analysis reporting, and review. This information is documentednot only to clarify and articulate what the indicators mean but also to provide theorganization with the means to collect data over the life of the project and beyond, asrequired.Protocolsalsohelpensurethereliabilityofindicatorsastheyprovidecriticalinformation to help different people repeatedly measure the indicator with the sameprecision.IndicatorprotocolsaretheheartofyourMERplan.Foreachindicator,filloutaseparate protocol table.

Indicator Protocol (Reference Sheet) #1

NameOfIndicator:

Description

Precise definition(s): Theindicatordefinitionstateswhatshouldbemeasured.Itdefinesthevariablesthathelpmeasurechangewithinagivensituationaswellasinformationthatdescribesprogressandimpacts.Thedefinitionmustbedetailedenoughtoensurethatdifferentpeopleatdifferenttimes,giventhetaskofcollectingdataforagivenindicator,wouldcollectidenticaltypesofdata.Alltermsusedmustbedefined.

Unit of measure:Thepreciseparameterusedtodescribethemagnitudeorsizeoftheindicator(forexample,cumula-tive,average,annualtally,numberofindividuals,hectares,localcurrencyetc.)

Disaggregated by:Identifyhowdatawillbeseparatedtoimprovethebreadthofunderstatingofresults reported.Typicalwaystodisaggregatedataincludegeographiclocationandgender.

PlanForDataAcquisition

Data collection method and timing:Describeexactly,andindetail,howandwhenyouwillcollectthedata. Identifywhatmethodsandinstrumentsyouwilluse.Noteanyequipmentrequiredtocollectthedata.Attachdataformswhennecessary.Someexamplesofdatacollectionmethodologies/approachesare:

1. Secondary data sources1a.Obtaindatafromdatasourceoutsideyourorganization,oftengovernmentorinternationalagencies.

2. Expert judgmental or narrative sources2a.Useanexpertpaneland/orpeerjudgmentsPeerpanelassessesthequalityofprogrammingorthequalityofreporting.Expertsrankseparatelyandthenmaycometogethertodiscuss/reachconsensus.2b.Contentanalysisofpresscoverageorotherdocuments/programsSystematiccodingbystaff/fillingoutratingformforeachdocument

3. Surveys3a.Probabilitysample/randomsample.USGsuggestsatleast1,200topickupchangesinnational sentiment(+or–3%).

4. Rapid appraisal/qualitative appraisals.Oftenanecdotalinnature,qualityofdataoftendependsonskilledobserverortrainedinterviewer. Thisisparticularlyvaluableforlookingatreactionsofparticipantstotheactivitiessupported.4a.Directobservationsoffieldactivities Datacollectorvisitssitesormeetings,withapreparedlistoftopicstobeobservedandrecordedanddataare recorded.Usefulforlookingatplannedtoactual.4b.Focusgroups Bringtogetherahomogeneousgroupof6–12peopleforafacilitateddiscussion;carefulprobingand reportingofwhatwassaid.4c.KeyinformantinterviewsKeyleadersorofficialssoughtforopinionsontheirareasofexpertise.4d.CasestudiesExaminationofaparticularsiteorphenomenon;usedtounderstandhowandwhythecasechanges overtime.

Data source:Thesourceistheentityfromwhichthedataareobtained.Usuallythegroupofindividualsororganizationthatconductsthedatacollectioneffort.Datasourcesmayincludeprogramofficers,governmentdepart-ments,internationalorganizations,otherdonors,NGOs,privatefirms,USAIDoffices,contractors,etc.

Estimated cost of data acquisition:Providearoughestimateofwhatitwillcosttocollectandanalyzethisdata.

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Individual responsible and location of data storage:Identifywhowilltakethelead/betheprimarypersonresponsibleforcollectingdataonthisindicator.Describehowdatawillbestoredovertimeandinwhatformats.

Plan For Data Analysis, Review And Reporting

Data Analysis and reporting:Presentaconcisedescriptionofhowdataforindividualindicatorsorgroupsofrelatedin-dicatorswillbeanalyzedtodetermineprogressonresults.Notedataanalysistechniquestobeused.Conciselydescribehowandwhendataresultswillbechronicled.Identifyaudiencesthathaveparticularinterestinthisindicatorandnotehowinformationwillbepresentedtothem.

Data Quality Issues

Known data limitations and significance:Identifywheredatamaybeweakorlimited.

Actions taken or planned to address data limitations:Describeactionstakentoaddressdatalimitations.

Other Notes

Notes on baselines/targets:Anycommentsrelevanttounderstandingbaselinefindingsortargetsset(i.e.,criticalas-sumptions,potentialissues,etc.)

Baselineisarecordofwhatexistsinanareapriortoanaction.Thebaselinevaluesestablishthestartingpointfromwhichchangecanbemeasured.

Targetsarethemagnitudeorlevelofoutputsexpectedtobeachieved.Targetsarevaluesagainstwhichtheactualpro-gram/projectachievementsaremeasured.Theyshouldberealisticandquantitativestatementsofexpectedoutcomes.Ifthetargetsarequalitative,thereisneedforadetailedstatementofexpectedstateofaffairsattheendofaplanningperiod.

Other notes: Provideanyotherinformationrelevanttodatacollectionandreportingofthisindicator.

Performance Indicator Values

Time period Target Actual Notes

Quarter1 — (Baseline)

Quarter2

Quarter3

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actIvIty workSheet #7 Developing an Indicator Protocol

For each indicator, fill out an indicator protocol table.

Name Of Indicator:

Description:

Precise definition(s):

Unit of measure:

Disaggregated by:

Plan For Data Acquisition

Data collection method and timing:

Data source:

Estimated cost of data acquisition:

Individual responsible and location of data storage:

Plan For Data Analysis, Review And Reporting

Data Analysis and reporting:

Data Quality Issues

Known data limitations and significance:

Actions taken or planned to address data limitations:

Other Notes

Notes on baselines/targets:

Other notes:

Performance Indicator Values

Time period Target Actual Notes

Quarter1 — (Baseline)

Quarter2

Quarter3

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SPECIAL SECTION

the uSg f proceSS IndIcatorS

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the uSg f proceSS IndIcatorS and your grant program IndIcatorS

IntroductIon to the f-proceSS IndIcator Set

Programevaluationisbynaturecomplex.Determiningwhetherpoliticalchangesreflectthenatural course of events or result instead from an intervention or program is an important yetcomplexevaluationissue.Mostdonorprogramsarenowrespondingtothatcomplexityby utilizing a core set of nationally and/or internationally standardized indicators. IfyouarereceivingUSGfunds,collectionofcertainindicatordataisrequired(asrelevanttoyourprogram).TheseindicatorsarereferredtoastheFProcesscoreprogramlevelindicators. The information on USG programs will be used, under the authorization of the DirectorforForeignAssistance,toreportresultstotheOfficeofManagementandBudget,theCongressand,aboveall,thepublic.IngeneraltheUSGisworkingtoanswerthreecriticalquestions.Theseare: (a)Howareforeignassistancefundsbeingused? (b)Whatisbeingachievedwiththesefunds?and (c)Whatprogressisbeingmadetowardsachievingforeignassistancegoals?

Byansweringthesequestions,wewillenhanceboththeaccountabilityandcredibilityofforeign assistance.

The F Process has 6 focus areas one of which is referred to as “Governing Justly and Democratically”. These indicators are to be used by USG operating units for governance anddemocracyinterventions.Theypertaintothefollowingfourprogramareas: •RuleofLawandHumanRights:This program area includes four elements - constitutions, laws and human rights; judicial independence; justice system, and human rights. •GoodGovernance:Thisprojectareacoversthefollowingelements:legislative functionandprocesses;publicsectorexecutivefunction;localgovernmentand decentralization; anti-corruption reforms; and governance and security sector. •PoliticalCompetitionandConsensusBuilding:Thisareaincludesthreeelements: consensus building processes; elections and political processes; and political parties. •CivilSociety:Ithastwoelements-strengtheningdemocraticcivilparticipationand media freedom and freedom of information.

Fprocessindictorsarenotmeanttobeanexhaustivelistingoftheindicatorstobeusedbygrantees.USGencouragesorganizationstolookatotherindicatorsthattheymayneedfortheirownplanningandmonitoringpurposes.

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governIng juStly and democratIcally - IndIcator lISt

Objective Level Indicators: Governing Justly and Democratically • FreedomHouseCivilLibertiesIndex • FreedomHousePoliticalRightsIndex • WorldBankGovernmentEffectivenessIndex • WorldBankRuleofLawIndex • Improvedruleoflawandindividualrights • Decreasednumberofhighlyauthoritativeregimesworldwide • Numberofwomenholdingseatsinnationalparliament • Increasednumberofconsolidatingdemocraciesworldwide

program area IndIcator: rule of law & human rIghtS • WorldBankvoiceandaccountabilityindicator • CIRIEmpowermentrightsindex • CIRIwomen’ssocialrightsindex • CIRIphysicalintegrityrightsindex • Numberofcountriesinwhichreligiousfreedomisexplicitlyprovidedinthe constitution and/or basic lawElement: GJD - 1.1 Constitutions, Laws and Human Rights IndicatorTitle:Constitutionincorporatingfundamentalfreedomsdraftedwith USG assistance IndicatorTitle:Numberofretributiveandrestorativejusticeinstitutionscreatedor supported with USG assistance IndicatorTitle:NumberofUSG-supportedpublicsessionsheldregardingproposed changes to the country’s legal framework IndicatorTitle:NumberofcampaignssupportedbyUSGtofosterpublicawareness and respect for rule of law Element: GJD 1.2 – Judicial Independence IndicatorTitle:NumberofjudgestrainedwithUSGassistance IndicatorTitle:NumberofUSG-assistedcampaignsandprogramstoenhancepublic understanding, NGO support and media coverage of judicial independence and accountability IndicatorTitle:Numberoflaws,regulationsandproceduresrelatedtojudicial independence supported with USG assistance Element: GJD 1.3 – Justice System IndicatorTitle:NumberofUSG-assistedcourtswithimprovedcasemanagement IndicatorTitle:NumberofjusticesectorpersonnelthatreceivedUSGtraining IndicatorTitle:NumberoflegalaidgroupsandlawclinicsassistedbyUSG IndicatorTitle:RatioofnewcasefilingstocasedispositionsincourtsassistedbyUSG in the area of case management IndicatorTitle:Numberofcourtsoperatinginareasoflowincomepopulationswith USG assistance IndicatorTitle:NumberoflegalinstitutionsandassociationssupportedbyUSG IndicatorTitle:NumberofpeoplevisitingUSGsupportedlegalservicecentersserving low income and marginalized communities

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Element: GJD 1.4 – Human Rights IndicatorTitle:NumberofdomestichumanrightsNGOsreceivingUSGsupport IndicatorTitle:NumberofUSGsupportednationalhumanrightscommissionsand other independent state institutions charged by law with protecting and promoting human rights that actively pursued allegations of hu man rights abuses during the year IndicatorTitle:Numberofcurriculacreatedormodifiedtoincludefocusonhuman rights with USG assistance IndicatorTitle:Numberofpublicadvocacycampaignsonhumanrightssupported by USG IndicatorTitle:Improvementmadeindegreetowhichreligiousfreedomexplicitly provided for in constitution or basic law as a result of USG assistance

program area IndIcator: good governance •Managementofpublicaffairsistransparent,accountable,responsiveand effectivegovernance(index)Element: GJD 2.1 – Legislative Function and Process IndicatorTitle:Numberofnationallegislatorsandnationallegislativestaffattending USG sponsored training or educational events IndicatorTitle:NumberofCivilSocietyOrganizationsreceivingUSGassistedtraining in advocacy IndicatorTitle:Numberofnationalexecutiveoversightactionstakenbylegislature receiving USG assistance IndicatorTitle:NumberofpublicforumsresultingfromUSGassistanceinwhich national legislators and members of the public interact IndicatorTitle:Numberofdraftlawssubjecttofinalvoteinnewortransitional legislatures receiving USG assistance IndicatorTitle:NumberofUSGassistedCivilSocietyOrganizationsthatparticipate in legislative proceedings and/or engage in advocacy with national legislature and its committees Element: GJD 2.2 – Public Sector Executive Function IndicatorTitle:Numberofreconstructednationalgoverninginstitutionsandsystems that receive USG assistance to incorporate principles that support democracy and government legitimacy IndicatorTitle:NumberofexecutivebranchpersonneltrainedwithUSGassistance IndicatorTitle:NumberofexecutiveofficeoperationssupportedwithUSGassistance IndicatorTitle:Numberofgovernmentalandnon-governmentalmechanisms supportedwithUSGassistanceforoversightoftheexecutivebranchElement: GJD 2.3 – Local Government and Decentralization IndicatorTitle:Numberofsub-nationalgovernmentsreceivingUSGassistanceto increase their annual own-source revenues IndicatorTitle:Numberoflawsoramendmentspromotingdecentralizationdrafted with USG assistance IndicatorTitle:Numberofsub-nationalgovernmententitiesreceivingUSGassistance to improve their performance IndicatorTitle:NumberoflocalmechanismssupportedwithUSGassistancefor citizens to engage their sub-national government

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IndicatorTitle:Numberoflocalnon-governmentalandpublicsectorassociations supported with USG assistance IndicatorTitle:NumberofindividualswhoreceivedUSG-assistedtraining,including management skills and fiscal management, to strengthen local government and/or decentralization. Element: GJD 2.4 – Anti-corruption Reforms IndicatorTitle:NumberofgovernmentofficialsreceivingUSG-supported anti-corruption training IndicatorTitle:Numberofpeopleaffiliatedwithnon-governmentalorganizations receiving USG supported anti-corruption training IndicatorTitle:Numberofmechanismsforexternaloversightofpublicresourceuse supported by USG assistance IndicatorTitle:NumberofUSG-supportedanti-corruptionmeasuresimplemented IndicatorTitle:Numberofanti-corruptiontreatiessignedwhereUSGhasplayeda facilitative or supportive role Element: GJD 2.5 – Governance and the Security Sector IndicatorTitle:Numberoflaws,codesofconduct,constitutionalreformsand regulations to enhance oversight of the security sector, drafted with USG assistance IndicatorTitle:NumberofgovernmentofficialsundergoingUSGassistedsecurity sector governance training IndicatorTitle:NumberofCivilSocietyOrganizationsreceivingUSGassistancein security sector oversight and advocacy

program area IndIcator: polItIcal competItIon and conSenSuS buIldIng • Crediblemonitoring/observationmissionsforelectionandpoliticalprocess observation indicate minimal or no irregularities observed • Genuinepoliticalcompetitionexistsasevidencedthroughcandidateandparty registration,andequitableaccesstomediaandpublicresourcesElement: GJD 3.1 – Consensus Building Processes IndicatorTitle:Numberofconsensus-buildingprocessesassistedbyUSG IndicatorTitle:Numberofgroupstrainedininclusiveconsensusbuildingtechniques with USG assistance IndicatorTitle:Numberofgroupstrainedinconflictmediation/resolutionskills with USG assistance IndicatorTitle:NumberofUSG-assistedconsensus-buildingprocessesresulting in an agreement Element: GJD 3.2 – Elections and Political Processes IndicatorTitle:NumberofdomesticelectionobserverstrainedwithUSGassistance IndicatorTitle:NumberofinternationalelectionobserversdeployedwithUSG assistance IndicatorTitle:NumberofelectionofficialstrainedwithUSGassistance IndicatorTitle:NumberofpeoplereachedbyUSGassistedvotereducation IndicatorTitle:Numberoflawsoramendmentstoensurecredibleelectionsdrafted with USG technical assistance IndicatorTitle:Numberofelectoraladministrationproceduresandsystems strengthened with USG assistance

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Element: GJD 3.3 – Political Parties IndicatorTitle:PercentageofUSG-assistedelectionpollingstationswithoutmajor logistical problems during an election IndicatorTitle:NumberofindividualswhoreceiveUSG-assistedpoliticalparty training IndicatorTitle:NumberofpoliticalpartiesandpoliticalgroupingsreceivingUSG assistance to articulate platform and policy agendas effectively IndicatorTitle:NumberofUSG-assistedpoliticalpartiesimplementingprogramsto increase the number of candidates and members who are women, youth and from marginalized groups.

program area IndIcator: cIvIl SocIety • FreedomHouseFreedomofthePressScore • CIRIFreedomofAssemblyandassociationindexElement: GJD 4.1 – Strengthen Democratic Civic Participation IndicatorTitle:NumberofCivilSocietyOrganizationsusingUSGassistanceto promote political participation IndicatorTitle:NumberofCivilSocietyOrganizationsusingUSGassistanceto improve internal organizational capacity IndicatorTitle:NumberofCSOadvocacycampaignssupportedbyUSG IndicatorTitle:Numberofpositivemodificationstoenablinglegislation/regulation for civil society accomplished with USG assistance IndicatorTitle:NumberofpeoplewhohavecompletedUSGassistedcivic education programs IndicatorTitle:NumberofparticipantsinUSG-fundedprogramssupporting participation and inclusion of traditionally marginalized ethnic minority and/or religious minority groups IndicatorTitle:Numberofindependentanddemocratictrade/laborunionssupported by USG to promote international core labor standards IndicatorTitle:NumberofUSGassistedCivilSocietyOrganizationsthatengagein advocacy and watchdog functions Element: GJD 4.2 – Media Freedom and Freedom of Information IndicatorTitle:NumberofmediaoutletsthatreceivedUSG-supportedtrainingto promote financial sustainability IndicatorTitle:Numberofpositivemodificationstoenablinglegislation/regulations for media drafted with USG assistance IndicatorTitle:Numberofnon-statenewsoutletsassistedbyUSG IndicatorTitle:NumberofjournaliststrainedwithUSGassistance IndicatorTitle:NumberofmediaCivilSocietyOrganizationsand/orsupport institutions assisted by USG IndicatorTitle:NumberofgovernmentmediarelationsstafftrainedwithUSG assistance

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IndIcator protocol

program area: rule of law & human rIghtS ELEMENT: GJD - 1.1 CONSTITUTIONS, LAWS AND HUMAN RIGHTS

INDICATOR TITLE: CONSTITUTION INCORPORATING FUNDAMENTAL FREEDOMS DRAFTED WITH USG ASSISTANCE

DEFINITION:Fundamentalfreedomsincludereligion,peacefulassembly,association&expression.

RATIONALE:TheConstitutionisthefundamentaldocument,backedupbythestateandprotectedbylaw,onwhichdemocracyisbased.Althoughtheconstitutionalonedoesnotguaranteefreedoms,itdoesindicateaseriouslevelofpubliccommitmentandsetsastandardforgovernmenttofollow.

UNIT: Yes/No DISAGGREGATE BY:None

TYPE: OUTPUT/OUTCOME Output

DIRECTION OF CHANGE: Yes=better

DATA SOURCE: Operatingunits

MEASUREMENT NOTES:


• Thebasicmonitoringtoolsthatcivilsocietyorganizationsusetopromotedemocracy

andgoodgovernanceincludingkeyinternationalandregionalindices.

• Howtomeasureyourorganization’sclout.

• Howtomeasureyourorganization’slegitimacy.

• Howtomeasuretheeffectivenessofadvocacycoalitions.

• Howtoconductgovernmentbudgettracking.


their MER systems:

•Selectindicatorsrelevanttoyourownprogram.

I) IntroductIon

Your ability as a civil society organization to promote democracy and governance depends on rooting your work in the community, developing links with your constituency, and creating clout, which in turn will allow you to influence the policymaking and governance monitoring processes. This chapter will introduce you to the basic monitoring tools that civil socity organizations working to promote democracy and good governance use, includ-ing international treaties and regional frameworks. The sections that follows will help build your organization’s clout – a critical ingredient to become an effective watchdog of govern-ment–analyze policies and budgets, and help government become more accountable.

2) Good Governance What is “Government”? For a country, it is the body or set of institutions that exercises authority. Among the many tasks for any government include: making decisions and poli-cies that will influence the development of the state and controlling the delivery of public goods and services.“Good governance” means effective government which makes decisions in a transparent, participatory, non-arbitrary and accountable manner.

i. Why Is measurInG Good Governance Important? Over the past decade, scholars and institutions studying democracy have concluded that even small improve-ments in the quality of governance results in significant improvements not just in political rights but also in peoples’ daily lives. When governance improves, so does infant mortality and per capita in-come.

Citizens have the right to demand that government account for their conduct and performance.

Goodgovernanceisparticipatory,

consensusoriented,accountable,

transparent,responsive,effectiveand

efficient,equitableandinclusiveand

followstheruleoflaw.Itassuresthat

corruptionisminimized,theviewsof

minoritiesaretakenintoaccountand

thatthevoicesofthemostvulnerablein

societyareheardindecision-making.

Itisalsoresponsivetothepresent

andfutureneedsofsociety.

From:http://www.unescap.org/huset/gg/governance.htm

C H A P T E R 6

Monitoring Good Governance and Civil Society Advocacy

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C H A P T E R 6Monitoring Good Governance and Civil Society Advocacy


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Government has an obligation to obey the law, not abuse their powers, and serve the public interest in an efficient, effective and fair manner (Malena, Social Accountability, World Bank. 2004).

There have been as many attempts to measure and monitor governance as there have been governments; and over time certain standards of good governance, which are reflected in international law and various indices, have been developed.

Whenever possible, governments should be monitoring their own performance to ensure equitable, efficient distribution of goods and services. However, government actors often have incentives to distort monitoring systems. As on-the-ground actors, CSOs play a pivotal role in assessing the ef-fectiveness of government’s delivery of services and goods, enforcement of an impartial legal system, and the presence (or absence) of corrupt behavior. Monitoring efforts highlight government successes as well as failures, push politicians who have the will but lack infor-mation into taking action and mobilize the public to demand change.

ii. monItorInG Good Governance throuGh InternatIonal treatIes, reGIonal accountabIlIty mechanIsms and IndIces

The role of international and regional instruments --secondary data in the design of Advocacy MER SystemsSecondary data by definition is data that is not collected by you but by someone else, but is used by you to measure a result. Advocacy and civic oversight organizations should view international and regional instruments as key secondary data sources that contain standards against which to measure and improve the quality of governance and accountability. Being a “watchdog” means comparing what is supposed to happen with what is actually happen-ing and international and regional instruments often define the ideal standard from which you can compare what should be occurring with the reality. As a civil society organization, you can also use these types of instruments/indices… (1) As evidence to support your campaign to pressure your government to change a policy or practice. (2) To get a wider audience for the data that your organization has collected on your issue. For example, you can provide input directly to the CSO’s research and report writing team for inclusion in their index; and (3) As a model to develop your own indicators and research efforts.

a) Monitoring Good Governance through International TreatiesInternational law and treaties provide a framework of rights to which all country signato-ries not only aspire but agree to domesticate and implement. Increasingly, the principles contained in these treaties serve as a basis for accountability for all governments around the world. Generally speaking, the power of a treaty lies in the potential to shame or embarrass a state that is in violation. Unless a state has adopted provisions for individual communi-cations, an individual cannot sue the state directly for violation of these treaties. Once a treaty is domesticated, however, an individual or group can sue a state for failure to protect, fulfill, or promote rights that are guaranteed under its own law.

If you cannot measure it, you cannot improve it.

-LordKelvin

Being a “watchdog” means comparing what is

supposed to happen with what is actually

happening



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Each treaty is monitored by a treaty body, an independent committee of experts in that field. A country must submit reports to the treaty body and implement their concluding observations.

Civil society organizations can submit reports directly to treaty bodies, follow up to make sure that reports are submitted, and track government’s response to the treaty body’s concluding observations.

For example: Nigeria had ratified the following treaties, which support the principles of good governance: • InternationalConventionontheEliminationofAll Forms of Racial Discrimination (CERD) • InternationalCovenantonCivilandPoliticalRights (ICCPR) - right to privacy, freedom of expression, equality, due process of law • InternationalCovenantonEconomic,Socialand Cultural Rights (ICESCR) -right to shelter and housing, free primary education • ConventionontheEliminationofDiscrimination Against Women (CEDAW) - right to equality in health care, equal education and literacy programs, states must pass legislation to abolish customs that discriminate against women • ConventionontheRightsoftheChild(CRC)-rights for orphans for state assistance, right to social security • ConventionAgainstTortureandOtherCruel, Inhuman or Degrading Treatment or Punishment (CAT)Nigeria has signed but not ratified the following treaties, • TheoptionalProtocoltotheconventionontherights of the child (CRS-OP-AC) on the involvement of children in armed conflict • TheoptionalProtocoltotheconventionontherightsofthechild(CR-OP-SC)on the sale of children, child prostitution and child pornography

b) Monitoring Good Governance through Regional Treaties and FrameworksLike international treaties, regional frameworks, such as those developed by the African Union (www.africa-union.org) have also set standards of governance and accountability. Just recently, 23 members of the African Union have voluntarily agreed to undergo an in-tensive assessment, the African Peer Review Mechanism (APRM), which consists of critical evaluation of their country’s performance in four key areas: • DemocracyandGoodPoliticalGovernance • CorporateGovernance • SocialDevelopment • EconomicGovernanceandManagement.Rather than relying on standards imposed from the outside, APRM has been designed by Africans for Africans to improve governance, enhance development, engage in peerlearning, and encourage national dialogue to identify problems that results in a national Programme of Action (POA).

When choosing to become a “watchdog” of government behavior, an NGO should:

• Ensure the integrity of your research and data collection methods.Awatchdogusestheinformationgatheredtoshameandembarrasspoliticalactors.Don’tbesurprisediftheyfightback,butdon’thelpthemtarnishyourreputationbyengaginginsloppyorcorruptpractices.

• Expose the positive. Whenyoufindexamplesofgoodpracticeinyourmonitoringefforts,highlightthosebehaviorasamodelforotherstofollow.

• Be selective.Choosetheareaofgovernmentbehavioritwillmonitorcarefully,basedonresources,capaci-tiesandapplicabilitytoyourfuturework(suchasadvocacyforapolicychange).Youdonothavetomonitoreveryactofeveryagencyinordertohaveanimpact.

• Determine how you will collect and control your information. Ifyouaren’tcarefulinselectingwhichdatayouwanttocollectforanalysis,yourmonitoringeffortwillsoonbecomedelugedinan overwhelmingseaofpaper.

Essentially, a treaty is a set of performance standards

for duty-bearers at all levels of society, but especially for

state institutions. -Dr.FransViljoen,CentreforHumanRights,Universityof

Pretoria.2007



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Overseen by the New Partnership for Africa’s Development (www.nepad.org) the APRM is an outgrowth of a pledge made by Africa’s leaders to eradicate poverty, create sustainable development, and participate actively in the global economy. Collectively, they represent about 75% of Africa’s population.

For example: Nigeria has ratified the following regional treaties, which support the principles of good governance: •TheAfricanCharterinHumanandPeoplesRights. •AfricancharterontherightsandwelfareoftheChild

Nigeria has not ratified: •TheProtocoltotheAfricanCharteronthe Rights of Women in Africa (Maputo)

When the next APRM process takes place in 2-4 years, civil society needs to be prepared by gather-ing and analysing evidence relevant to the questions in the APRM

c) Monitoring Good Governance through International IndicesLeading multilateral financial institutions and international NGOs also track the development of democracy and level of good governance in coun-tries around the world.

Each index includes analysis of what success has been achieved as well as what challenges remain regarding a country’s adherence to global standards on the highlighted issue(s). Additionally, an index provides regional or global data for comparison and sharing of best practices.

iii. Good Governance IndIces

For the last decade, the World Bank’s Worldwide Governance Indicators have compiled data drawn from 31 sources representing hundreds of questions to assess governance, identify challenges and suggest ways forward. www.govindicators.org.The information is further grouped into six key areas: 1. Voice and Accountability 2. Political Stability and Absence of Violence 3. Government Effectiveness 4. Regulatory Quality 5. Rule of Law 6. Control of Corruption

Lessons for the APRM ProcessGuidedbyaquestionnairethatcontains25objectives,58questionsand183indicators,eachcountrythatvoluntarilychoosestoundergotheAfricanPeerReviewMechanismworksside-by-sidewithcivilsocietytocom-piletheinformationanddevelopaProgrammeofActiontoaddressshortcomingsrevealedbytheprocess.

Initially,civilsocietywasallowedtocompileashortlistofcandidatesasrepresentativestothe25-membernationalAPRMcouncil.Government,however,selectedthe6fi-nalists.Theresultingoutcryforcedgovernmenttoacceptanother8electedcivilsocietyrepresentatives,foratotalof14sittingonthe33-personcouncil.

Unfortunately,notallofcivilsocietyrepresentativesdis-playedtheappropriatelevelsofleadership.Somemem-berstookadvantageofthefunding/perdiemsituation,whichwasgivenformeetingattendance,bydeliberatelystallingdecisionmaking.Atonepoint,theabusewassoblatantthattheMinisterofPlanningwasrequestedto,anddid,removetheheadofthecouncil,whowasacivilsocietyrepresentative.

Othercriticallessonslearnedincludeademandforgreat-erdiversityofopinion,whichcouldbemetbyinclud-ingNGOs.Thereisalsoaneedforcivilsocietytodraftwrittensubmissionsthatgobeyondtheoraldialoguesolicitedatstakeholderforums.

APRM Lessons Learned: Report on the SAIIA Conference for Civil Society, Practitioners and Researchers. Johannesburg, South Africa. South Africa Institute for International Affairs. 2006



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In addition to the raw data, a color-coded map of the world is gener-ated, which allows even the most casual observer (or hurried politician) to quickly see their country’s performance in the six key areas. The maps also allow for easy comparison with neighboring countries and peers.

International Actors’ Accountability IndexIn an interconnected global environment, good governance is no longer just for governments. Increasingly, this concept is being applied to prominent international actors as well. The Global Accountability Index examines the behavior of some of the most powerful multilateral, corporate, and non-governmental actors in the world, such as the World Bank, Microsoft, and Oxfam. The Index “provides a measure of accountability that cuts across the three sectors and provides a common language and frame of reference that can form the basis for greater dialogue and learning between transnational actors on accountability”. http://www.oneworldtrust.org

The Global Integrity Index includes 290 + variables indicators with a focus on citizens and businesses ability to access and monitor their government and their ability to seek redress and advocate for improved governance. The GID measures the existence of anti-corruption mechanisms and practices, the extent to which those mechanisms are ef-fectively implemented, and citizens’ ability to both access and make use of those mechanisms to promote greater account-ability. The goal of the Integrity Indicator is to inform and empower citizens, activists, donors, businesses, and governments in each country (www.globalintegrity.org).

Single-Issue IndexAn index can also focus exclusively on how countries perform on a single issue. For instance, through its annual report “Freedom in the World”, Freedom House provides detailed analysis and global ranking of citizens’ ability to enjoy basic political rights and civil liberties in their country. Using a series of questions largely based on the Universal Declaration of Human Rights, the evalu-ation results in each country receiving a rating of Free, Partly Free or Not Free. (www.freedomhouse.org). Similarly, Reporters Without Borders (www.rsf.org) publishes an annual index on freedom of the press.

Environmental Performance IndexGovernment’s actions to protection of natural resources and prevention environmental harms to human health (such as air and water pollution) are included in the United Nations’ Millennium Development Goals. The Environmental Performance Index (EPI) provides data on sixteen indicators in six established policy categories: Environmental Health, Air Quality, Water Resources, Biodiversity and Habitat, Productive Natural Re-sources, and Sustainable Energy (http://www.yale.edu/epi/).

Example of a few of the questions found on the

APRM Questionnaire...:

Whatisthestateofcorruptioninthecountry?

Inyourjudgment,doesthe politicalsystem,aspracticedinyourcountry,allowforfreeandfaircompetitionforpowerandthepromotionofdemocratic

governance?

Whatconcretemeasureshavebeentakentopromoteand

protecttherightsofwomeninthecountry?

Bribery and Corruption IndexTransparencyInternational(www.transparency.org)compilesexistingpollsontheperceivedlevelsofbriberyandcorruptionamongpublicofficialsandpoliticia¬nsandrankseachcountryaccordingly.In2006,forexample,Kenyawasranked142outof163countriessurveyed–only21countriesintheworldperceivethemselvesasmorecorrupt.Kenya’slocalTransparencyInternationalofficealsoconductsacountry-specificsurveyonbribery.AccordingtoTransparencyInternationalKenya,briberycostsKenyansaboutUS$1billionperyearyetmorethanhalfliveonlessthan$2/day.(www.tikenya.org).

A Word on Corruption – or how it’s not “Kidogo” (“a little thing”)

Whenwemonitorandmoreimportantlyreportoncorruptgovernmentpractices,rememberthatthoughtheimpactofoneindividualtakingorgivingabribeseemssmall,therealityisthathundredsofindividualsarecollectingbribes,makingtheactualimpactontheeconomyverysignificant.Uncover-ingthetotalcostoftheseindividualactionscanbethefirststepinendingpublicacceptanceofandgovernmentcomplacencytowardscorruption. From R Holloway, The NGO Corruption Fighters Handbook



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CategoryIII GovernmentAccountability Score Rank

III-1 ExecutiveAccountability 49 VeryWeak

III-2 LegislativeAccountability 57 VeryWeak

III-3 JudicialAccountability 42 VeryWeak

III-4 BudgetProcesses 75 Moderate

OverallScore:71-Moderate

Civil society organizations focused on Natural Resource Management advocacy can draw upon this data, which is presented in an easy to read format, to set priorities in planning advocacy campaigns, highlight a problem’s severity when lobbying decision makers, or in their media campaigns. Additionally, the EPI allows for cross-country comparison, allowing advocates to quickly locate regional best practices which could serve as role models of government behavior or legal reforms.



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intheelectoralprocess,p

oliticalpluralism

andparticipation,and

functioning

ofg

overnm

ent.Num

erically,F

reed

omHou

seratespoliticalrightson

a

scaleof1to7,with1rep

resentingthemostfreeand

7rep

resentingtheleastfree.

http://earthtrends.wri.org/text/environm

ental-

governance/variable-507.htm

l

WorldBank

Governm

ent

EffectivenessIndex

Thisindexcom

binesperceptionsofthequalityofpub

licserviceprovision

,thequalityofthebureaucracy,

thecompetenceofcivilservants,theindep

endenceofthecivilservicefrom

politicalpressures,and

the

cred

ibilityofthegovernm

ent’scom

mitm

enttopoliciesintoasinglegrou

ping.Them

ainfocusofthis

indexison“inp

uts”req

uiredfo

rthego

vernmenttobeab

letoproduceandim

plementgo

odpoliciesand

deliverpub

licgoo

ds.

http://hum

andevelop

ment.bu.ed

u/dev_ind

ica-

tors/sho

w_info.cfm?ind

ex_id=118&

data_type=

1

WorldBankRuleofLaw

Index

TheRuleofLaw

Indexcom

binesseveralindicatorsthatm

easuretheextenttowhichagentshavecon

fi-

denceinand

abidebytherulesofsociety.T

heseinclud

eperceptionsoftheincidenceofb

othviolentand

non-violentcrime,theeffectivenessandpredictabilityofthejudiciary,and

theenforceab

ilityofcon

tracts.

Together,theseindicatorsmeasurethesuccessofasocietyindevelop

inganenvironm

entinwhichfair

andpredictablerulesfo

rmthebasisfo

recon

omicand

socialinteractions

http://hum

andevelop

ment.bu.ed

u/dev_ind

ica-

tors/sho

w_info.cfm?ind

ex_id=121&

data_type=

1

WorldBankvoiceand

accountabilityindicator

Thisindicatorinclud

esinitanum

berofind

icatorsmeasuringvario

usaspectsofthepoliticalprocess,

civilliberties,politicaland

hum

anrights.Theseindicatorsmeasuretheextenttowhichcitizensofa

countryareab

letoparticipateintheselectionofgovernm

ents.Italsoinclud

esinthiscatego

ryindicators

measuringtheindep

endenceofthem

edia,w

hichservesanim

portantroleinm

onitoringthoseinautho

r-

ityand

holdingthem

accou

ntab

lefo

rtheiractions.


sexport/datab

ase.

php

?action=

land

_detail&ausw

ahlland

=blank&to

pic=B



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6-96-8

Ind

exB

rief

Des

crip

tio

nW

ebsi

te r

efer

ence

CIRIE

mpow

erment

rightsindex

TheEmpow

ermentRightsIndexispartoftheCingranelli-Richards(CIRI)Hum

anRightsDataset,w

hich

containsstand

ards-based

quantitativeinform

ationon

governm

entrespectfor13internationallyrecog

-

nizedhum

anrightsfor195countries.Itisanad

ditiveindexcon

structed

from

theFreed

omofM

ovem

ent,

Freedom

ofS

peech,W

orkers’R

ights,PoliticalP

articipation,and

Freed

omofR

eligionindicators.Itranges

from

0(nogo

vernmentrespectforthesefiverig

hts)to10(fullgovernm

entrespectforthesefiverig

hts).

Detailsonitscon

structioncanbefoundin:D

avidL.R

ichards,Ron

aldGelleny,and

DavidSacko.2001.

“Mon

eyW

ithAM

eanStreak?Foreign

Econo

micPenetrationandGovernm

entRespectforHum

anRights

inDevelop

ingCou

ntries”InternationalS

tudiesQuarterly.45.2:219-239.


sexport/datab

ase.

php

?action=

land

_detail&ausw

ahlland

=blank&to

pic=B

CIRIw

omen’ssocial

rightsindex

TheWom

en’sSocialR

ightsIndexispartoftheCingranelli-Richards(CIRI)Hum

anRightsDatasetwhich

includ

esanum

berofinternationallyrecog

nizedrightssuchastherig

httoeq

ualinheritance,freedom

to

own,acq

uire,m

anageandretainpropertybroug

htintom

arriage,therighttoaneducationetc.

http://ciri.bingh

amton.ed

u/docum

entation/ciri_

variables_short_descriptions.pdf

CIRIp

hysicalintegrity

rightsindex

ThePhysicalIntegrityRightsIndexispartoftheCingranelli-Richards(CIRI)Hum

anRightsDataset,w

hich

containsstand

ards-based

quantitativeinform

ationon

governm

entrespectfor13internationallyrecog

-

nizedhum

anrightsfor195countries.Itisanad

ditiveindexcon

structed

from

theTorture,E

xtrajudicial

Killing,PoliticalImprison

ment,and

Disap

pearanceindicators.Itrangesfrom

0(nogo

vernmentrespect

forthesefourrights)to8(fullgo

vernmentrespectforthesefourrights).D

etailsonitscon

structionand

usecanbefoundin:D

avidL.C

ingranelliandDavidL.R

ichards.1999.“MeasuringtheLevel,Pattern,and

Seq

uenceofGovernm

entRespectforPhysicalIntegrityRights.”InternationalS

tudiesQuarterly,Vol43.2:

407-18.


sexport/datab

ase.

php

?action=

land

_detail&ausw

ahlland

=blank&to

pic=B

CIRIFreed

omof

Assem

blyand

associationindex

Thism

easurestheinternationallyrecog

nizedrightofcitizenstoassemblefreelyand

toassociatewith

otherpersonsinpoliticalparties,tradeunions,culturalorganizations,o

rotherspecial-interestgroup

s.

Thisvariableindicatestheextenttowhichthefreedom

sofassem

blyand

associationaresubjectto

actualgovernm

entallimitationsorrestrictions(asop

posed

tostrictlylegalprotections).

http://ciri.bingh

amton.ed

u/docum

entation/ciri_

variables_short_descriptions.pdf



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6-96-8

Ind

exB

rief

Des

crip

tio

nW

ebsi

te r

efer

ence

Freedom

Hou

seFree-

dom

ofthePressScore

Freedom

hou

seusesthreebroad

categoriestoassessthestatusofp

ressfreedom

ineachcountry:legal

environm

ent,politicalinfluenceandecono

micpressures.Itexam

inethelegalenvironm

entforthemed

ia,

politicalpressuresthatinfluencerep

orting,and

econo

micfactorsthataffectaccesstoinform

ation.

http://www.freedom

house.org/template.

cfm?p

age=

16

Environm

entalP

erfor-

manceIndex

TheEPIp

rovidesbenchmarksfo

rcurrentnationalpollutioncontroland

naturalresou

rcemanagem

entre-

sults.Itcentreson

twobroad

environm

entalobjectives–red

ucingenvironm

entalstresson

hum

anhealth

andprotectingenvironm

entalvitalitygaug

edusing

16indicatorsandsixestab

lishedpolicycatego

ries:

environm

entalhealth,airquality,waterresou

rces,b

iodiversityand

hab

itat,productivenaturalresou

rces

andsustainab

leenergy.

http://www.yale.ed

u/ep

i/)

GlobalintegrityIndex

TheGlobalIntegrityIndexassessestheexistenceandeffectivenessofanti-corrup

tionmechanism

sthat

promotepub

licintegrity.M

orethan290discreteIntegrityIndicatorsgeneratetheIntegrityIndexand

are

organizedintosixkeycategoriesandtwentythreesub

-categories.T

heseindicatorsno

ton

lyassessthe

existenceoflaws,regulations,and

institutionsdesignedtocurbcorruptionbutalsotheirimplementation

aswellastheaccessthataveragecitizenshavetothosemechanism

s.

www.globalintegrity.org

Internationalactorsac-

countabilityindex

Thisindexassessesthirtyoftheworld’sm

ostpow

erfulorganisationsfrom

intergovernm

ental,corporate

andnon

-governm

entalsectorsusing

thefo

urdimension

sofaccou

ntab

ilityasdefinedbytheGlobal

Accou

ntab

ilityFramew

ork:transparency,p

articipation,evaluation,and

com

plaintandrespon

sem

echa-

nism

s.TheIndexisthefirstinitiativetom

easureand

com

paretheaccountabilityoftransnationalactors

from

intergovernm

ental,no

n-go

vernmentaland

corporatesectorshenceextend

ingbasicprinciplesof

dem

ocracytotheglob

allevel.Th

eorganisationsareassessedonho

wtheyintegratekeyaccountability

principlesinexistingcapab

ilities-bothorganisationalpoliciesandthem

anagem

entsystem

sthatenable

thesepoliciestobeop

erationalised

.

http://www.oneworldtrust.org?

display=index_

2006



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6-116-10

Ind

exB

rief

Des

csri

pti

on

Web

site

ref

eren

ce

Pub

licintegrityindex

Thisaimstom

onitortheexistenceandeffectivenssofm

echanism

sthatpreventabusesofp

owerand

promotepub

licintegrityaswellastheaccessthatcitizenshavetotheirgo

vernment.

http://www.pub

licintegrity.org/ga/

AfricaPeerReview

Mechanism

TheAPRMprocessentailsperiodicreviewsofthepoliciesandpracticesofp

articipatingstatestoascer-

tainprogressbeing

mad

etowardsachievingmutuallyagreedgoalsand

com

pliancewithagreedpolitical,

econ

omicand

corporatego

vernancevalues,cod

esand

stand

ardsasoutlined

intheDeclarationon

Dem

ocracy,P

olitical,Econo

micand

CorporateGovernance.Theprocessisaimed

atspurringcountries

toseriouslycon

sidertheim

pactofdom

esticpolicies,notonlyon

internalpoliticalstabilityand

econo

mic

grow

th,b

utalsoon

neigh

boringcountriesaswellaspromotingmutualaccou

ntab

ilityand

com

pliance

withbestpractice.

http://www.au2002.go

v.za/docs/summit_coun-

cil/aprm

.htm

Afrob

arom

eter

Thisaimsatproducingacomparativeseriesofnationalpub

licattitudessurveyon

dem

ocracy,m

arkets

andcivilsocietyinAfrica.It’sam

asssurveythatattemptstomeasurepeople’sattitudestodem

ocracy

andecono

miccon

dition

sinselectedAfricancou

ntries.

www.afrob

arom

eter.org

KenyaBrib

eryIndex

KenyaBrib

eryIndexispartofTI-Kenya’seffo

rttoinform

thefigh

tagainstcorrup

tionwithrigorou

sand

objectiveresearchand

analysis.Thesurveycapturescorrup

tionasexperienced

byordinarycitizensin

theirinteractionwithofficialsofbothpub

licand

privateorganizations.R

espon

dentsprovideinform

ation

ontheorganizationswheretheyhaveencou

ntered

brib

eryduringtheyear,w

heretheypaidbrib

es,how

muchandfo

rwhat.

http://www.tikenya.org/pub

lications.

asp?D

ocum

entTypeID=10



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6-116-10

Iv. monItorInG Good Governance by tracKInG budGet

expendItures and publIc spendInG

How government spends public money is a critical area for any organization engaged in improving democracy and governance. While policy outlines a government’s ideologically-based objectives, a budget reflects the more practical day-to-day financial priorities and stated long-term development goals over a certain period of time.

Budgets should be based on principles of efficiency and equity while reflecting national priorities in improving people’s economic, social, and political life.

There are several ways an organization can engage with the budget process. Ideally, your organization can create a more open and participatory process by directly involving citizens in: (1) Budget Formulation – influencing which government programs, goods and services receive funds. (2) Budget Analysis – comparing the allocations contained within the budget to the government’s stated priorities. (3) Budget Implementation – tracking the actual expenditures of allocated funds, finding leakages and blockages (4) Monitoring and Evaluation of Performance—assessing the implementation and impact of government programs, goods or services.

a. Budget FormulationRather than analyze a budget that has already been adopted, your organization and its con-stituency may want to become involved in budget formulation. For this approach to work, you must form a partnership with government. While a mutually respectful relationship with government would be ideal, there will always be tension between civil society and gov-ernment actors. This tug-of-war mentality should not stop your engagement. By relaying reliable information in an accessible way to policymakers, you are more likely to achieve the changes needed to improve people’s lives.

Every budget has two main components:

Income Expenditures

Incomeandsalestaxes,fees,licenses,

duties,internationalgrantsorloans

Recurrent expenditures for Nigeria

Goodsandservicesbeingconsumedimmediately(wagesfor

civilservants,suppliesforschools,etc)

Capital expenditures

Machinery,infrastructure(ambulances,medicalclinics)

To meaningfully participate in the budget making process, you must understand the constraints that political actors and line ministries must adhere to. Consider the following example timeline – when does it make sense to participate, when is not the “right”time?

A budget translatesfinancial resources into

human purpose -AaronWildavsky



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Example Budget Process Timeline

Timeline Action Explanation

December DevelopmentofMacroEconomicResourceFramework

ReviewofSectoralResourcesandPrograms

TotalpublicsectorresourceenvelopeSectorprioritization

January Sectoralresourceenvelope Broadsectorenvelopeallocations

February Ministerialanddepartmentalceilings Treasurecircularwithceilings

March Itemizedbudgetpreparations Ministry/DeptbudgetproposalscirculatedtoTreasury

April ReviewofproposalsbyTreasury FinalitemizedMinisterial/Deptestimates

May Finalizationofproposalsby Treasury

Printingofthethreeyearrollingbudget

BeforeJune21 PresentationofBudgettoParliament BudgetSpeech

AfterJuly ParliamentaryApproval

From A Tool for Tracking Budgetary Allocations, Disbursement and Utilization for Basic Education. Elimu Yetu Coalition. 2002.

Having an impact during the budget formulation stage will most likely require you to build strong relationships at the local or national government or find a Champion discussed above. Realistically, to have an impact on budget formulation, your organization will have to gather evidence, develop priorities and submit your request to the relevant ministries or departments before the budget is drafted not after. As the budget progresses through vari-ous stages, you should continually monitor the process in order to make sure your priority allocation is not eliminated.

b. Budget Analysis. Government resources are not inexhaustible, but their allocation can be changed. To analyze an existing budget: 1. Gather input from your beneficiaries on the government services they receive or policies they want changed. Ask for a prioritized list of improvements that should be made/new services to be added. 2. Gather government policies related to those services/goods and planning documents. The policy documents are the government’s starting point for budgeting. 3. Review the budget document. 4. Compare the budget allocation to the priorities set by the beneficiaries. Have enough resources been allocated? Can you see what institutional changes need to be made in order to achieve equity, efficiency and fairness?

c. Budget ImplementationBudget implementation involves the process of tracking the actual expenditure of allo-cated funds, finding leakages and blockages that are hampering the effective utilization of allocated funds. Monitoring the implementation of budgets is best done at sectoral level. Budget implementation should also be reviewed periodically to ensure that programs are implemented effectively and identify any financial or policy slip-ups.



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An organization can get involved in budget implementation in a number of ways: • Keepingtrackofthecommitmentsandpayments:inthefirstinstance,commitment of expenditure, i.e. a decision to use a particular sum from a specific budgetary line in order to finance a specific project; then (after the corresponding legal commitments have been established and the contractual service, work or supplies been delivered) comes the authorization of the expenditure and the payment of the sums due. • Analysisofinformationforverificationofexpenditure • Buildingthecapacityoftheorganization’sconstituencytomonitorimplementation at local level • Integratingmonitoringthebudgetimplementationintheorganizationsactivities

d. Where Did All the Money Go? Budget Tracking.In addition to gathering the same information needed for a Budget Analysis, Budget tracking means looking at the actual monies spent, which makes it an excellent tool for exposing corrupt practices. Don’t be intimidated by jargon in budgets. Focus on concrete goods and services that are easily counted/visible, which have been paid for with public funds and should be delivered.

Budget tracking is a careful and intentional ‘watch’ over the use of resources. It involves close monitoring, assessment and evaluation of the budgeting process throughout the in-vestment process i.e. from planning, allocations, disbursement, and implementation to the final stage of assessing the effect of budget investment.

In the basic context, it is holding state actors at the different levels to account for their decisions and actions when managing public resources. Public expenditure tracking is premised on the assumption that information is power and that PETs information will empower citizens and hence begin to be sensitive with the use of public resources for better service provision. This empowerment should enhance public oversight on the use of resources.

Issues to bear in mind:

Budget Equality Ideally, a budget will be formulated in a participatory manner, giving equal weight to men’s and women’s budget priorities. A basic principle of equity underlies any budget, which means that priorities should reflect the real differences in men’s and women’s lives. For example, the public transport budget should not direct funds just at taking people from residential to commercial areas, but also from residential to residential areas since many women are employed as domestic workers.

In conducting a gender analysis of the budget, here are a few questions to ask:

SouthAfricawasoneofthefirstcountriestoexaminebudgetsfortheirimpactsondifferentgroupsofwomenandmen.Startedin1995,theWomen’sBudgetInitiative(WBI)entailedthecollaborationofwomenparliamentariansandNGOs.TheNGOpartnerswererespon-sibleforanalysingthebudgetandthepoliciesbehinditfortheirgenderimpacts,whilethepoliticianswouldusethefindingstoinfluencethebudgetdebateinparliament.

FiveannualcommentariesonthegenderimpactsofthebudgetwerepublishedwhichinfluencedasimilarinitiativetobeginwithintheFinanceMinistryonapilotbasis.TheWBIalsoproducedasimplifiedsetofpublicationscalledMoneyMatterstargetingabroaderaudienceaswellastrainingmaterialsforlegislatorsandcivilsocietyactivitiesintheSouthernAfricansub-region.

In2000,theparliamentaryCommitteeonImprovementoftheQualitylifeandStatusofWomen(CIQLSW)commissionedtwoNGOsinvolvedwiththeWBItoundertakeresearchintothebudgetaryaspectsofviolenceagainstwomen,povertyandHIV/AIDS.SomeofthefindingshavebeenusedintheCommittee’sreportsandcanbeusedinfuturebudgetdebates.Thesurveysconductedcanbeusedasbaselinestudiesagainstwhichtomonitorgovernmentprogressontheseissues.

Source: Budlender and Hewitt (2002)From Joachim Wehner and Winnie Byanima, Parliament, The Budget and Gender. Hand-book for Parliamentarians. 2004.



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i) Gender-specific programs. Examine any sections that include activities or programs targeted at women. Usu-ally, this is less than 1% of a budget. Do those programs reinforce women’s tradi-tional roles or promote gender reform? How much money is spent on addressing gender based violence? Is it confined to one department or Ministry or is it part of a cross-cutting initiative?

ii) Mainstreamed into general allocations. Does the budget take into account the real differences that women and men, girls and boys experience? For example, women and men use transport differently. While both may need to travel from their homes to a commercial center — which is how most transport systems are designed – women more than men are engaged as domestic works and will need to travel from their homes to other residential areas.

iii) Taxes. Does the budget include exemptions based on income from user fees (education, water, electricity, etc) and VAT? The poor will pay disproportionately more of their income when they pay VAT and user fees. More women than men are living in poverty.

iv) Privatization. Have any government programs been privatized? Privatization often causes a decrease in access to services or increased costs of services, which increases the unpaid workload of women.

v) Equal opportunity efforts. A budget may include tax credits or programs that address gender discrimination. Are child tax credits paid to main caregiver rather than the main breadwinner? The main caregiver is usually a woman while main breadwinner is more likely to be a man. Do the national accounts and gross national product include an estimate of unpaid household work (especially child and elderly care)? Usually, this work is done by women. Including the value of this work in national statistics highlights the true value of women’s contribution.

vi) Deficits. Is money spent the way it was intended? Was borrowing required to pay for any shortages? If government consistently plans or budgets poorly, this will impact women negatively in multiple ways; for example—diverting money away from programs will hurt women beneficiaries.

Methods of tracking budget expenditure and public spending i) Social Audits A social audit is a way of measuring, understanding, reporting and ultimately im-proving an performance and helps to narrow gaps between vision/goal and reality, and between efficiency and effectiveness. Although the term “Audit” is used, Social Auditing does not merely consist of examining costs and finance – the central concern of a social audit is how resources are used for social objectives. (Source: www-esd.worldbank.org/sac/Resources/..%5CTools%5CPPM%5Csa_1.html). For an example a community may conduct a social audit on how government funds

In2002,theUgandanDebtNetworkrecruitedandtrainedvolunteerCommunityBudgetMonitors(CBMs).Electedbytheirpeersaspersonswithcredibility,CMBshavea

naturalincentivetoensuregovernment’saccountability.Thissuccessfulpilotprojectisnowworkingin8districtsinUganda,resultinginreal

improvementstogovernmentservicedelivery.



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earmarked for a particular project (for example the building of a local school) were actually used—was the school completed, was the money spent the same as was allocated, was the school construction sound? This type of social auditing enhances democratic local governance through the participation of their constituency as well as promoting transparency and accountability in projects/programs. The process makes organizations and governments more accountable for the social objectives outlined in their strategies.

ii) Public Expenditure Tracking Study/Survey (PETS) Public Expenditure Tracking Studies are studies that track funds from disburse-ment through to frontline services and documents “leakage”. It compares budget-ary allocation to actual spending and involves ‘following the money to where it is spent, comparing budgetary allocations with records of transfers and receipts at each level of government. -PETS can be done at the Central government, Districts, and Wards and even in villages.

How to conduct a Budget Tracking Study/Survey (PETS)The following are the 8 key steps:

First step: Identify the scope of study area - before initiating a survey, decide whether the study is going to cover all sectors, one particular sector like health or units of service like groups of primary schools.

Second step: Identification of Purpose- what exactly are you seeking to do? Is it just a matter of collecting information or diagnose a problem for broad public sector reform?

Third step: Determine key actors (audiences) - who will be in-terested in the data you will collect. This depends on the type of sector. For instance in the education sector, the key civil society stakeholders include: - Parents and Teachers Associations (PTAs); - School Management committees; - Teachers Unions and Organizations; - Faith Based organizations; - CSOs and CBOs involved in basic education service.

Fourth step: Determine the criteria for choosing the unit for analysis or evaluation. There are four important criteria for se-lecting a unit of analysis: - The unit must be an important source of service delivery, such as primary health clinics in rural areas - The unit must exist in a big number for a credible statistical analysis - They must be relatively homogenous in characteristics for comparable analysis of features like cost efficiency - The extent of data availabilityThere are different techniques of selecting units to be involved in a study or survey. These are broadly classified as: Non-probability/non scientific and probability/scientific sampling techniques.

Successful budget tracking success story

In2001,theElimuYetuCoalition(EYC),anassemblyofcivilsocietyorganizations,professionalgroupingseducation/researchinstitutionsandotherpractitionersintheeducationsector,carriedoutpilotworkintwodistricts,developingbudgettracking

toolsandacoreteamoftrainers.

Thecoalitionwasalarmedtofindparentalcontributionstotheirlocalschooloften gotsuckedoutoftheschooltopropupdistricteducationofficesandsupport services.Thehighlevelofcommunity participationledtounmaskinghead

teachersmisappropriatingfundsforfree primaryeducation.

Communitypressurealsoforcedotherstoresign.Schoolsnowdisplaytheirbudgetsandfundsutilizationonschoolnotice

boardsforpublicscrutiny.Schoolinspec-torsarenowprovidedwithtransportanda

budgetlineandincludeasocialaudit (anauditbythecommunityorusersofthe

services)intheirinspectionroutine.

http://www.actionaid.org.uk/328/budget_tracking.html



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Step five: Develop tools for study and collect data. The most common tool in PETS is the questionnaire. However they are of different forms (citizens’ report card, Pima card, Com-munity Score cards etc)

Step six: Analysis, reporting and dissemination of information/data on PETS. A com-petent person in data analysis should do analysis of the data. This can be a consultant or the implementing group can seek the assistance of an institute of statistics, universities and other networks who have the capacity. The reports should be widely disseminated to encourage debate and discussion to facilitate the alleviation of the problems highlighted in the survey. In all these processes people from the district should be involved to ensure acceptance and ownership of the results. When people find something fishy, they can also share the findings with the Anti Corruption Bureau as well as with the Police. In addition to this, information can be disseminated through the media (news articles, press releases, radio talk shows etc), publications, public meetings, and discussions with assembly and service provider officials, other CSOs etc.

Step seven: Presenting information from budget tracking study. Information obtained during budget tracking can be presented in various forms. Charts, graphs, tabular or statistical ways could be used. Using charts, graphs, and tabular or statistical information in presenting budget tracking information can be a powerful way of advocating for policy changes. These enhance the messages that you have and add to the evidence for policy advocacy.

Step eight: Tools and methods for presentations. The presentation of your document should be such that the information is digested easily - with the most important information given the most prominence.



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pu

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InG s

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.-

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-



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6-196-18

Item

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Co

mm

ents

Res

po

nsib

le p

erso

n

5. P

roje

ct M

anag

emen

t.3

Lookintoissuesrelated

toprojectim

plementationasrelated

toAnnual

OperationPlan.

3

Reviewtheproject’sprogresstowardstheimplementationofAnnualImplementationPlan.

3-


rdinatoranyissuesrelated

totim

elysubmission

and

accuracyof

reports.

3-

Inquireabou

tactionstakenbyProjectCoo

rdinatorinregardstoup-com

ingevaluation/TD

I/Au-

dit.

3-

Lookintotheprojectm

echanism

sfordecision-making(Reviewprojectm

eetingreports).

3-

Inquireabou

ttheeffectivenessoftheprojectstructures,linesofcom

municationandautho

rity

atprojectlevel.

3-

Lookintothelevelofinvolvementofprojectbeneficiaries.

3-

Inquireabou

tthelevelofsatisfactionofbeneficiarieswithprojectoutputs.

3Lo

okintotheprojectprogresstoachievequantitativelyandqualitativelyitsoutputs.

3-

6. P

roje

ct m

oni

tori

ng a

nd e

valu

atio

n

Examineprojectsup

portivemon

itoringvisitbypartners.

3-

Inquireabou

ttheprojectrespon

sesandim

plementationofM

&Eaud

itand

Reviewrecom

mendations.

3-

Inquireabou

tthepresenceandapplicationofprojectm

onitoringsystem

.3

-

Lookintotheprojectneedsfortechnicalm

onitoring.

3-



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6-196-18

Item

s3

Co

mm

ents

Res

po

nsib

le p

erso

n

7. E

xter

nal R

elat

ions

3

Inquireabou

ttheprojectrelationswithGovt,otherNGOs,and

don

orrep

resentatives.

3-

Inquireabou

tProjectCoo

rdinationCom

mittee(P

CC)m

eetings.

3-

Inquireabou

tmechanism

formob

ilizing

,collection,utilizationandaccou

ntab

ilitytothecom-

munitycon

tribution.

3-


rdinatoranyplansfo

rpub

lishing

:hum

anintereststories,lesson

s

learned,p

hotograp

hs,educationalm

aterials,etc.

3-

8. H

uman

Res

our

ce M

anag

emen

t

Inquireand

verifyabou

tstaffsigning

ofkeyorganisationalpoliciesandguidelines(C

hildpro-

tectionpolicy,genderpolicy,cod

eofcon

ductetc.)

3-


rdinatorreviewprocessofstaffperform

anceand

measuresinplacetomon

itorcompliancewithrecom

mendations.

3-

Inquireabou

tstaffturno

ver.

3-

Lookintotheprojectm

anagem

entrespon

setostaffg

rievances.

3-


rdinatorcriticalissuesfacedbytheprojectinterms

ofstaffhiring.

3-

Inquireabou

tstaffcap

acitybuilding.

3-

9. P

rese

nce

of

Key

do

cum

ents

Examinepresenceofprojectkeydocum

entslikeM

oU,B

aselineRep

orts,

mon

thlyrep

ortsetc.

3-



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v. monItorInG your advocacy efforts to promote Good Governance usInG:

• Organization Clout • Constituency Legitimacy • Coalistion Effectiveness

a) Measuring Your CloutTo be effective advocates who can command the attention and respect needed to influence decision makers, an NGO needs clout, which is a combination of legitimacy, visibility and credibility.

Legitimacy. Too often, NGOs plan for people rather than with them. In real terms, increasing your legitimacy among your constituency means involving your beneficiaries in all stages of your programming. When your organization has legitimacy, your actions are based on wide social support and allows you to defend yourself against accusations of elitism by government. By planting strong roots in your community, your organization will speak from a position of authority when engaging and influencing policymakers.

Credibility. Once you have firmly established your legitimacy among your beneficiaries, you can increase your clout by conducting your core work in a professional, transpar-ent way. For example, if your organization wants to advocate for legislation that requires politicians to publicly disclose their conflicts of interest, first ensure that your organization’s policies are in place and rigorously enforced.

Visibility. Finally, now that you and your constituency are aligned in a professional partnership, you should raise your organization’s public profile. Engaging with the media and building relationships with decision makers by meeting on a regular basis – not just during a crisis – are important components in establishing your reputation as an organiza-tion that has public support for its views.

Legitimacy Credibility Visibility

3OurBoardofDirectors includesatleastoneformerorcurrentdirectbeneficiary

3Membersofthepubliccananddojoinourorganization

3Ourconstituencyisinvolvedinallstagesofourplanningprocesses(includingproblemidentification)

3Ourconstituencyconductsas-sessmentsorsocialauditsofourprograms

3Ourconstituencydonatestheirtimeormoneytoourorganization

3Ourconstituencyconsidersourprograms/servicestobehighquality

3Ourorganizationprovidescapacitybuildingtrainingtoourconstituents

3Weareperceivedtobe politicallyindependent

3 OurBoardofDirectorsincludespeoplewhoarewell-knownandrespectedinourcommunity

3 Ourorganizationconductscommunityneedsassessmentsbeforebeginninganynewpro-grams

3Ourorganizationisviewedasasourceofcredibleinformationbypoliticalleaders,communitymembers,andthemedia

3Ourstaffandleadersareviewedascompetentpeoplewithintegrity

3 Ourorganizationhasasound,open,transparentfinancialsys-tem

3 Ourorganizationproduceshighqualityinformation/research

3Ourorganizationhasstrongpolicieswhichenforceinternalaccountability

3Wedistributecopiesofourannualreportbroadlytoourconstituency,communityleaders,politicians,traditionalleadersandthemedia.

3Wehaveestablishedrelation-shipswithallpoliticalpartiesinourcommunity

3 WemeetwithourMemberofParliamentatleasttwiceperyeartoprovideinformationonouractivitiesorlobbyonanissue

3 Wemeetwithlocalandnation-algovernmentofficialsatleasttwice/yeartoprovideinformationonouractivitiesorlobbyonaspecificissue

3 Wearecitedinthemediaasareliablesourceofinformation

3 Wespeakonradio/TVortojournalistsatleast6timesperyear



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How much clout does your organization have? Use the Clout Questionnaire... Introduction: To be effective advocates who can command the attention and respect needed to influence decision makers, a CSO needs clout, which is essentially a combinationofaCSO’slegitimacy,visibilityandcredibility.Pact/KCSSPisinterestedincollectinginformationon the level of clout commanded by funded CSOs when undertaking advocacy campaigns. Instructions: 1. This matrix is to be completed by staff, board members and any other individuals who are very conversant with the CSO operations. 2. The respondent is not required to indicate his/her name 3. Mark your response by circling the appropriate answerPART 1

NameofCSO:_______________________________________________________________

CSOisalegallyincorporatedorganization(Pleasetickone)Yes______No_______

Membershipsize(indicatecurrent#ofCSOmembersiforganizationismembershipbased)_______

Sizeofconstituency(pleasestatesizeifknown)______________________

Ageoforganization(pleaseindicatenumberofyearsCSOhasbeeninexistence)

Numberofstaffinorganization______________________

PART II

CSOImage,RelationsandContacts

Organizationhasastrongknowledgebase N/A X 1 2 3 4 5

Organizationhasagoodassetbase N/A X 1 2 3 4 5

CSOhasreliablelinkswithfundingagencies N/A X 1 2 3 4 5

CSOBoardmembersarewellknownandrespected N/A X 1 2 3 4 5

CSOleadersareperceivedtohavegreatintegrityandcompetence N/A X 1 2 3 4 5

CSOstaffareperceivedtohavegreatintegrityandcompetence N/A X 1 2 3 4 5

CSOiswellknowninKenyaamongkeystakeholders(e.g.ifaskedwhichorganizationsareworkingontheissuesyouworkon,membersofgovernmentandorthecommunitywouldlistourname)

N/A X 1 2 3 4 5

CSOiswellknownregionallyandorinternationally(i.e.todonors,intheregionalorinternationalpress,amongsimilarorganizations)

N/A X 1 2 3 4 5

CSOspeaksontheradio/TVortonewspaperjournalistsatleast6timesperyear N/A X 1 2 3 4 5

CSOhasareputationforgeneratinghighqualityinformation(research,publicationsbriefings…)

N/A X 1 2 3 4 5

CSOisrecognizedforitstechnicalknowledge/awareness(theoreticalorpracticalexperienceinagivenfield

N/A X 1 2 3 4 5

CSOiscitedinthemediaasareliablesourceofinformation N/A X 1 2 3 4 5

CSOisroutinelycalledontopresentourknowledgeorshareinformationinourgivenfield(bythemediaandorgovernmentandorrelevantlocal,regionalorinternationalorganizations)

N/A X 1 2 3 4 5

CSOhasstronglinkageswithsupportersoraffiliatedbodies N/A X 1 2 3 4 5

CSOhascontactsatthehighestlevelofGovernment N/A X 1 2 3 4 5

CSOmeetswithMembersofParliamentatleasttwiceperyeartoprovideinformationonouractivitiesorlobbyonanissue

N/A X 1 2 3 4 5

CSOmeetswiththerelevantMinistriesatleasttwiceperyeartoprovideinformationonouractivitiesorlobbyonanissue

N/A X 1 2 3 4 5

CSOmeetswithotherrelevantstateagencies&parastatalsatleasttwiceperyeartoprovideinformation

N/A X 1 2 3 4 5



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CSOhascontactswithadvocates/lawyersandortheJudiciary N/A X 1 2 3 4 5

CSOmeetswithProvincialgovernmentofficialsatleasttwice/yeartoprovideinforma-tiononouractivitiesorlobbyonaspecificissue

N/A X 1 2 3 4 5

CSOmeetswithDistrictgovernmentofficialsatleasttwice/yeartoprovideinformationonouractivitiesorlobbyonaspecificissue

N/A X 1 2 3 4 5

CSOmeetswithlocal/divisionalgovernmentofficialsatleasttwice/yeartoprovideinformationonouractivitiesorlobbyonaspecificissue

N/A X 1 2 3 4 5

CSOhascontactswithallmajorpoliticalparties N/A X 1 2 3 4 5

CSOisperceivedtobepoliticallyindependent N/A X 1 2 3 4 5

Rating guidelines

N/A Notapplicable

X Insufficientinformationavailabletoassess

1 Stronglydisagree

2 Disagree

3 Neitheragreenordisagree

4 Agree

5 Stronglyagree



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b) Measuring Your Constituency LegitimacyToo often, NGOs plan for people rather than with them. In real terms, increasing your legitimacy among your constituency means involving your beneficiaries in all stages of your programming.

What is a constituency? In simplest terms, your constituency is made up of your sup-porters, people who share your values, your goals, or your ideology. Examples include direct beneficiaries of your services or programs, members of your organization, even your donors.

When your organization has legitimacy, your actions are based on wide social support and allows you to defend yourself against accusations of elitism by government. By planting strong roots in your community, your organization will speak from a position of authority when engaging and influencing policymakers.



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How legitimate is your organization? Use the Constituency Legitimacy Questionnaire Introduction: To be effective advocates, CSOs need to have legitimacy among their constituents which means involving constituents in all stages of programming. By planting strong roots in the community, a CSO will speak fromapositionofauthoritywhenengagingandinfluencingpolicymakers.Pact/KCSSPisinterestedincollectinginformation on the extent to which funded CSOs are planning and implementing with constituents and thereby maximizing on effectiveness of their advocacy campaigns.Instructions: 1. This matrix is to be completed by staff, board members and constituents who are very conversant with the CSO operations. 2. The respondent is not required to indicate his/her name 3. Mark your response by circling the appropriate answerPART 1

NameofCSO:_______________________________________________________________

Membershipsize(indicatecurrent#ofCSOmembersiforganizationismembershipbased)____

Sizeofconstituency(pleasestatesizeifknown)______________________


Numberofstaffinorganization______________________

PART II

Relations with constituents

CSOBoardofDirectorsincludespeoplewhoarewell-knownandrespectedamongourconstituents/communities

N/A X 1 2 3 4 5

CSOBoardofDirectorsincludesatleastoneformerorcurrentdirectbeneficiaryofourprogram

N/A X 1 2 3 4 5

CSOconductscommunityneedsassessmentsbeforebeginninganynewprograms N/A X 1 2 3 4 5

CSOconstituencyisinvolvedinallstagesofourplanningprocesses(includingproblemidentification)

N/A X 1 2 3 4 5

CSOisperceivedtobepoliticallyindependentwithinthecommunitiesweworkwith N/A X 1 2 3 4 5

CSOhasestablishedrelationshipswithallpoliticalpartiesinourcommunity N/A X 1 2 3 4 5

CSOmeetswithlocalgovernmentofficialsatleasttwice/yeartoprovideinformationonouractivitiesorlobbyonaspecificissue

N/A X 1 2 3 4 5

CSOdistributescopiesofourannualreportbroadlytoourconstituency,communityleaders,politicians,traditionalleadersandthemedia.

N/A X 1 2 3 4 5

CSOspeaksontheradio/TVortonewspaperjournalistsatleast6timesperyear N/A X 1 2 3 4 5

CSOisviewedasasourceofcredibleinformationbycommunitymembers,andthemedia N/A X 1 2 3 4 5

CSOconstituencydonateStheirtimeormoneytoourorganization N/A X 1 2 3 4 5

CSOconstituencyconductsassessmentsorsocialauditsofourprograms N/A X 1 2 3 4 5

CSOprograms/servicesareconsideredofhighqualitybythecommunity N/A X 1 2 3 4 5

CSOprovidescapacitybuildingservicestoourconstituents N/A X 1 2 3 4 5

CSOhasstrongpolicieswhichenforceinternalaccountability N/A X 1 2 3 4 5

Rating guidelines

N/A Notapplicable


1 Stronglydisagree

2 Disagree


4 Agree

5 Stronglyagree



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c.) Measuring Your Coalitions’ EffectivenessThere are many advantages to working in coalitions – more resources expertise, higher visibility and influence, spreading of risk, and greater chance of success. Sharing responsibility means more tasks can be accomplished in less time. However, every coalition must grapple with the challenges of maintaining enthusiasm, ensuring ownership, and minimizing conflict while steer-ing a clear way forward.

Successful coalitions:Define responsibility early and clearly. Whether you chose to limit your members to a small

group or seek an ever-expanding coalition, clearly state the expectations that all members must meet – attendance at meetings, mini-mum requirements for participation in planning and activities, communication, etc.

Share power equitably.Coalitions often fail when a member feels their input is ignored, slighted or unwelcome. Share successes along with failure and ensure equitable power-shar-ing. At every meeting, rotate the responsibilities of chair and secretary to different organizations.

Choose appropriate governance mechanisms.Determine how decisions will be made, whether by consensus or voting. Also remember to state how of-ten an issue can be raised before it must be discarded.

Create your emergency response plan before there is an emergency. A large coalition with many members serves as an excellent source of people and ideas, but in a crisis, who will make decisions? Plan in advance how you will communicate to everyone that a crisis has arisen and which groups will take primary responsibility to ensure there is an appropriate, timely response.

What is a Coalition?Coalitionsaregroupsofpeopleororganizations

workingtopursueasinglegoal.Incoalitions,all

membersmakealong-termcommitmenttoshare

responsibilitiesandresources

What is an Alliance?Alliancesarebasedonshort-termrelationships

betweenpeopleororganizationstoachieve

narrowlyfocusedobjectives.Limitsontimeand

responsibilitiesmakeallianceslessdemanding

thancoalitionsontheirmembers.

What is a Network?Networksarepeopleororganizationswithsimilar

interestsorconcernswhoshareinformationand

ideas.Eachpersonororganizationremains

independent.

Meeting ChecklistHere are some tips to keep in mind for our

next coalition meeting:Before meeting:

®Select Chairperson

®Select appropriate location and time for the meeting

®Prepare agenda and minutes from previous meeting and distribute to all members

®Invite all members and follow up to confirm attendance

During the meeting:

®Start on time and end early

®Follow the agenda

®Encourage group discussion but keep the conversation focused on the topic.

®Keepminutesofthemeetingforfuturereference and record keeping

®Be a role model by listening, showing interest, appreciation and confidence in members. Admit mistakes

®Summarize agreements reached and end the meeting on a unifying or positive note

®Put unfinished business on the agenda for the next meeting.

After the meeting:

®Write up and distribute minutes within 3 days

®Follow-up on decisions made during the meeting to ensure that all members understand and carry-out their responsibilities. Give recognition and appreciation to excellent and timely progress



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How effective is your Coalition? Use the Coalition/Networks Effectiveness QuestionnaireIntroduction: CSOs often work in coalitions and networks as this gives them a stronger voice in any advocacy campaign; helps raise more resources, expertise, visibility and influence; spreads risk and increases chances of success in less time. Pact/KCSSPisinterestedincollectinginformationonhowcoalitionstowhichKCSSPpartnersbelongaremeasuringtheireffectiveness and maximizing on the benefits of working in a coalition/network. Instructions: 1. This matrix is to be completed by coalition/network members. The respondent is not required to indicate his/her name 2. Please indicate if you are completing this questionnaire for: a. A coalition ______ b. A network ______ 3. Mark your response by circling the appropriate answerPART 1

NameofCSO:_______________________________________________________________

CSOisalegallyincorporatedorganization(Pleasetickone)Yes______No_______

Sizeofmembership(indicatenumber)_______

Lengthoftimecoalition/networkhasexisted(Indicateduration)______________________


Constituencysize(indicateconstituecnysizeifknown)______________________

PART II

Coalition purpose, leadership, relations and management

TheCoalition/Networkhascleargoalsandobjectivesguidingitswork,lifespanandresults. N/A X 1 2 3 4 5

TheCoalition/Networkhasclear,sharedgroundrules N/A X 1 2 3 4 5

TheCoalition/Networkhaslaidoutcleardecisionmakingprocesses N/A X 1 2 3 4 5

RolesandresponsibilitiesareclearlylaidoutforCoalition/Networkmembers N/A X 1 2 3 4 5

Coalition/Networkmanagesexternalconflictseffectively. N/A X 1 2 3 4 5

Leaderspromoteshareddecision-making N/A X 1 2 3 4 5

LeaderspromoteconsensusbuildingamongCoalition/Networkpartners N/A X 1 2 3 4 5

Leadersmanageandresolveinternalconflictseffectively N/A X 1 2 3 4 5

LeadersshareinformationwithintheCoalition/Networkfreely N/A X 1 2 3 4 5

PersonalityclashesamongleadersdonotdisruptCoalition/Networkactivities N/A X 1 2 3 4 5

Coalition/Networkmembersfreelypoolresources(financial,human,equipment,etc.) N/A X 1 2 3 4 5

Coalition/Networktakesadvantageofdiversemembershiptofacilitatecreativeproblemsolving N/A X 1 2 3 4 5

RisktomembersisreducedbyparticipatingintheCoalition/Network N/A X 1 2 3 4 5

CreditissharedamongtheCoalition/Networkmembers N/A X 1 2 3 4 5

ResponsibilitiesaresharedequitablywithintheCoalition/Network N/A X 1 2 3 4 5

Coalition/NetworkmembersarestrengthenedbytheirparticipationintheCoalition/Network N/A X 1 2 3 4 5

TheCoalition/Networkisacceptedbydecisionmakersasrepresentativeofabroadconstituency N/A X 1 2 3 4 5

Rating guidelines

N/A Notapplicable


1 Stronglydisagree

2 Disagree


4 Agree

5 Stronglyagree



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vi. monItorInG Good Governance by tracKInG polIcy chanGe and advocacy proGress

A policy is an expression of political will of government, a statement of priorities and intentions. Though public consultation is a best practice, often a policy is developed exclusively by the Executive Branch and may or may not be made public. In contrast, though a law may be proposed by the Executive, it may only be passed by the Legislature. Since laws create binding conditions and obligations, public consultation is critical. Only a law – not a policy – gives a person legal rights in court.

Making policy change requires: 1. Favorable political environment. However, even with the most conducive environment for the policy change you are pursuing, you will need a Champion. 2. Clout. The scope of activities, strength of your alliances, your credibility, and power/reach of your constituency. 3. Autonomy. Your organization needs independence and freedom to innovate and make decisions. Though the political arena often requires compromise and flexibility, beware of the real danger of cooptation.

Many factors may influence the adoption or dismissal of a policy. How can you measure your impact on the process to more effectively demand reforms, monitor government activities and provide other critical services to your constituents? Mea-suring the how of policy change – the activities and resources you expend --is often a proxy for measuring effect. But to really understand if your activities are having an impact you must measure effect, not just participation in the process

assessInG your Impact In the polIcy maKInG process

In assessing whether your work to promote a particular policy outcome has been successful, there are many levels to examine. Clearly, if a new policy is put into place that is exactly the same as your proposals, you might be able to claim success. But policy making is far more complicated and policy makers have many competing messages vying for their attention.

Remember that policies will have impact for years to come, which you should measure.You have already developed some data or impact analysis which you used to convincedecision makers to adopt your proposal. For example, you might have proposed that government funding of more teachers will result in XXXX pupils with higher test scores or a X% reduction in crime rates per year. Simply aggregate the data to reflect the changes that should occur over the lifetime of the policy.

the advocacy proGressIon Index

The Advocacy Progression Index uses a point index to provide a measure of overall progress in the establishment of a policy environment as relevant to a given program. The index tracks the achievement of milestones in advocacy and policy development process through

What’s a Champion?

Anelectedofficial,legislator,

bureaucratorastaffmemberwho

notonlysupportsyourcauseopenly,

butusestheirinsiderknowledge

andaccesstoturnyourproposed

changeintoreality.YourChampion

willhelpyounavigatethemurky

watersoftheirinstitution,buildallies,

andchoosestrategicapproaches.

TosupportyourChampion,useyour

monitoringsystemtoprovidea

constantflowofdataand

informationtobuildpublicsupport

foryourcause.



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to implementation of legislation or policy. Each individual initiative or Act is rated. It is recognized that policy and legal reform is a lengthy process. Therefore, the process is broken down into milestone phases as follows:

a. Problem identification/diagnosis: Problem definition and identification, (problem is clearly stated) initial data collection/assessments completed, stakeholders / constitu-ency consulted as to needs, perceptions and potential impacts. Citizen groups agree / recommend that advocacy and/or legislation is needed on issue. (5 points)

b. Advocacy initiative / action plan design: Goal and objectives of the advocacy effort clearly delineated. Clarity on what the advocate sees as the end point overall/ accom-plishment anticipated. Target audience to engage and methods of engagement identi-fied. Stakeholder analysis conducted. Initial messages developed. Media strategy defined. Resource requirements identified. Coalitions formed. Action plan developed including methods for monitoring and evaluating the effectiveness of advocacy ef-forts. (10 points)

c. Pre-formulation and development of policy: The full development of quality policy interventions to address the problem identified. Formulation/development would include cost/benefit analyses of various alternatives; modeling and constructing the policy intervention. Vetting draft policy intervention(s) with relevant stakeholders in government, non-government, the private sector and civil society, broadening participation through round table discussions, seminars and workshops. Stakeholders draft text or ideas for wording. Quality policy/legislation drafted in light of discus-sions and circulated for feedback. Issue is introduced in the relevant legislative com-mittee/executive ministry. Draft text discussed in participatory forums in selected regions to ensure consistency with the wishes of the civil society sector. (10 points).

d. Finalization of policy intervention: Participatory dialogue undertaken to finalize draft Policy/ Legislation (by relevant committee or executive ministry). If drafted by the executive, it is submitted to the legislature. Vetted quality policy intervention with all its components and clauses is finalized for final adoption and approval by appropriate administrative agency. (10 points)

e. Debate: Legislation is debated by the legislature. Stakeholders advocate to policy makers in support of draft or alternate version. Interested CSOs undertake coor-dinated advocacy campaigns. This might include additional committee hearings, and/or consideration of alternative model laws, projecting likely impact of various provisions. (5 points)

f. Adoption: Policy intervention advocated by citizens groups/CSOs is approved and adopted by the appropriate administrative agency or legislative body. Legislation is passed by full approval process needed in legislature. Can take the form of the voting on a law; or the issuance of a decree. (5 points)

g. Implementation and enforcement: Actions that put the policy interventions into effect: agency personnel trained in procedures, appropriate institutions created or strengthened, operatives of the legislation widely disseminated. Participatory monitoring and evaluation undertaken. Budget tracking and or watchdog activities implemented (5 points).



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vii. monItorInG Good Governance throuGh publIc opInIon Understanding the public’s perception of a problem and its impact on their lives is a critical step in holding government accountable. Government’s own lack of reliable information, particularly regarding assessment of their performance as service providers, creates a unique opportunity for civil society organizations. InKenya,forexample,themostrecentpublicexpenditure review was conducted by the Ministry of Planning in 2004. Clearly, the gov-ernment will face a lack of community feedback if its data is several years old.

Public Opinion Survey vs. Public Policy SurveyPublic opinion surveys focus on people’s beliefs, feelings, opinions, or impressions. Essentially, a public opinion survey provides a snapshot or temperature gauge of the public’s level of concern for that issue right now. In contrast, public policy surveys are much more detailed. Ideally, such a survey would provide a deeper understanding of the problem as it is experienced by citizens, compile reasons for/against a particular policy, or even suggest an alternative policy.

Methods of Data CollectionIf you are interested in obtaining public feedback there are many reasonable methods to obtain the information and not all survey methods need to be labor-intensive to gather relevant data. In choosing which method of data collection to use, consider the advantages and challenges of each. Method Definition Advantages Challenges

Questionaire

andSurveys

Aformcontainingasetofquestions,given

toastatisticallysignificantnumberof

people,asawayofgatheringinformation

Easytoadminister

tomanypeople

Impersonal

Informal

Interviews

Aconversationinwhichfactsor

statementsarediscussedandnoted

Flexibleand

intimate

Timeintensiveand

difficulttoobjectively

analyze

Documentation

Review

Reviewliteratureabouttheproblemand

examineinternationalbestpractices

Comprehensive Timeintensiveand

flexible

Observation Theprocessofgatheringinformationabout

howaproblemlooksinacommunity

Viewoperations

astheyoccur,

adaptable

Subjectiveand

complex

FocusGroups Assemblesmallgroupsofpeopletodis-

cusstheproblemandexplore

potentialsolutions

In-depth

examinationof

aproblem

Difficaulttodraw

conculsions

Before you begin to gather information, take a few moments to consider:1. What information do you need to know? Consider gathering data that not only

criticizes government behavior, but also provides constructive ways forward. A survey that aims to shame without offering alternatives is not usually sufficient to achieve change.

2. Where you can find the information? While surveys are excellent sources of information, you may be limited by resources and time. Pre-test any survey through a focus group or small sample before you launch it to a wider audience.

3. Who are you going to interview? Do you want the views of the whole population (by looking at a representative cross-section) or only a particular population (i.e. women aged 18-35)? Users of a particular public service?



6-PB6-30

4. How will you collect the information? You must train your volunteers properly to make sure that the questions are clearly and consistently asked. Your respondents’ privacy and confidentiality must be respected. Conduct random checks to monitor your interviewers’ technique.

5. Which method should you use? Survey, interview, focus group? Whichever method is used, data collection should always be:

•Systematic •Consistent(askingthesamequestionsforeachpartofthesample) •Questioning(takingnothingatfacevalue–alwayscross-checkingresponses) •Flexible(followupunexpectedbutrelevantinformation) •Sensitive(respectingpeople’scultureandprivacy)6. Publicize your results. As you analyze the data and make your conclusions, remember

that your audience will be asking “Why does this result matter?” You must answer that question. Work with the media to make sure your results are widely known and

available to ensure that pressure for change is levied at the relevant decision makers.

Sampling – Cutting the Cake Correctly

Imaginethatsocietyislikeacakewithmanylayersandeachlayerrepresentsadifferenttypeofperson.

Ifyoutakeoneslice,youcangetafairlyaccuratepictureofthewholecake.Whenyoucreateyour

survey’ssample(thetypeandnumberofpeopleyouwillquestion),makesureyouhaveenoughfromeach

demographicgroup(basedongender,age,income,education)inthesameproportionasthey

existinbroadersociety(whichyoucangetfromyourcensusbureau).Youdonothavetoconsiderevery

demographiccharacteristicbutthemorethatyourslicelookslikethecake,themoreaccuratelyyour

datareflectspublicopinion.Themostbasicdivisioninsocietyisgender,sobesuretoquestionanequal

numberofmenandwomen.

Regional Public Opinion Surveys For more information on public attitudes on a wide variety of issues, one resource is the Afrobarometer. www.afrobarometer.org.Intheir2005reportonKenya,interviewersaskeda variety of questions about people’s personal opinions on governance, democracy, poverty, the media, politics, human rights, corruption, crime and the rule of law.

Here’s one example:Please indicate whether you think the act is: (i) not wrong at all, (ii) wrong but understand-able, or (iii) wrong and punishable: A government official demands a favour or an additional payment for some service that is part of his job:

Urban Rural Male Female Total

Notwrongatall 4 3 3 4 3

Wrongbutunderstandable 9 12 10 13 11

Wrongandpunishable 87 83 86 81 84

Don’tknow 0 2 1 2 2

3. conclusIon

Quality monitoring and evaluation systems within CSO’s can be used to hold government accountable, particularly when a partnership approach is used where civil society offers constructive critique in order for government to improve its performance also be used.

C H A P T E R 7Data Quality


• Keydataqualitymanagementconceptsandassessmentcriteria

• Stepsforaddressingcommonanticipateddataqualityissuesduringroutinedata

managementprocesses


• Identifyingkeydataqualityissueslikelytoaffectkeyindicatordata

• Reviewingindicatorprotocolstoensurethatmeasuresforaddressingtheidentified

dataqualityissuesareincludedintheprotocols

1) What is Data Quality? Data quality refers to the worth/accuracy of the information collected and focuses on en-suring that the process of data capturing, verifying and analysis is of a standard that meets the requirements of an internal or external Data Quality Assessment/ Audit. We can select the best indicators and write the best protocols but if tools are not properly used, if stan-dards of reporting set by the organization are not respected, both in terms of quality and of timeliness, then there exists the risk that data will be of poor value and/or data collected could be over / under / or mis-counted.

Commonly used Criteria for Assessing Data QualityFive key criteria are commonly used to assess data quality 1) Validity 2) Reliability 3) Timeliness 4) Precision 5) Integrity. Issues and risks relating to data quality need to be thought through and documented to ensure quality standards are developed and maintained. Thus each organization needs to develop and document its means to check:

i. If the data adequately represent performance and are thus valid.We need to check if there are any issues with: - Face Validity: Is there a solid, logical relation between the activity or program and what is being measured, or are there significant uncontrollable factors? - Transcription of data: Are steps being taken to limit transcription error? (e.g. double keying of data for large surveys, electronic edit checking program to clean data, random checks of data entered by supervisors). - Sampling Methodology: if we are reporting on data where we use a sample (rather than census or case study based data) we need to be sure there is no significant measurement or representation errors. (i.e. our samples are representative, the survey questions are clear, response rates were sufficient, the population was appropriate, sampling methods accurate…). We also need to be sure that anyone who is collecting data needs to be appropriately trained and we need to account for potential bias.

The Use Principle of Data Quality

Data Quality matters when the data is used by the person collecting and

reporting the data

7-17-PB

C H A P T E R 7

Data Quality

7-37-2 7-37-2

ii. If the data the collection processes are stable and consistent over time and are thus reliable. - Are data collection procedures consistent (from reporting period to reporting period, from location to location, is the same instrument being used…); are we checking the data to ensure the data is correct and free from errors; are data problems reported?

iii. If the data are collected frequently enough, are current and are thus timely. - Is data coming in on a frequent enough timeframe to inform program management decisions? Do people report when they are supposed to?

iv. If the data have an acceptable margin of error and are thus precise. - Is the margin of error less than the expected change being measured?

v. If there is data integrity. - Are data free from bias or manipulation and are there procedures in place to reduce the possibility that data are manipulated for political or personal reasons? Does any independent review of the data take place?

2) Key steps for Comprehensive Data management

i. Data Source: This is where the data originates e.g., •Trainingsigninsheets(primary) •OVCvolunteernotebook(primary) •Patientfilesinahospital(primary), •Hospitalexcelspreadsheetswithpatientsdata(secondary) •NationalHIV/AIDSSurveillanceReport(tertiary)

ii. Data CollectionThe process of gathering data generated from the various activities implemented by an organisation and relevant to an organisations M&E framework. Data collection involves obtaining data from original source and transferring it into tools (paper or electronic) from which it can be analysed and reported

iii. Data CollationData collation simply refers to aggregation of data from different sources such as different program sites or different field workers who collect the data, into summarised formats. Collationcanbedoneelectronicallyusingexcelspreadsheetsordatabases,ormanually using paper-based systems.

iv. Data AnalysisAnalysis of data involves the review & manipulation of data to assess progress made to-wards desired objectives and targets. Analysis enables data users to:• Associatevariables(testunderlyinghypothesesorassumptions)• Predictrelationships(causeandeffect)• Indicateconfidenceinresults

6 Key processes in Data Management

Sourcei

Collectioni

Collationi

Analysisi

Reportingi

Data Use for decision making

7-37-2

C H A P T E R 7

Data Quality

7-37-2

v. ReportingReportingentailsthecompilationofdescriptivedata,presentingrawdataandinformationgeneratedfromdataanalysisasusefulknowledge.Reportingprovidesanopportunityforproject implementers and others to learn about the progress, problems, difficulties encountered, successes and lessons resulting from implementation of program/ project activities

vi. Data Use

Data Use refers to making timely data driven decisions that relate to the program/project being implemented.

3) getting starteD With Developing systems to aDDress Data Quality The indicator protocol provides a starting point for identifying potential data quality issues that may affect the worth of the data collected during program implementation.

Togetitrightfromthestart,itisabsolutelyessentialthatallindicatorsaredefinedupfrontto avoid potential problems with data validity or reliability that could arise from indicator definitions being unclear.

Indicator protocols allow programs to address common data validity and reliability prob-lems by providing standard definitions of program indicators and related units of measure.

Otherthandefinitionrelatedissues,itisimportanttheprogrammanagersconsideranddetermine the likely risks to managing the individual indicator data right from source to data use. The Plan for data acquisition section of the indicator protocol allows programs to document all key data management processes and the anticipated data quality risks that may affect the utility of the data. This also allows the program to pay attention to key considerations for managing data quality such as timeliness of the data which is addressed by detailing the frequency and timing of data acquisitions and analysis. Data integrity is also addresses to some extent by the provision on the indicator protocol to assign responsibility for data and storage protocols and systems that are necessary to ensure that dataremainssureanduncorrupted.However,additionalissuessuchaspoliciesaddressingdata ethics within the organization are still required in order to ensure that Data Integrity is addressed comprehensively.

Data ethiCsDataEthicsreferstotherulesorstandardsgoverningtheconductofapersoncollecting,collating,reportingorutilizingdata.Commonethicalconsiderationsthatprogramsshouldmakeinrelationtodatainclude

-Ensuringthatparticipants/beneficiariesintheprogramareprovidedwithsufficientinformationtoenablethemtomakeinformeddecisionsabouttheirparticipationindatacollectionefforts

-Participantsneedtobemadeawareofhowmuchprivacytheycanexpectabouttheirresponsesintermsofconfidentialityandoranonymity

-Programsshouldtakestepstoensurethatdataisnotmisrepresentedorfalsifiedbyanyoneinvolvedinthedatamanagementprocess

C H A P T E R 7

Data Quality

7-PB7-4

4) improving Data Quality along the Data management Chain

To help ensure data quality at the Source:• Designinstrumentscorrectly• Includedataproviders(communitystakeholders)anddataprocessorsindecisiontoestablish

whatisfeasible,reviewprocess,anddraftinstruments.• Ensureallpersonnelaretrainedintheirassignedtaskuse-1trainerifpossible• Develop&documentinstructionsforthedatacollectors,onthecollectionforms,andfor

computerprocedures• Developanappropriatesample• Whenpossiblecomplywithprofessionalstandardsfordatasetup.• Ensurealldatacollection,entryandanalysisneedsareavailable(pens,paper,forms,computers).

To help ensure data quality during Collection:• Developspecificinstructionsfordatacollection• Routinelychecktoseeifinstructionsarebeingfollowed• Identifywhattodoifyou(orsomeone)wantstomakeachangetothedatacollectionprocessor

ifyouhaveproblemsduringdatacollection(changemanagementprocess)• Checktoseeifpeoplefollowthechangemanagementprocess• Traindatacollectorsinhowtocollectinformation• Developstandardoperatingprocedures(SOPs)formanagingthecollecteddata(movingdata

from1pointtothenext).• DevelopSOPsforrevisingthecollectiontool• Communicatetheprocessandestablishprocessesforsupportsupervisionfordatacollectors• Conductonsitereviewsduringtheprocess

To help ensure data quality during Collation:• Developchecklistsandsignoffforkeysteps• Conductreviewsduringentryprocess• Createanelectronicormanualformatthatincludesadataverificationprocessbyasecond

individualwhoisnotenteringthedata/Randomlysampledataandverify• Ensureproblemsarereportedanddocumented,correctedandcommunicatedandtrackedback

tothesourceoftheproblem

To help ensure data quality during Analysis:• Runauditreportforreviewbyexpertswithknowledgeforreasonableness• Ensureanalysistechniquesmeettherequirementsforproperuse• Discloseallconditions/assumptionsaffectinginterpretationsfordata• Ensurethatappropriateanalysisthatismanagementusefulisundertakenroutinely

To help ensure data quality during Reporting:• Synthesizeresultsfortheappropriateaudience• Maintainintegrityinreporting–don’tleaveoutkeyinfo• Havemultiplereviewerswithintheorganization-priortodissemination!• Protectconfidentialityinreports/communicationtools• Reviewdata/providefeedbackwiththosewhohaveastakeintheresults• Provideappropriatereportsbasedontheinformationneedsofyouraudiences

To help ensure data quality during Usage:• Consistentlypromoteuseofthedata• Whenpossibleprovidedataintermsofspatialorgraphicrepresentation• Routinelymakeavailabledataatkeydecisionpoints(staffmtgs,reviewetc)• Understanditsstrengthsandweaknessesandincorporateresultsappropriately• Buildinprocessestoreviewhowdatahasbeenusedfordecisionmakingovertimeandtake

correctiveactiontoenhancedatautility


• Toidentifyothermonitoringtoolsthatmaybeusefultomanagement

1) IntroductIon

In addition to indicator protocols, there are several other monitoring tools an organizationmay wish to use to track progress of their programs. Here are four examples: i. A benchmark calendar (planned) is a listing of the key (or critical) activities an organization is undertaking laid out by date (a weekly calendar) over the period of a program (usually 1–2 years). This is updated quarterly re-scheduling activities as required based on changes in implementation. ii. An activity-based budget of the benchmark calendar (planned) is an estimate of the inputs required to undertake each benchmark activity. This is usually completed once a year or one time per project. iii. A comparison chart compares by line item what was actually planned and budgeted versus what actually occurred and was spent. iv. A deliverables schedule captures what is required of the organization to deliver (under contract or agreement) to a specific donor or partner, and the date it is due. It is updated quarterly, noting when items were actually delivered, who actually delivered it, and by what means (e-mail, by hand, post, etc.).

These items are usually updated quarterly so managers can track progress of projects and programs.

C H A P T E R 8

Other Monitoring Tools

8-18-PB

C H A P T E R 8

Monitoring

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8-�8-�

C H A P T E R 8

Monitoring

8-�8-�

DELIVERABLES SCHEDULE

Name of project and donor/partner who will receive deliverable

Deliverable Date deliverable is due (planned)

Actual date it was delivered(thisisfilled in after delivery hasbeenmade.)

Means of delivery (person/method) (thisis filled in after delivery hasbeenmade.)

Example:MoramangaRegionalPolicyProgram/CARE

Legislativeroadmaphandbook

January15,2003 January12,2003 Edithsentacopybye-mailandahardcopybycartoGeorge

C H A P T E R 9

Evaluation

9-�9-PB

1) What is Evaluation and Why is it important?The previous chapters identified the measures and methods that will be used to track data for your organization; that data without analysis, however, cannot tell managers why results are being achieved or not. To get this information, which is often crucial for decision-making, organizations have to conduct evalua-tions to analyze the cause-and-effect linkages in their program.

Measuring success in advocacy campaigns requires that we go beyond mere quantitative analysis. Advocacy is not just about counting the number of activities we do, the number of people who attended our workshops or protests, or the number of meetings held. Instead we must focus on the change we created in the lives and minds of others.

Evaluation is most valuable when an organization wants to look not only at results on a cursory level but seeks to understand the underlying reasons why change is occurring or not occurring in the field and then uses that information to learn and adapt both its actions and its conceptual (results) framework.

Evaluation is an analytic effort undertaken selectively to answer specific management questions regarding the program. When we analyze results not only should we ask ourselves questions, but we should also focus on asking others about the results by interview-ing our beneficiaries, key stakeholders and even decision makers we targeted in our efforts.

In contrast to monitoring, which provides ongoing structured information, evaluation is more periodic. Evaluation focuses on why results are or are not being achieved, on unintended conse-quences, or on issues of interpretation, relevance, effectiveness, efficiency, impact, or sustainability.


• Aboutevaluationandwhyitisimportant

• Differenttypesofevaluations

• Whoshouldbeinvolvedinevaluations

• Howtodevelopalearningagenda


their MER systems:

• Developanevaluationprogramandschedule

• Identifysomeofthelearningagendaquestions

Evaluation questions often used to better understand

advocacy results…

Didwemeetorexceedourwrittenobjectives?Ifourstatedobjectivewasnotreached,whynot?

Didwedevelopmechanismstoreceivefeedbackonourprogressthroughoutthecampaign?Whichmethodsoffeedbackallowedustoalterstrategiesinatimelymannerandmeasureourimpact?

Didourcampaignhaveanyunintendedsideeffects?

Isanewpolicy/ordinance/lawnowinplace?Howhasitbeenpublicized?Who/whichagencywillmonitoritsimple-mentation?

Weregovernmentresourcesreallocatedinresponsetoouradvocacy?Arethereneworbettergoodsandservicesbeingdelivered?

Didthecampaignresultinpositivechangein the lives of our beneficiaries?

Have we increased our clout / influence in ordertodrawuponitinfutureadvocacywork?Howdidourcampaignpromotegenderequitywithinourstructures?Didwomenandmenhaveequalaccesstoandpartici-pationincapacitybuilding/trainingoppor-tunitiesassociatedwiththiscampaign?

C H A P T E R 9Evaluation

C H A P T E R 9

Evaluation

9-�9-� 9-�9-�

An effective MER system includes a program and schedule for evaluation that is based on the development of a learning agenda in combination with an adaptive management approach to ensure the re-examination of management decisions/activities based on new information or learning.

Using an Adaptive Management ApproachAdaptive management is an approach to evaluation and decision-making involving a cycle of planning, implementation, monitoring, research, and subsequent re-examination of management decisions based on new information that may alter existing plans and priori-ties. In its simplest form, adaptive management is action in response to learning. Adaptive management is ideal for learning about and understanding complex systems and structures as it recognizes that systems are inherently changing and unpredictable. Adaptive manage-ment copes with these uncertainties by monitoring decision-making results and reexamin-ing choices in light of these results and on new information that becomes available. Adap-tive management is based on double loop learning and solving problems by reexamining premises and goals of organized cooperation. When successful, “real” learning occurs and understanding of the realities of the system is improved.

If we use an adaptive management approach, we not only periodically evaluate activities,we occasionally ensure that we go back and evaluate our results frameworks, hypotheses,and cause-and-effect linkages (the premises on which an organization selects activities toundertake) to ensure they are still valid based on what we have learned through ourimplementation and evaluation efforts. We do this through gathering feedback from thepublic, managers, scientists, and decision-makers.

2) typEs and purposEs of Evaluation

Several evaluation methods support adaptive management efforts:

1. Formative Evaluation: Formative evaluation normally takes place at the beginning of (or prior to) a program in the concept and design phase. Formative evaluations are geared toward helping organizations understand the operational setting of a potential program and focus on determining if an intervention or program is required (and where), what exactly is required, who should be involved in the intervention, and how the intervention will be carried out. Formative evaluation provides the information needed to define realistic goals, objectives, and strategies for a program.

h h hhGOVERNINGVARIABLES/

PREMISESACTION CONSEQUENCE

EXPECTATION MET

EXPECTATION NOT MET

single-loop learning

double-loop learning

Single loop and double loop learning (Argyris, 1992)

9-�9-�

C H A P T E R 9

Evaluation

9-�9-�

Methods to undertake formative evaluation may include: • Reviews of existing information and knowledge (literature reviews and discussion with potential beneficiaries and partners) • Focus group or small group discussions • Individual in-depth interviews or short surveys • Participant observation

2. Process Evaluation: Process evaluations take place once activities are underway and focus on tracking the efficiency of a given program or organization. Process evaluations focus on providing information relating to what extent planned services are being realized, how well services are being provided, in what timeframe, at what cost, and with what result. Process evaluations analyze how efficiently inputs (money, time, equipment, personnel, etc.) are being used in creation of outputs (products, results, etc.). Process evaluations help organizations analyze what they planned to do versus what they actually are achieving and are used to make adjustments or refinements in tactics or implementation strategies. Process evaluations are often conducted informally (staff meetings, etc.) at regular intervals during the program year to assess progress toward achieving the results. They need to be based on performance data (results from indicator data collection) as well as staff observation of projects and programs.

Mid-Term EvaluationsMost organizations are also familiar with mid-term evaluations, which are process evaluations conducted halfway through a strategic cycle. Mid-term evaluations may be required or planned for some projects but should also be considered as a way to review your program or strategic plan. Mid-term evaluations normally: • Assess the organization’s progress in implementing activities • Assess progress toward achievement of objectives or benchmarks • Assess whether interventions and budgets are sufficient to reach desired results • Identify barriers to achievement of results, objectives, and activities • Identify opportunities, unanticipated accomplishments, or innovation • Specify course correction or changes requiredMid-term evaluations provide recommended actions to prompt mid-course adjustments in the last half of the program. To the degree possible, mid-term evaluations should be partici-patory in nature and include stakeholder (target population) analysis of programs.

Methods for process evaluation include: • Reviews of service records and regular reporting systems • Key informant interviews • Direct observations • Population-based surveys, etc.

Ideas for evaluation questions based on your results framework…

Activities–Whathaveweactuallydone?

Outputs-Whathavewedeliveredintermsofshorttermchangeorasanimmediateresultofouractivities?

-Canweclaimknowledgeorunderstandingchange,skillsorcapacitychange?Werethereanychangesrelatingtoimprovedaccessorquality…

-Whatevidencedowehavetoillustratesthesechangesactuallyoccurred?

Outcomes-Whathasbeenachievedasaresultoftheoutputs…

-Havepeoplechangedtheirbehaviors,thewaytheyconductbusinessandortheirunderlyingattitudes?

-Hasthepolicyenvironmentchanged?

-Whatevidencedowehavetoillustratesthesechangesactuallyoccurred?

C H A P T E R 9

Evaluation

9-�9-� 9-�9-�

3. Effectiveness Evaluation: Effectiveness or impact evaluations normally take place toward the end of a program intervention and focus on assessing the overall out comes and impacts attained. Effectiveness evaluations focus on questions pertaining to what results have been achieved, what short-term and intermediate effects were observed as a result of program effort, and what the outcomes mean. Does the program make a difference towards the larger development impact sought?

Final EvaluationsMost organizations are familiar with final evaluations, which are normally effectiveness evaluations. Final evaluations may be required or planned for some projects but should also be considered as a way to review and update your strategic plan. Final evaluations normally: • Assess why progress toward planned results has been unexpectedly positive or negative • Test the validity of hypotheses and assumptions underlying a results framework • Assess how well needs of different customers were met (e.g., by gender, age, ethnic group) • Identify and analyze unintended consequences and effects of assistance activities • Examine sustainability of activities and their results • Distill lessons learned that may be useful elsewhere and/or by others to the degree possible, final evaluations should be participatory in nature and include stakeholder (target population) analysis of programs.

Methods for effectiveness evaluation include: • Reviews of service records and regular reporting systems • Key informant interviews • Direct observations • Population-based surveys, longitudinal studies, review of secondary data, etc.

EXTERNAL OR DONOR

EVALUATIONS

Adonormayrequire(andmayberequiredbyitsown

rules)anexternalevaluation.Thismeansthedonorwillhireapersonor

teamtolookattheactivities,processes,

outputs,outcomes,and/orimpactsofyourproject

orprogram.

Externalevaluationscanbe very beneficial to anorganizationastheycallforthird-partyanalysis

(oftenthoughttobelessbiased)andbringinfresh

perspectives.

Organizationsstillhaveakeyroletoplayinexternalevaluationsasstaffneedstoensurethatevaluatorsunderstandtheobjectives

oftheprogram,theapproach(resultsframe-work),whatisworking

wellornot,andhowtheorganization is fixing

whatisn’tworking.Ifyourorganizationisevaluated

byathirdparty,makesuretorequestacopyofthe

resultssoyoucanusethisinformationinternally.

9-�9-�

C H A P T E R 9

Evaluation

9-�9-�

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C H A P T E R 9

Evaluation

9-�9-� 9-�9-�

3) dEvEloping a lEarning agEnda and Evaluation schEdulE

Regardless of which type of evaluation format it has planned to use, an organizationinitially needs to identify the questions it wants to pose and when it wants to collect the data—in other words, develop a learning agenda.

Developing a learning agenda includes:�. Determining what components of your program you want to learn about (identifying what needs to be evaluated). To do this, review your implementation plan, deliverables and results framework and identify key components, sub-components, or aspects of your program that you will analyze in terms of your organization’s efficiency to implement them and/or their effectiveness in obtaining results.�. Clarifying what exactly you want to learn about each component you identified (what questions you will answer or evaluate). To help determine what question to ask review your planned deliverables, results frameworks and indicators. Some questions you might include ask: • What do you want to know about this subject? • What was changed as a result of our program? • How do targeted stakeholders perceive our programs? • What sort of reach do we have? • How many home visits are we supporting? • How was the target population affected? • How much money did we spend?

For example, if you determine that the training component should be evaluated, you might ask what evidence suggests that the training implemented has resulted in new ways of doing things or increased knowledge and skills of the participants.

�. Identifying how you will obtain the data. What data do you already have to help analyze this issue and what data do you need to be able to answer your questions? For example, will you need a focus group discussion, hire a research consultant, hold a staff meeting, or use data from specific indicators?

�. Identifying who should be involved in answering the questions and in participating in analysis of the answers.

�. Determining deadline dates for obtaining the data and conducting the analysis. Do you need the information every month, each quarter, at the end of the project?

�. Identifying how you plan to document the things you have learned, disseminate findings, and adapt your program activities and/or update underlying premises or results frameworks, thus altering the program design.

Ensuring Evaluation and Learning Processes are ParticipatoryTo ensure that a breadth of opinion is captured relating to the performance, and becauseevaluations include important capacity development and learning dimensions, they should be as participatory as possible. Stakeholder involvement in learning efforts usually promotes a sense of partnership among all the key people and/or groups interested in the organiza-

Evaluations often focus on Lessons

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tion. A participatory process is essential to provide more insight into programs and allows analysis of how well the needs of different stakeholders are being met. A variety of different perspectives is particularly helpful in analyzing unintended consequences and sustainability of activities.

4) attributing impact to program Effort

Perhaps the most important thing to remember when focusing on attribution is to worry less about capturing scientifically valid attribution at the outcome and impact level and more about really learning and evaluating the impact of program activities in terms of improvement in the knowledge, capacity, reach, access, and change in the policy environ-ment and peoples lives. This requires an organization to analyze the underlying premises it used to select the activities to undertake and measure whether they are still valid based on the implementation and evaluation efforts. Capturing and forwarding best practices at this level remains a cutting edge issue for improving advocacy response internationally.

C H A P T E R 9

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activity # 8 WorkshEEt

Grant Evaluation Procedures

Formative EvaluationDuringthegrantarewegoingtoconductanyformativeevaluation/analysis(ifsowhen):Whatworkarewedoing(ifany)toanalyzetheoperationalsetting,determinetheappropriateinter-ventionsrequired,whoshouldbeinvolved,etc.(andwhen).

Whatweplandoto When

Whatlearningquestionswewanttoask:

Process EvaluationDuringthegrantwillweconductanyprocessevaluation/analysis(ifsowhen)assessingourefficiency to make course corrections – i.e. what extent planned services have been realized, inwhattimeframe,budgetandwithwhatshortterm/intermediateresults.

Whatweplantodo When


Effectiveness EvaluationDuringthegrantwillweconductanyeffectivenessevaluation/analysisassessingtheoverallresultsattainedandeffectsoftheprogram–i.e.analyzingiftheprogrammadeadifferencetowardstheresultsoutcomessought

Whatweplantodo: When


Sources and Recommended Resources

Handbook of Democracy and Governance Program Indicators. USAID, August 1998 http://www.usaid.gov/our_work/democracy_and_governance/publications/pdfs/pnacr211.pdf

Managing for Impact in Rural Development: A Guide for Project M&E. IFAD, December 2005http://www.ifad.org/evaluation/guide/index.htm

Richard Holloway: NGO Corruption Fighters Resource Book: How NGOs can use Monitoring and Advocacy to fight corruption. 2006 (draft) http://www.impactalliance.org/ev_en.php?ID=12430_201&ID2=DO_TOPIC

Carolyn Logan, Thomas P. Wolf and Robert Sentamu. Afro Barometer, Working Paper No. 70: Kenyans and Democracy What do they really want from it, anyway? http://www.afrobarometer.org/papers/AfropaperNo70.pdf

Africa Peer Review Mechanism. Country Review Report of the Republic of Kenya. May, 2006 http://www.nepad.org/2005/files/aprm/APRMKenyareport.pdf

Carmen Marlena. Social Accountability: An Introduction to the Concept and Emerging Practice. World Bank. December, 2004.

2006 Environmental Performance Index report, Yale - Center for Environmental Law and Policy and Columbia University – Center for International Earth Science Information Network (CIESIN), 2006http://sedac.ciesin.org/es/epi/downloads/2006EPI_Report_Full.pdf

2005 Environmental Sustainability Index report, Yale - Center for Environmental Law and Policy and Columbia University – Center for International Earth Science Information Network (CIESIN), 2005http://sedac.ciesin.columbia.edu/es/esi/downloads.html

Freedom House. 2006 Annual Reporthttp://www.freedomhouse.org/uploads/special_report/49.pdf

Global Corruption report: Transparency International, 2007http://www.transparency.org/publications/gcr/download_gcr#download

Government Effectiveness Index. World Bank, 2002 http://humandevelopment.bu.edu/dev_indicators/show_info.cfm?index_id=118&data_type=1

Governance Indicators: A Users Guide, UNDP, 2004http://www.undp.org/governance/guidelines-toolkits.htm

Implementing report cards: A User’s Manual. World Bankhttp://siteresources.worldbank.org/INTPCENG/1143380-116506267488/20511068/rcusermanual.pdf

Kenya Bribery Index 2005. Transparency International-Kenya.. http://www.tikenya.org/documents/Kenya%20Bribery%20Index%202005.pdf


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Media Advocacy Toolkit. Media Institute of Southern Africa (MISA), August 2002http://www.misa.org/broadcasting/matk.html

Monica Blagescu and Robert Lloyd. 2006 Global Accountability Report: Holding Power to Account. One World Trust. March, 2007.http://www.oneworldtrust.org/documents/OWT_GA_Report_06_72pp.pdf

Reporters without Borders. 2007 Annual Report – Africa.http://www.rsf.org/IMG/pdf/rapport_en_africa.pdf

Reporters without Borders. Third Annual Worldwide Press Freedom Index Report. October, 2004 http://www.rsf.org/IMG/pdf/Af_index_Eng_2004.pdf

Rule of Law Index. World Bank, 2002http://humandevelopment.bu.edu/dev_indicators/show_info.cfm?index_id=121&data_type=1

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Documents

Building Monitoring and Evaluation Systems in Civil ... MER for Civil Society Advocacy...CHAPTER 10 Reporting 10-1 Reporting to your internal and external audiences 10-1 Identifying