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HCPM - Project Monitoring and Evaluation
Project Monitoring And Evaluation (Management College of Southern Africa)
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Higher Certificate
in Project Management
PROJECT MONITORING AND EVALUATION
Module Guide
Copyright© 2021
MANCOSA
All rights reserved, no part of this book may be reproduced in any form or by any means, including photocopying machines,
without the written permission of the publisher. Please report all errors and omissions to the following email address:
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Project Monitoring and Evaluation
Higher Certificate
in Project Management
PROJECT MORNITORING AND EVALUATION
List of Contents ....................................................................................................................................................... 1
Preface.................................................................................................................................................................... 2
Unit 1: Introduction to Project Monitoring and Evaluation ....................................................................................... 9
Unit 2: Project Monitoring Process and Techniques ............................................................................................. 20
Unit 3: Project Evaluation Process and Techniques ............................................................................................. 30
Unit 4: The Logical Framework Approach ............................................................................................................. 40
Unit 5: Project Planning Matrix .............................................................................................................................. 45
Bibliography .......................................................................................................................................................... 53
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Project Monitoring and Evaluation
List of Contents
List of Tables
Table 1.1: Distinguishing Between Monitoring and Evaluation ......................................................................... 15
Table 2.2: Distinguishing Between Monitoring and Evaluation ......................................................................... 18
Table 2.1 Common Types of Monitoring ........................................................................................................... 23
Table 2.2 Program and Project Level results indicators: An example from the Irrigation Sector ...................... 26
Table 3.1: Advantages and Disadvantages of Internal and External Evaluations ............................................. 35
Table 3. 2 Approaches to Evaluation ................................................................................................................ 37
List of Figures
Figure 1.1: Monitoring and Evaluation Cycle .................................................................................................... 14
Figure 5.1: Typical PPM.................................................................................................................................... 48
Figure 5.2: The logic of the PPM ...................................................................................................................... 49
Figure 5.3: The vertical logic of the PPM .......................................................................................................... 49
Figure 5.4: The horizontal logic of the PPM ...................................................................................................... 50
List of Appendices
Appendix 1: Case Study ................................................................................................................................... 54
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Project Monitoring and Evaluation
Preface
A.
Welcome
Dear Student
It is a great pleasure to welcome you to Project Monitoring and Evaluating (PME5). To make sure that you share
our passion about this area of study, we encourage you to read this overview thoroughly. Refer to it as often as
you need to, since it will certainly make studying this module a lot easier. The intention of this module is to develop
both your confidence and proficiency in this module.
The field of Project Monitoring and Evaluating is extremely dynamic and challenging. The learning content,
activities and self- study questions contained in this guide will therefore provide you with opportunities to explore
the latest developments in this field and help you to discover the field of Project Monitoring and Evaluating as it
is practiced today.
This is a distance-learning module. Since you do not have a tutor standing next to you while you study, you need
to apply self-discipline. You will have the opportunity to collaborate with each other via social media tools. Your
study skills will include self-direction and responsibility. However, you will gain a lot from the experience! These
study skills will contribute to your life skills, which will help you to succeed in all areas of life.
We hope you enjoy the module.
MANCOSA does not own or purport to own, unless explicitly stated otherwise, any intellectual property
rights in or to multimedia used or provided in this module guide. Such multimedia is copyrighted by the
respective creators thereto and used by MANCOSA for educational purposes only. Should you wish to use
copyrighted material from this guide for purposes of your own that extend beyond fair dealing/use, you
must obtain permission from the copyright owner.
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Project Monitoring and Evaluation
B.

Module Overview
The module is a 20 credit module at NQF level 5.
The purpose of the module is to enable the student to understand the difference between monitoring and evaluation
and those processes that are involved in the implementation of M&E in the design and execution of a project until
the project closure stage. It also assists in the application of monitoring and evaluating mechanisms in assuring
successful project and execution and the use of various tools and techniques thereof in the project. It also provides
concise guidance to readers to develop a comprehensive M&E system for project and programmes
AIMS OF THE MODULE
This module looks at and describes the process of monitoring and its sister process, evaluation; what is to be done
and how to do it. As well as showing the skills needed by mobilisers, it looks at monitoring from a wider perspective,
including but not limited to the roles of mobilisers.
It also provides concise guidance to readers to develop a comprehensive M&E system for project and programmes
C.
Exit Level Outcomes and Associated Assessment Criteria of the Programme
Exit Level Outcomes (ELOs)

Practice the process of project
Associated Assessment Criteria (AACs)

Ten project management areas and project management
management and its application in
processes are interrogated to understand project
delivering successful projects
management and dynamics in the application thereof
towards successful delivery of projects

Qualities and skills of project managers and the
development of strategic management environment
suitable for project management are discussed to facilitate
project success

Methods of project selections and dynamics thereof are
critiqued in order to enable efficient management of the
project resources and to understand stakeholder needs
for project success

3
Evaluate a project to develop the scope of 
Project Scope Management is discussed and processes
work, provide accurate cost estimates and
aligned thereto are critiqued in order to effectively
to plan the various activities
manage project triple constraints
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Project Monitoring and Evaluation

Understand and use risk management

analysis techniques that identify the
project risks as well as risk planning, response,
factors that put a project at risk and to
monitoring and controlling dynamics are discussed and
quantify the likely effect of risk on project
analysed to minimise and mitigate project risks
timescales

Techniques, tools and methodologies for identification of

Integrate project quality into the project life
cycle
Project quality is examined to understand project quality
principles, quality planning, quality management and
controlling and monitoring


Employ basic financial management
Project Financial management is investigated and
principals and basic accounting tools and
knowledge is reflected by interpretation of budgeting
techniques to ensure project success
statements, development of estimated project income
and expenditure ,and the creation of an effective cost
budgeting plan and cost model

D.
Apply monitoring and evaluating tools and 
Monitoring and evaluation is examined and an
techniques to ensure successful project
understanding is reflecting by the ability to apply tools
implementation
and techniques during project implementation
Learning Outcomes and Associated Assessment Criteria of the Module
LEARNING OUTCOMES OF THE MODULE
ASSOCIATED ASSESSMENT CRITERIA OF THE MODULE
 Understand the difference between
 Monitoring and evaluation are explored to get their meaning
monitoring and evaluation
and understand the differences
 Monitor a project in implementation with
 Process of project monitoring are examined to improve one9s
the aim of improving the project design
practical knowledge
and function while in action
 Apply monitoring and evaluating
 The application and review of monitoring and evaluation are
mechanisms in assuring successful
conducted in relation to project success and various
project implementation
framework relevant thereto are critiqued to understand their
 Review project cycle management and
importance to project success
the logical framework
 Acquaint themselves with the project
planning matrix
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 Review the role of indicators and means
of verification;
 Indicators and project outcomes project are reviewed for
future project design
 Review the outcome of a project with the
aim of informing the design of future
projects
E.
Learning Outcomes of the Units
You will find the Unit Learning Outcomes on the introductory pages of each Unit in the Module Guide. The Unit
Learning Outcomes lists an overview of the areas you must demonstrate knowledge in and the practical skills you
must be able to achieve at the end of each Unit lesson in the Module Guide.
F.
Notional Learning Hours
Learning time
Types of learning activities
%
Lectures/Workshops (face to face, limited or technologically mediated)
10
Tutorials: individual groups of 30 or less
Syndicate groups
Practical workplace experience (experiential learning/work-based learning etc.)
Independent self-study of standard texts and references (study guides, books, journal
60
articles)
Independent self-study of specially prepared materials (case studies, multi-media, etc.)
25
Other: Online
5
TOTAL
G.
100
How to Use this Module
This Module Guide was compiled to help you work through your units and textbook for this module, by breaking
your studies into manageable parts. The Module Guide gives you extra theory and explanations where necessary,
and so enables you to get the most from your module.
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The purpose of the Module Guide is to allow you the opportunity to integrate the theoretical concepts from the
prescribed textbook and recommended readings. We suggest that you briefly skim read through the entire guide
to get an overview of its contents. At the beginning of each Unit, you will find a list of Learning Outcomes and
Associated Assessment Criteria. This outlines the main points that you should understand when you have
completed the Unit/s. Do not attempt to read and study everything at once. Each study session should be 90
minutes without a break
This module should be studied using the prescribed and recommended textbooks/readings and the relevant
sections of this Module Guide. You must read about the topic that you intend to study in the appropriate section
before you start reading the textbook in detail. Ensure that you make your own notes as you work through both the
textbook and this module. In the event that you do not have the prescribed and recommended textbooks/readings,
you must make use of any other source that deals with the sections in this module. If you want to do further reading,
and want to obtain publications that were used as source documents when we wrote this guide, you should look
at the reference list and the bibliography at the end of the Module Guide. In addition, at the end of each Unit there
may be link to the PowerPoint presentation and other useful reading.
H.
Study Material
The study material for this module includes tutorial letters, programme handbook, this Module Guide, a list of
prescribed and recommended textbooks/readings which may be supplemented by additional readings.
I.
Prescribed and Recommended Textbook/Readings
There is at least one prescribed and recommended textbooks/readings allocated for the module.
The prescribed and recommended readings/textbooks presents a tremendous amount of material in a simple,
easy-to-learn format. You should read ahead during your course. Make a point of it to re-read the learning content
in your module textbook. This will increase your retention of important concepts and skills. You may wish to read
more widely than just the Module Guide and the prescribed and recommended textbooks/readings, the
Bibliography and Reference list provides you with additional reading.
The prescribed and recommended textbooks/readings for this module is:
Prescribed

Clements, J.P and Gido, J. (2015) Successful Project Management 6th edition Boston: Cengage Learning.
In addition to the prescribed textbook, the following should be considered for recommended books/readings:

Gudda, P. (2011) A Guide to Project Monitoring and Evaluation USA: Author House.

Burke, R. (2009). Project Management Techniques. (College Edition). Burke Publishing International.
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
Heizer, J. and Render, B. (2010). <Project Management= (Ch. 3) in Operations Management. 10th Edition.
New Jersey: Pearson Education Inc.

PMI (2013). A Guide to the Project Management Body of Knowledge (PMBOK Guide). 5th Edition.
Pennsylvania: Project Management Institute.

Schwalbe, K (2009) Introduction to Project Management Cengage Learning

Shapiro, J (1993). Monitoring and Evaluation (online) Available
from:http://www.civicus.org/new/media/Monitoring%20and%20Evaluation.pdf [Accessed 14 November
2015].

Kepa (1997) Summary of Differences between Monitoring and Evaluation (online). Available from:
https://www.kepa.fi/tiedostot/differences-between-monitoring-evaluation.pdf [Accessed 14 November
2015].

Otieno, F (2012) TheRoles of Monitoring and Evaluation in Projects (online) Available from:
http://www.irbnet.de/daten/iconda/CIB8942.pdf [Accessed 14 November 2015].

The following websites are among the many websites that can be visited to gain more exposure in the field
of project management:

www.pmi.com

www.pmisa.org.za
J.
Special Features
In the Module Guide, you will find the following icons together with a description. These are designed to help you
study. It is imperative that you work through them as they also provide guidelines for examination purposes.
Special Feature
Icon
Explanation
LEARNING
The Learning Outcomes indicate aspects of the particular Unit you
OUTCOMES
have to master.
ASSOCIATED
ASSESSMENT
CRITERIA
The Associated Assessment Criteria is the evaluation of the
students9 understanding which are aligned to the outcomes. The
Associated Assessment Criteria sets the standard for the successful
demonstration of the understanding of a concept or skill.
A Think Point asks you to stop and think about an issue. Sometimes
THINK POINT
you are asked to apply a concept to your own experience or to think
of an example.
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You may come across Activities that ask you to carry out specific
ACTIVITY
tasks. In most cases, there are no right or wrong answers to these
activities. The purpose of the activities is to give you an opportunity
to apply what you have learned.
At this point, you should read the references supplied. If you are
READINGS
unable to acquire the suggested readings, then you are welcome to
consult any current source that deals with the subject.
PRACTICAL
APPLICATION OR
EXAMPLES
Practical Application or Examples will be discussed to enhance
understanding of this module.
You may come across Knowledge Check Questions at the end of
KNOWLEDGE
CHECK
QUESTIONS
each Unit in the form of Knowledge Check Questions (KCQ9s) that
will test your knowledge. You should refer to the Module Guide or
your textbook(s) for the answers.
You may come across Revision Questions that test your
REVISION
understanding of what you have learned so far. These may be
QUESTIONS
attempted with the aid of your textbooks, journal articles and Module
Guide.
Case Studies are included in different sections in this Module Guide.
CASE STUDY
This activity provides students with the opportunity to apply theory to
practice.
VIDEO ACTIVITY
You may come across links to Videos Activities as well as
instructions on activities to attend to after watching the video.
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Project Monitoring and Evaluation
Unit
1:
9
Introduction to Project
Monitoring and Evaluation
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Unit Learning Outcomes
CONTENT LIST
LEARNING OUTCOMES OF THIS UNIT:
1.1 Introduction
 Introduce content areas of the unit
1.2 Definition of Monitoring and
 Understand the definition of monitoring and evaluation
Evaluation
 Understand the need of conducting project monitoring and
evaluation
1.3 Why do Monitoring and Evaluation?
 Explain the major differences between monitoring and
evaluation
1.4 The Relationship between Monitoring
 Explain the relationship between monitoring and evaluation
and Evaluation
 Understand project audits and its role in project
1.5 Project Audits
management
1.6 Assure Quality of Products and
Services
 Explain the main differences between monitoring, evaluation
and audits
1.7 Main Differences between
Monitoring, Evaluation and Audits
1.8 Summary
 Summarise content areas of unit
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Prescribed and Recommended Textbooks/Readings
Reading:

Gudda, P (2011) A Guide to Project Monitoring and Evaluation USA: Author House.

Kepa (1997) Summary of Differences between Monitoring and Evaluation (online)
Available
from:
https://www.kepa.fi/tiedostot/differences-between-monitoring-
evaluation.pdf [Accessed 14 November 2015]

Otieno, F (2012). The Roles of Monitoring and Evaluation in Projects (online) Available
from: http://www.irbnet.de/daten/iconda/CIB8942.pdf [Accessed 14 November 2015].

Shapiro,J (1993) Monitoring and Evaluation (online) Available from:
http://www.civicus.org/new/media/Monitoring%20and%20Evaluation.pdf [Accessed
14 November 2015]

Scheid, J (2011) Project Management Audit Process (online) Available from:
http://www.brighthubpm.com/monitoring-projects/32883-project-management-auditprocess/ [Accessed 13 November 2015]

Scudder (2011) Main Objectives of Project Audits (online). Available from:
http://www.brighthubpm.com/monitoring-projects/74896-main-objectives-of-projectaudits/ [Accessed 15 November 2015]
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1.1
Introduction
Monitoring and Evaluation (M&E) form an essential part of all project work specifically, they are key components
of the project cycle. Although the term <monitoring and evaluation= tends to get run together as if it is only one
thing, monitoring and evaluation are, in fact, two distinct sets of organisational activities, related but not identical.
Monitoring and evaluation processes can be managed by the donors financing the assessed activities, by an
independent branch of the implementing organisation, by the project managers or implementing team themselves
or by a private company. The credibility and objectivity of monitoring and evaluation reports depend very much on
the independence of the evaluator or evaluating team in charge. Their expertise and independence is of major
importance for the process to be successful.
Many international organisations such as the United Nations, the World Bank group and the Organisation of
American States have been utilising this process for many years. The process is also growing in popularity in the
developing countries where the governments have created their own national M&E systems to assess the
development projects, the resource management and the government activities or administration. The developed
countries are using this process to assess their own development and cooperation agencies.
A project manager must be clear about why he/she wants to do M&E and the benefits it can offer. Monitoring and
evaluation can sometimes seem like an unaffordable luxury, an administrative burden, or an unwelcome instrument
of external oversight. But if used well, M&E can become a powerful tool for project management.
1.2
Definition of Monitoring and Evaluation
According to Gudda (2011:1) monitoring is the art of collecting the necessary information with minimum effort in
order to make a steering decision in the right direction. Simply, monitoring is the systematic collection and analysis
of information as a project progresses. It is aimed at improving the efficiency and effectiveness of a project or
organisation. It is based on targets set and activities planned during the planning phases of work. It helps to keep
the work on track, and can let management know when things are going wrong. If done properly, it is an invaluable
tool for good management, and it provides a useful base for evaluation. It enables you to determine whether the
resources you have available are sufficient and are being well used, whether the capacity you have is sufficient
and appropriate, and whether you are doing what you planned to do (Shapiro, 1993).
According to Gudda (20111:84) project evaluation is the comparison of actual project impacts against the agreed
strategic plans. It looks at what you set out to do, at what you have accomplished, and how you accomplished it.
It can be formative (taking place during the life of a project or organisation, with the intention of improving the
strategy or way of functioning of the project or organisation). It can also be summative (drawing learnings from a
completed project or an organisation that is no longer functioning). Someone once described this as the difference
between a check-up and an autopsy!
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Shapiro (1993) maintains that monitoring and evaluation have three common focus areas:

Efficiency

Effectiveness

Impact
Efficiency tells you that the input into the work is appropriate in terms of the output. This could be input in terms of
money, time, staff, equipment and so on. When you run a project and are concerned about its replicability or about
going to scale, then it is very important to get the efficiency element right.
Effectiveness is a measure of the extent to which a developmental programme or project achieves the specific
objectives it set. If, for example, we set out to improve the qualifications of all the high school teachers in a particular
area, did we succeed?
Impact tells you whether or not what you did made a difference to the problem situation you were trying to address.
In other words, was your strategy useful? Did ensuring that teachers were better qualified improve the pass rate
in the final year of school? Before you decide to get bigger, or to replicate the project elsewhere, you need to be
sure that what you are doing makes sense in terms of the impact you want to achieve.
From this it should be clear that monitoring and evaluation are best done when there has been proper planning
against which to assess progress and achievements. There are three toolkits in this set that deal with planning –
the overview of planning, strategic planning and action planning.
In summary:

Monitoring is a system for collecting information which tracks what you have done in a project;

Evaluations assess what happened as a result of these activities, and answers the questions <To what extent
did your project achieve what it set out to achieve?= <What have we learned as a result of this assessing the
effectiveness of our work?=
Evaluations rely heavily on information collected in the monitoring systems for assessment and analysis of
progress towards agreed aims and objectives.
1.3
Why do Monitoring and Evaluation?
According to Shapiro (1993) monitoring and evaluation enable you to check the <bottom line= of development work:
Not <are we making a profit?= but <are we making a difference?= Through monitoring and evaluation, you can:

Review progress;

Identify problems in planning and/or implementation;

Make adjustments so that you are more likely to <make a difference=.
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In many organisations, <monitoring and evaluation= is something that is seen as a donor requirement rather than a
management tool. Donors are certainly entitled to know whether their money is being properly spent, and whether
it is being well spent. But the primary (most important) use of monitoring and evaluation should be for the
organisation or project itself to see how it is doing against objectives, whether it is having an impact, whether it is
working efficiently, and to learn how to do it better. Plans are essential but they are not set in concrete (totally
fixed). If they are not working, or if the circumstances change, then plans need to change too. Monitoring and
evaluation are both tools which help a project or organisation know when plans are not working, and when
circumstances have changed. They give management the information it needs to make decisions about the project
or organisation, about changes that are necessary in strategy or plans. Through this, the constants remain the
pillars of the strategic framework: the problem analysis, the vision, and the values of the project or organisation.
The effect of monitoring and evaluation can be seen in the following cycle depicted in Figure 1.1. Note that you will
monitor and adjust several times before you are ready to evaluate and re-plan. It is important to recognise that
monitoring and evaluation are not magic wands that can be waved to make problems disappear, or to cure them,
or to miraculously make changes without a lot of hard work being put in by the project or organisation.
Evaluate/learn/
decide
Plan
Implement
Implement
Reflect/learn/
decide/adjust
Monitor
Monitor
Reflect/learn/
Implement
decide/adjust
Figure 1.1: Monitoring and Evaluation Cycle
Source: Shapiro (1993)
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In themselves, they are not a solution, but they are valuable tools. Monitoring and evaluation can:

Help you identify problems and their causes;

Suggest possible solutions to problems;

Raise questions about assumptions and strategy;

Push you to reflect on where you are going and how you are getting there;

Provide you with information and insight;

Encourage you to act on the information and insight;

Increase the likelihood that you will make a positive development difference (Shapiro, 1993).
Gudda (2011:3) maintain that monitoring and evaluation systems can be an effective way to:

Provide constant feedback on the extent to which the projects are achieving their goals

Identify potential problems at an early stage and provide possible solutions

Monitor the accessibility of the project to all sectors of the target population

Monitor the efficiency with which the different components of the project are being implement and suggest
improvements

Evaluate the extent to which the project is able to achieve its general objectives

Provide guidelines for the planning of future projects

Improve project design

Incorporate views of the stakeholders

Show the need for mid-course correction
Differences between Monitoring and Evaluation in Projects
The major differences between these two processes are tabulated below:
Table 1.1: Distinguishing Between Monitoring and Evaluation
Monitoring
Evaluation
Timing
Continuous, throughout the project
Periodic review at significant points in the project progress
Scope
Day to day activities, output, indicators
Access overall delivery of outputs and progress towards
of progress and change
objectives and goals
Project staff, project users
External evaluators, facilitators, project users, project staff,
Main participants
sponsors
Process
Written output
Regular meetings, interviews, monthly,
Extraordinary meeting, additional data collection exercise
quarterly reviews
etc
Regular reports and updates to project
Written report with recommendations for changes to
users, management and sponsors
project-presented in workshops to different stakeholder
Source: Kepa (1997)
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1.4
The relationship between Monitoring and Evaluation
Gudda (2011:120) believes that monitoring and evaluation are intimately related. Both are necessary management
tools to inform decision-making and demonstrate accountability. They are mutually supportive and equally
important. Both use the same steps; however, they produce different kinds of information.
Systematically generated monitoring data is essential kinds for successful evaluations. Evaluation also supports
monitoring. The relationship between monitoring and evaluation can be best described as interactive. Neither
function should be undertaken as a substitute for the other.
1.5
Project Audits
According to Sheid (2011) it is essential to study the project feasibility process by the method of project audit so
that one can successfully complete a particular project. Conducting an audit is imperative to assess the progress
of a project and regular audit sessions ensure that a project9s management is in-sync with the established project
objectives. Ideally, an audit process should have some level of flexibility.
The reason - various teams and organisational resources are involved in the execution of a project and to measure
each of them using a standard assessment tool may not provide the most accurate results. However, the focus
should be on not deviating from the purpose of a project management auditing process - it is an honest assessment
of team and individual performances and their ability to execute assignments to achieve project targets, both shortterm and long-term.
A basic checklist that is often used for auditing project management to assess the project characteristics includes
verifying the presence of:

Strategic project management tools for organising and monitoring every facet of a project

Clearly-defined phases and sub-processes through a project9s lifecycle

Delegation of responsibilities to ensure that each of the project phase is in agreement with the critical project
objectives
For a project manager, an audit is like a judgment day. This is because huge amounts of work, time and money
are at stake. Project audits aim to meet their objectives to ensure success of a project.
The word audit sometimes has a negative connotation to it, especially to the ears of the person undergoing it.
Fearing an audit is a natural reaction. Many people who failed an audit in the past can only attest to how nervewracking the process can be. For a project manager, an audit is like a judgment day. This is because work, time
and money are at stake. Although it is not always a much anticipated event, a project audit can result in a positive
outcome, whether a project manager passes or fails it (Scudder, 2011)
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According to Scudder (2011), the ultimate goal of a project audit is to ensure that the project is meeting project
management standards through investigations and evaluations.
The following are five main objectives of a project audit.
1.6
Assure Quality of Products and Services
A project audit acts as a quality assurance instrument. It scrutinises the project life cycle system by evaluating the
deliverables produced during various phases of the project from the design phase all the way to the implementation
phase. During the design phase review, a project audit assesses the completeness of the design concepts
including analysing alternative designs. It also conducts a complete technical assessment of the design before
purchasing or coding software. During the pilot readiness review, a project audit evaluates whether the solution is
ready for pilot testing, while it assesses the readiness for full implementation during the implementation readiness
review. Finally, during the implementation review, the project audit assesses and validates the implementation on
each site that implements the new solution. Identifying problems earlier helps address problems and make
decisions whether the project should continue by making a go/no-go decision in each phase.
1.6.1
Assure Quality of Project Management
A project audit assures that project management is meeting the standards by evaluating if it follows the
organisation9s policies, processes and procedures. It scrutinises the methodology used to help identify the gaps in
order to make the necessary improvements.
1.6.2
Identify Business Risk
Project audits help identify business risks that may involve budget, time, scope and quality. After all, the company
is the client itself, which has a bigger stake at the outcome of the project. The project audit evaluates the feasibility
of the project in terms of affordability and returns by providing transparency to the project status and performance
by evaluating the cost, time and resources. It does a check-and-balance approach when it comes to scrutinising
the budget by reviewing data that includes estimated and actual costs as well as target completion costs. It reports
to the company its findings and provides an outlook of the budget. It reports the business risks to help the company
decide whether to proceed with the project or not
1.6.3
Enhance Project Performance
Auditing the various phases in the project life cycle can help improve performance of the project team. It also
improves resource and budget allocation. Identifying priorities, corrective measures and preventative actions can
lead to a successful project outcome. Discovering problems along the way allows the project team to provide
solutions. It also helps prevent future recurrence of similar issues.
1.6.4
Learn
A project audit can lead to learning opportunities through assessments of project management (organisational,
team and individual) competency. Providing reviews and feedbacks allow individuals and project teams to reflect
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on their performance. The results aim to re-energise the project teams to improve their performance, resolve
conflicts and learn from their past mistakes.
1.7
Main Differences between Monitoring, Evaluation and Audits
The main differences can be tabulated below:
Table 21.2: Distinguishing Between Monitoring and Evaluation
Why?
Monitoring
Evaluation
Audits
Check progress,
Assess progress and worth,
Ensure compliance and
identify lessons and
inform decisions and
provide assurance and
recommendations for
remedial action, update
longer-term planning and
accountability
project plans, support
organisational learning;
accountability
provide accountability
When?
Who?
Ongoing during
Periodic and after
According to sponsor
project/programme
project/programme
requirement
Internal, involving
Can be internal or external
Typically external to
to organisation
project/programme, but
project/programme
implementers
internal or external to
organisation
Link to logical Focus on inputs, activities,
hierarchy
outputs and shorter-term
Focus on outcomes and
Focus on inputs, activities
overall goal
and outputs
outcomes
Source: IFRC.org (2011)
1.8
Summary
Monitoring and evaluation when carried out correctly and at the right time and place are two of the most important
aspects of ensuring the success of many projects. Unfortunately, these two although known to many project
developers tend to be given little priority and as a result they are done simply for the sake of fulfilling the
requirements of most funding agencies without the intention of using them as a mechanism of ensuring the success
of the projects.
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It should also be noted that each project may have unique requirements for this and that in such circumstances,
project managers and developers should attempt to develop suitable monitoring and evaluation mechanisms.
Knowledge Check Questions
Once you have read through Chapter 1, answer the following questions:
1. Why are projects monitored?
2. What are the characteristics of an excellent monitoring and evaluation system in a project?
1.9
Answer to self-test question
1. Projects are monitored to:

assess the stakeholders9 understanding of the project;

minimise the risk of project failure;

promote systematic and professional management; and

Assess progress in implementation.
2. Each project is unique. It is therefore suggested that prior to starting of a project, a discussion should ensure
to try and identify these. Among them could be: simple, quickly provides information for corrective action, costeffective, flexible, accurate, comprehensive, relevant, accessible, leads to learning, transparent, and shares
information up and down.
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Unit
2:
Project Monitoring Process
and Techniques
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Unit Learning Outcomes
CONTENT LIST
LEARNING OUTCOMES OF THIS UNIT:
2.1 Introduction
 Introduce content areas of the unit
2.2 Elements of Monitoring
 Discuss the elements of monitoring
2.3 Focus of Monitoring.
2.4 Types of Monitoring
 List the various types of monitoring
2.5 Planning the Monitoring System
 Discuss the planning of a monitoring system
2.6 Monitoring Tools
 List the various monitoring tools
2.7 Monitoring Best Practices
 Highlight the best practices of monitoring
 Summarise content areas of unit
2.8 Summary
Prescribed and Recommended Textbooks/Readings
Prescribed Reading:

Gudda, P (2011) A Guide to Project Monitoring and Evaluation USA: Author House.

Shapiro, J (1993) Monitoring and Evaluation (online) Available
from:http://www.civicus.org/new/media/Monitoring%20and%20Evaluation.pdf
[Accessed 14 November 2015]

Kepa (1997) Summary of Differences between Monitoring and Evaluation (online).
Available from: https://www.kepa.fi/tiedostot/differences-between-monitoringevaluation.pdf [Accessed 14 November 2015]

IFRC.org (2011) Project/programme monitoring and evaluation (M&E) guide (online).
Available from: http://www.ifrc.org/Global/Publications/monitoring/IFRC-ME-Guide-82011.pdf [Accessed 14 November 2015]

Otieno, F (2012). The Roles of Monitoring and Evaluation in Projects (online)
Available from: http://www.irbnet.de/daten/iconda/CIB8942.pdf [Accessed 14
November 2015]

WHO (2000) Module 6: Monitoring and Evaluation (online). Available from:
http://www.wpro.who.int/publications/docs/hsp_mod6_17C0.pdf [Accessed 15
November 2015]
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2.1
Introduction
Monitoring is a management tool that contributes to effective and efficient implementation. Those responsible for
monitoring should be open to modifying original plans during implementation, if such action seems warranted. By
comparing what has been accomplished to targets set up in advance for a given time period, monitoring identifies
shortcomings before it is too late. It also provides elements of analysis as to why progress fell short of expectations,
identifying constraints and pointing the way towards measures to overcome them.
Monitoring may be used to adjust specific objectives and revise the work plan. This does not mean that objectives
should be changed lightly. But when monitoring signals that something is off course, a careful review of the situation
should be undertaken to assess if a modification of objectives is merited.
2.2
Elements of Monitoring
Routine reporting, field visits, detailed activity plans and timetables provide a monitoring framework. Baseline data
describe the problem or situation before the service, program or project begins (or begins another phase) and
identify a point from which to measure progress. Often it is not desirable to delay the start of an activity while
comprehensive baseline data are being gathered.
In that case data should be gathered in association with the early phase of the activity, before it has had time to
have an impact. At the beginning of implementation, or immediately prior to it, those responsible for carrying out a
programme should review the plan of action and confirm or refine objectives, activities, time frame, resources,
baseline data, and monitoring plan (WHO, 2000).
2.3
Focus on Monitoring
According the WHO (2000) monitoring can focus on:

Projects normally consist of a set of activities undertaken to achieve specific objectives within a given budget
and time period.

Programmes are organised sets of projects or services concerned with a particular sector or geographic
region or a particular donor.

Services are based on a permanent structure, and, have the goal of becoming, national in coverage, e.g.
health services, whereas programmes are usually limited in time or area.

Processes are organisational operations of a continuous and supporting nature (e.g. personnel procedures,
administrative support for projects, distribution systems, information systems, management operations).

Conditions are particular characteristics or states of being of persons or things (e.g. disease, nutritional
status, literacy, income level).
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In addition, monitoring may focus on different aspects of a service, programme or project:

Inputs are resources provided for an activity, and include cash, supplies, personnel, equipment and training.

Processes transform inputs into outputs.

Outputs are the specific products, goods or services, that an activity is expected to deliver as a result of
receiving the inputs.
Outcomes generally refer to peoples9 responses to a programme and how they are doing things differently as

a result of it. They are short-term effects related to objectives.

Impacts are the effects of the project/programme on the people and their surroundings. These may be
economic, social, organisational, health, environmental, technical or other intended or unintended results of
the project or programme. Impacts are long-term effects.
2.4
Types of Monitoring
The common types of monitoring are tabulated below:
Table 2.1 Common Types of Monitoring
3
Type
Description
Examples
Results
Tracks effects and impacts. This is where
A psychosocial project may
Monitoring
monitoring merges with evaluation to
monitor that its community
determine if the project/programme is on target
activities achieve the outputs that
towards its intended results (outputs, outcomes,
contribute to community resilience
impact) and whether there may be any
and ability to recover from a
unintended impact (positive or negative).
disaster.
Process (activity)
Tracks the use of inputs and resources, the
A water and sanitation project may
monitoring
progress of activities and the delivery of outputs.
monitor that targeted households
It examines how activities are delivered – the
receive septic systems according
efficiency in time and resources. It is often
to schedule.
conducted in conjunction with compliance
monitoring and feeds into the evaluation of
impact.
Compliance
Ensures compliance with donor regulations and
A shelter project may monitor that
monitoring
expected results, grant and contract
shelters adhere to agreed national
requirements, local governmental regulations
and international safety standards
and laws, and ethical standards.
in construction.
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Context (situation)
Tracks the setting in which the
A project in a conflict-prone area
monitoring
project/programme operates, especially
may monitor potential fighting that
as it affects identified risks and assumptions, but
could not only affect project
also any unexpected considerations that may
success but endanger project staff
arise.
and volunteers.
It includes the field as well as the larger political,
institutional, funding, and policy context that
affect the
project/programme
Beneficiary
Tracks beneficiary perceptions of a
A cash-for-work programme
monitoring
project/programme. It includes beneficiary
assisting community members
satisfaction or complaints with the
after a natural disaster may
project/programme, including their participation,
monitor how they feel about the
treatment, access to resources and their overall
selection of programme
experience of change. Sometimes referred to as
participants, the payment of
beneficiary contact monitoring (BCM), it often
participants and the contribution
includes a stakeholder complaints and feedback
the programme is making to the
mechanism. It should take account of different
community (e.g. are these
population groups, as well as the perceptions of
equitable?).
indirect beneficiaries (e.g. community members
not directly receiving a good or service).
Financial
Financial monitoring accounts for costs by input
A livelihoods project implementing
monitoring
and activity within predefined categories of
a series of micro-enterprises may
expenditure. It is often conducted in conjunction
monitor the money awarded and
with compliance and process monitoring.
repaid, and ensure implementation
is according to the budget and
time frame.
Organisational
Tracks the sustainability, institutional
A National Society9s headquarters
monitoring
development and capacity building in
may use organisational monitoring
the project/programme and with its partners. It is
often done in conjunction with the monitoring
processes of the larger, implementing
organisation.
to track communication and
collaboration in project
implementation among its
branches and chapters.
Source: IFRC.org (2011)
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2.5
Planning the Monitoring System
When planning an effective monitoring system one should answer the following questions:
2.5.1 What should be monitored?
When planning a monitoring system one should first select good indicator. An indicator answers the question: <what
is going to show that we have accomplished our objective?= To decide on an indicator, recall the objective of an
activity and the targeted audience: what is the expected result of the effort and who is the intended user of the
service? (WHO, 2000)
According to Gudda (2011:10) indicators are a measure of change(s) brought about by an activity. Indicators
communicate information about progress towards particular goal, provide clues about matters of larger significance
or make perceptible a trend or a phenomenon that is not immediately detectable. Indicators are an essential part
of a monitoring and evaluation system because they are what you measure and/or monitor. Through the indicators
you can ask and answer questions such as:

Who?

How many?

How often?

How much?
But you need to decide early on what your indicators are going to be so that you can begin collecting the information
immediately. You cannot use the number of television aerials in a community as a sign of improved standard of
living if you don9t know how many there were at the beginning of the process.
Gudda (2011:11) maintains that indicators need to specific and measurable, relevant and substantial, sensitive,
cost-effective, verifiable and available and logical. The choice of indicators depends on the purpose for which they
are required and on the audience. Formative indicators are set with a time-frame to be measured during a phase
or project and are the same as milestones
Gudda (2011:11) further explains the CREAM of good performance indicators. The CREAM of selecting good
performance indicators is essentially a set of criteria to aid in developing indicators for a specific project, program
or policy.
CREAM stands for:

Clear: Precise and unambiguous

Relevant: appropriate to the subject at hand

Economic: available at a reasonable cost

Adequate: provide a sufficient basis to assess performance

Monitorable: amenable to independent validation
If any of the above five criteria is not met, formal performance indicators will suffer and be less useful.
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The following is an example of a Program and Project Level results indicators
Table 2.2 Program and Project Level results indicators: An example from the Irrigation Sector
4
Level
Result
Project Name
Strengthening irrigation in a specific country area
Project Goals
Improve agricultural productivity
Raise farm income
Indicator
Outcome
indicators
New area under irrigation
Higher yield
Increased production
Increased farm income
Output
Indicators
Construction of ten new irrigation schemes
Reconstruction of five old irrigation schemes
Twenty five farmer training sessions
Source: Gudda (2011:13)
2.5.2 How should it be monitored?
According to WHO (2000) one should select methods to track indicators and report on progress. Many methods
may be used: observation, interviews, routine reporting. Piggyback on existing data collection systems whenever
possible. Both formal and informal, quantitative and qualitative methods can be used to check periodically on
certain programme aspects. Decide how information will be recorded systematically and reported clearly.
The monitoring plan should also identify who will be involved in reviewing progress and providing feedback on a
regular basis.
2.5.3 What reports should contain?
The major components of progress reports are fairly standard and include:

a list of specific objectives and activities that were to be accomplished during the quarter (or six month period);

the degree to which each was completed, with numbers;

identification of constraints or obstacles that explain why certain objectives/activities were not completed as
planned (if applicable);

identification of additional resources, training, needed to help overcome these constraints;

updated list of objectives/activities planned for the next period; and

financial accounting: what was budgeted and spent during the report period and any proposed changes for
the next period.
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2.6
Monitoring Tools

Gudda (2011:38) discusses four monitoring tools that one can use in a project:

Project breakdown structure (PBS) – it involves breaking down the project into a hierarchical structure of its
component parts.

Gantt charts: provides a graphical representation of the project related to a time frame

Milestone charts – is a development of a bar chart that shows milestones or check points that represent key
events in time

Network diagrams (Critical Path Analysis and Program Evaluation and Review Technique)
Otieno (2012) highlights a few more widely used tools for monitoring and its limitations:
Verbal communication
This is probably the most effective mode of communication. Among its advantages is that it is quick, and its
presentation can be adapted to concerns and questions of the audience.
However, this type of tool to communicate monitoring information can lead to misunderstandings and sometimes
denial of information.
Meetings
The very nature of project / programme management makes it inevitable that certain meetings are convened to
communicate and share project information. Other programmes may even require standing committees where
outsiders may be invited to review programme performance. One needs to be cautioned that, while it is important
to have meetings, they should be used as effective tools. Meetings can be used for sharing and interchanging
information, clarifying, stimulating, and seeking the best solutions regarding project performance.
Reports
The importance of monitoring reports should not be overlooked. It should be noted that these are an essential part
of project / programme monitoring. Activities undertaken, inputs supplied, money disbursed, etc. have to be
recorded and accounted for.
However, reports are only effective if they are submitted to the right people at the right time to facilitate corrective
decision making.
Diary notes
While most people do not use this mode of recording information, it remains an important option. It is essential to
record key decisions, which may have been made at formal or informal meetings. Its format should be simple –
giving the date, time, place and the names of the people present when the decision was taken.
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However, experience from many countries (developing) indicates that some of the problems in general would
include:

Most reports gather dust in offices without being effectively used.

Sometimes the wrong information is collected, which may not be useful in decision-making.

Some departments or units do not have the necessary logistics – e.g. paper, typewriters, etc. – to write reports.

There has normally been no feedback on the reports presented to higher authorities.
2.7
Monitoring Best Practices

Monitoring data should be well-focused to specific audiences and uses (only what is necessary and sufficient).

Monitoring should be systematic, based upon predetermined indicators and assumptions.

Monitoring should also look for unanticipated changes with the project/ programme and its context, including
any changes in project/programme assumptions/risks; this information should be used to adjust
project/programme implementation plans.

Monitoring needs to be timely, so information can be readily used to inform project/programme implementation.

Whenever possible, monitoring should be participatory, involving key stakeholders – this can not only reduce
costs but can build understanding and ownership.

Monitoring information is not only for project/programme management but should be shared when possible
with beneficiaries, donors and any other relevant stakeholders (IFRC.org, 2011)
Activity
Consider a project of your choice and determine the indicators used in the project
2.8
Summary
Successful advocacy for change is dependent on process, hence monitoring of the process is critical. It is essential
that the project manager understand the concepts of monitoring and is able to apply it in any project.
Knowledge Check Questions
Once you have read through Chapter 2, answer the following questions:
1. What are the potential limitations to project monitoring reporting?
2. What are the advantages to project monitoring reporting?
3. Read the case study in Appendix 1 – Designing a monitoring system.
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2.9
Answers to self-test questions
1. The limitations include:

They tend to focus on a pre-determined set of data for information.

The attitude of the persons doing the reporting may cause them to hide problems.

They may emphasise problems rather than opportunities.

They may not be shared with those who provided the data.

The information may be too subjective.
2. The advantages include:

They provide the regularised flow of information needed for decision-making.

They provide a history of the project which can be the basis for lessons learned and evaluation of the project.

They assist in fostering discipline among stakeholders.

They may give sense of responsibility to the target group.

They can be used to identify skill building needs of those responsible for collecting data and preparing the
reports.
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Unit
3:
Project Evaluation
Process and Techniques
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Unit Learning Outcomes
CONTENT LIST
LEARNING OUTCOMES OF THIS UNIT:
3.1 Introduction

Introduce content areas of the unit
3.2 The Purpose of Evaluation.

Discuss the purpose of evaluation
3.4 Types of Evaluation.

List the various types of evaluation
3.5 Advantages and Disadvantages of

Highlight the advantages and disadvantages of internal and
3.3 Criteria Applied to Evaluation.
Internal and External Evaluations.
external evaluation
3.6 Planning the Evaluation System.

Discuss the planning of an evaluation system
3.7 Different Approaches to Evaluation.

Highlight the different approaches of evaluation
3.8 Key Evaluation Questions.

Understand how to ask the key evaluation questions
3.9 Summary

Summarise content areas of unit
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Prescribed and Recommended Textbooks/Readings
Prescribed Textbook:

Gudda, P. (2011) A Guide to Project Monitoring and Evaluation USA: Author
House.

Shapiro, J (1993) Monitoring and Evaluation (online) Available
from:http://www.civicus.org/new/media/Monitoring%20and%20Evaluation.pdf
[Accessed 14 November 2015].

Kepa (1997) Summary of Differences between Monitoring and Evaluation (online)
Available from: https://www.kepa.fi/tiedostot/differences-between-monitoringevaluation.pdf [Accessed 14 November 2015]

IFRC.org (2011) Project/programme monitoring and evaluation (M&E) guide
(online). Available from: http://www.ifrc.org/Global/Publications/monitoring/IFRCME-Guide-8-2011.pdf [Accessed 14 November 2015].

Otieno, F (2012). The Roles of Monitoring and Evaluation in Projects (online)
Available from: http://www.irbnet.de/daten/iconda/CIB8942.pdf [Accessed 14
November 2015].

WHO (2000) Module 6: Monitoring and Evaluation (online). Available from:
http://www.wpro.who.int/publications/docs/hsp_mod6_17C0.pdf [Accessed 15
November 2015].
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3.1
Introduction
An evaluation is a systematic and objective examination concerning the relevance, effectiveness, efficiency and
impact of activities in the light of specified objectives. The idea in evaluating projects is to isolate errors not to
repeat them and to underline and promote the successful mechanisms for current and future projects.
An important goal of evaluation is to provide recommendations and lessons to the project managers and
implementation teams that have worked on the projects and for the ones that will implement and work on similar
projects.
Evaluations are also indirectly a means to report to the donor about the activities implemented. It is a means to
verify that the donated funds are being well managed and transparently spent. The evaluators are supposed to
check and analyse the budget lines and to report the findings in their work.
3.2
The Purpose of Evaluation
Evaluation has several purposes, which include the following:

It assists to determine the degree of achievement of the objectives.

It determines and identifies the problems associated with programme planning and implementation.

It generates data that allows for cumulative learning which, in turn, contributes to better designed programmes,
improved management and a better assessment of their impact. The key words in this scenario are <lessons
learned=.

It assists in the reformulation of objectives, policies, and strategies in projects / programmes (Otieno, 2012)
It should also be noted that in some cases, evaluation has been used to resolve non-programme issues affecting
different donors. For instance, two organisations involved in separate but similar programmes on land management
may undertake an evaluation of the entire programme to assess the extent to which they can cooperate.
Consequently, evaluation can be seen as a process that determines the viability of programmes / projects and
facilitates decisions on further resource commitment.
3.3
Criteria Applied to Evaluation
The criteria applied to evaluation include

Objectives

Efficiency

Effectiveness

Impact

Sustainability
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3.4
Types of Evaluation
According to IFRC.org (2011) the major types of evaluation include:

Formative evaluations occur during project/programme implementation to improve performance and assess
compliance.

Summative evaluations occur at the end of project/programme implementation to assess effectiveness and
impact.

Midterm evaluations are formative in purpose and occur midway through implementation.

Final evaluations are summative in purpose and are conducted (often externally) at the completion of project/
programme implementation to assess how well the project/ programme achieved its intended objectives.

Internal or self-evaluations are conducted by those responsible for implementing a project/programme. They
can be less expensive than external evaluations and help build staff capacity and ownership. However, they
may lack credibility with certain stakeholders, such as donors, as they are perceived as more subjective
(biased or one-sided). These tend to be focused on learning lessons rather than demonstrating accountability.

External or independent evaluations are conducted by evaluator(s) outside of the implementing team, lending
it a degree of objectivity and often technical expertise. These tend to focus on accountability.

Real-time evaluations (RTEs) are undertaken during project/ programme implementation to provide immediate
feedback for modifications to improve ongoing implementation. Emphasis is on immediate lesson learning
over impact evaluation or accountability.

Meta-evaluations are used to assess the evaluation process itself. Some key uses of meta-evaluations
include:

take inventory of evaluations to inform the selection of future evaluations;

combine evaluation results;

check compliance with evaluation policy and good practices;

assess how well evaluations are disseminated and utilized for organisational learning and change, etc.

Ex-post evaluations are conducted sometime after implementation to assess long-term

Participatory evaluations are conducted with the beneficiaries and other key stakeholders, and can be
empowering, building their capacity, ownership and support.

Joint evaluations are conducted collaboratively by more than one implementing partner, and can help build
consensus at different levels, credibility and joint support.

Thematic evaluations focus on one theme, such as gender or environment, typically across a number of
projects, programmes or the whole organisation.

Cluster/sector evaluations focus on a set of related activities, projects or programmes, typically across sites
and implemented by multiple organisations (e.g. National Societies, the United Nations and NGOs).

Impact evaluations focus on the effect of a project/ programme, rather than on its management and delivery.
Therefore, they typically occur after project/ programme completion during a final evaluation or an ex-post
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evaluation. However, impact may be measured during project/ programme implementation during longer
projects/ programmes and when feasible.
Activity
Consider a project of your choice and conduct a self –evaluation of it!
3.5
Advantages and Disadvantages of Internal and External Evaluations
The advantages and disadvantages of conducting an internal and external evaluation is tabulated
Table 3.1: Advantages and Disadvantages of Internal and External Evaluations
5
Internal evaluation
Advantages
Disadvantages
The evaluators are very familiar with the work,
The evaluation team may have a vested
the organisational culture and the aims and
interest in reaching positive conclusions
objectives.
about the work or organisation. For this
Sometimes people are more willing to speak
may prefer an external evaluation.
to insiders than to outsiders.
An internal evaluation is very clearly a
management tool, a way of self-correcting,
The team may not be specifically skilled or
trained in evaluation.
and much less threatening than an external
The evaluation will take up a considerable
evaluation. This may make it easier for those
amount of organisational time – while it may
involved to accept findings and criticisms.
cost less than an external evaluation, the
An internal evaluation will cost less than an
opportunity costs (see Glossary of Terms)
may be high.
external evaluation.
External
reason, other stakeholders, such as donors,
evaluation
The evaluation is likely to be more objective as
Someone from outside the organisation or
(done by a team or
the evaluators will have some distance from
project may not understand the culture or
person with no vested
the work.
even what the work is trying to achieve.
The evaluators should have a range of
Those directly involved may feel threatened
evaluation skills and experience.
by outsiders and be less likely to talk openly
interest in the project)
Sometimes people are more willing to speak
and co-operate in the process.
to outsiders than to insiders.
External evaluation can be very costly.
Using an outside evaluator gives greater
An external evaluator may misunderstand
credibility to findings, particularly positive
what you want from the evaluation and not
findings.
give you what you need.
Source: Shapiro (1993)
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3.6
Planning the Evaluation System
WHO (2000) maintains that the best way to decide on the purpose of an evaluation is to identify all who might use
the evaluation and then discuss with them what they want the evaluation to do and how they would use its results,
what difference the information would make - that it would be possible to do something about the problems
disclosed.
3.6.1 What resources are needed and available for evaluation?
Early in planning an evaluation make an estimate of its costs. Costs depend on the nature and size of the project
and design of the evaluation. Also, you should consider the nonfinancial or indirect costs of the evaluation, the time
and effort that people involved must contribute, when away from their regular work.
3.6.2 Formulating findings
Findings answer the evaluation questions. They describe the situation, compare it to what was expected, and
explain the reasons for the situation and its consequences for achieving programme goals. For findings to be
credible and persuasive, they must flow from the data gathered and be backed up by the evidence collected. Focus
the findings on issues related to the purposes of the evaluation and select the most important and interesting ones.
3.6.3 Using Evaluation Results
Evaluation results should be used to:

improve future planning;

assist decision-making;

indicate where further action might be needed; and

indicate where further research is needed.
3.7
Different Approaches to Evaluation
The different approaches to evaluation are tabulated in Table 3.2. Shapiro (1993) is of the opinion that the best
evaluators use a combination of all these approaches, and that an organisation can ask for a particular emphasis
but should not exclude findings that make use of a different approach.
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Table 3.2 Approaches to Evaluation
6
Approach
Major purpose
Typical focus
Likely methodology
questions
Goal-based
Decision-
Assessing achievement of
Were the goals
Comparing baseline (see Glossary
goals and objectives.
achieved? Efficiently?
of Terms) and progress data (see
Were they the right
Glossary of Terms); finding ways to
goals?
measure indicators.
Providing information.
making
Is the project effective? Assessing range of options related
Should it continue?
to the project context, inputs,
How might it be
process, and product. Establishing
modified?
some kind of decision-making
consensus.
Goal-free
Assessing the full range of
What are all the
Independent determination of
project effects, intended and
outcomes? What value
needs and standards to judge
unintended.
do they have?
project worth. Qualitative and
quantitative techniques to uncover
any possible results.
Expert
Use of expertise.
judgement
How does an outside
Critical review based on
professional rate this
experience, informal surveying,
project?
and subjective insights.
Source: Shapiro (1993)
3.8
Key Evaluation Questions
Shapiro (1993) believes that the key evaluation questions are the central questions you want the evaluation
process to answer. They are not simple questions. You can seldom answer <yes= or <no= them. A useful evaluation
question is:

Thought provoking

Challenges assumptions.

Focuses inquiry and reflection.

Raises many additional questions.
Some examples of key evaluation questions related to a project purpose:
The purpose of the evaluation is to assess how efficient the project is in delivering benefits to the identified
community in order to inform Board decisions about continuity and replicability.
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Key evaluation questions:

Who is currently benefiting from the project and in what ways?

Do the inputs (in money and time) justify the outputs and, if so/if not, on what basis is this claim justified?

What would improve the efficiency, effectiveness and impact of the current project?

What are the lessons that can be learned from this project in terms of replicability?
Note that none of these questions deals with a specific element or area of the internal or external functioning of
the project or organisation. Most would require the evaluation team to deal with a range of project or organisational
elements in order to answer them.
Other examples of evaluation questions might be:

What are the most effective ways in which a project of this kind can address the problem identified?

To what extent does the internal functioning and structure of the organisation impact positively on the
programme work?

What learnings from this project would have applicability across the full development spectrum?
Clearly, there could be many, many examples. Our experience has shown us that, when an evaluation process is
designed with such questions in mind, it produces far more interesting insights than simply asking obvious
questions such as: Does the Board play a useful role in the organisation? Or: What impact are we having?
3.9
Summary
There is no one way to carry out an evaluation, with strengths and weaknesses apparent in most approaches. A
suitable approach should be developed in consultation with stakeholders such as the community, local
government, relevant coastal management groups, State government or the funding body. It is important to ensure
all relevant parties have an understanding of the evaluation process, and its anticipated outcomes.
Knowledge Check Questions
Once you have read through Chapter 3, answer the following questions:
1. Why is self-evaluation important for projects?
2. What are the advantages of a project manager doing a self-evaluation?
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3.10
Answers to Self-Test Questions
1. Self-evaluation takes time and effort but it allows you:

to explore the reasons why things are (or are not) working well and make changes so that you can better
achieve your outcomes

to gather information that will help you report to funders and others about how your project is performing and
how you9ve adapted it to changing circumstances

to identify good practice and help other projects to improve the way that they work by publicising your
evaluation findings

to build a culture of reflection and analysis within your organisation that helps people to improve the quality of
their work.
2. The advantages of doing a self-evaluation include:

The project manager and his staff have an in depth knowledge of how the organisation works

The project manager is sensitive to the needs of the project and its users

It allows the project manager to learn new skills

It encourages reflection and learning by those involved, which is more likely to lead to change in your
organisation

It will save on project costs
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Project Monitoring and Evaluation
Unit
4:
The Logical Framework
Approach
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Unit Learning Outcomes
CONTENT LIST
LEARNING OUTCOMES OF THIS UNIT:
4.1 Introduction

4.2 Benefits of the LFA
 Understand the logical framework approach
Introduce content areas of the unit

Discuss the benefits of the LFA

Discuss the concept of Monitoring with the LFA
4.4 The Concept of Evaluation in LFA

Discuss the concept of Evaluation with the LFA
4.5 The Steps in the LFA

List the advantages and disadvantages of the LFA
4.6 Strengths and Weaknesses of the

List the strengths and weaknesses of the LFA
4.3 The Concept of Monitoring with the
LFA
LFA

4.7 Summary
Summarise content areas of unit
Prescribed and Recommended Textbooks/Readings
Prescribed Textbook:
 This section is to be read in conjunction with the following prescribed textbook:
 Baobab (2000) Project Planning Matrix (online) Available from: http://baobabct.org/learning/manuals/p06.pdf [Accessed 13 November 2015]
 DWAF (2005) Logical Framework Approach -Project Planning - Preparing and
Documenting a Project (online). Available from:
http://webapps.daff.gov.za/AmisAdmin/upload/PFM%20Guideline3Project%20Planning..pdf [Accessed 16 November 2015]
 Fao (2015) Project Planning Matrix (online) Available from:
http://www.fao.org/docrep/v9741e/v9741e09.htm [Accessed 12 November 2015]
 Gudda, P (2011). A Guide to Project Monitoring and Evaluation USA: Author House.
 SMES (2009) SMES Monitoring and Evaluation Training Manual (online) Available
from:http://www.smes.org.np/SMES_files/SMES1_Training_Modules/SMES1_TM_01_
List_of_Modules.pdf
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4.1
Introduction
According to DWAF (2005) Logical framework approach (LFA) is a way of planning that ensures a holistic
approach, and that facilitates the development of outputs and activities that are in line with the overall and specific
objectives of the project.
The LFA concentrates on logical connections between what the activities are trying to achieve (objectives) and
how they attempt to do it (outputs and activities). It also builds in ways of monitoring and evaluating a project
according to its objectives.
4.2
Benefits of the LFA
DWAF (2005) maintains that by using the LFA to develop and document a project will:

Assist facilitators and stakeholders to think through all aspects of a proposed project in a clear, logical manner.

Help facilitators and stakeholders document their project ideas in a way that is understandable and acceptable
to potential support agencies.

Provide a useful basis for monitoring and evaluating a project. LFA is a valuable project management tool and
a way to document lessons learnt. The LFA provides procedures and tools that:

Define realistic and definite objectives;

Plan and implement project activities;

Improve communication between stakeholders;

Document projects in a logical fashion;

Provide indicators as a basis for monitoring and evaluation;

Record lessons learnt during the implementation of a project
4.3
The Concept of Monitoring with the LFA
When monitoring a project, it is effective to compare the plan and the results by using Logical Framework and Plan
of Operation or Activity Schedule. Indicators and Means of Verification in Logical framework provide the framework
for monitoring. In the context of monitoring, the Logical framework matrix provides:

A framework of objectives, indicators and sources of information which should be used to develop and
implement the monitoring, review and reporting system;

A list of key assumptions which must be monitored as part of the project9s risk management arrangements,
and

4.4
A clear and consistent reference point and structure for completing progress reports (SMES, 2005)
The Concept of Evaluation in LFA
In evaluating a project, the plan shown in the logical framework and the achievements are compared, and analysed
using five evaluation criteria to draw conclusions. Based on these conclusions, recommendations are made and
lessons learned are drawn (SMES, 2005).
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4.5
The Steps in the LFA
The steps include:

Establish the general scope and focus of the project.

Agree on the specific planning framework, terminology and design process.

Undertake a detailed situation analysis.

Develop the project strategy, objectives hierarchy, implementation arrangements and resources.

Identify and analyse the assumptions and risks for the chosen strategies and modify the project design if
assumptions are incorrect or risks are too high.

Develop the monitoring and evaluation framework.
The Logframe or Project Planning Matrix is the product of the LFA process. It is discussed in detailed in Chapter 5
of this module.
4.6
Strengths and Weaknesses of the LFA
The strength includes:

During initial stages can be used to test project ideas and concepts for relevance and usefulness.

Designing logframes help to make comprehensive plans that are feasible within acceptable levels of risks.

Logframes can form the basis of 8contracts9 with explicit statements of what will be delivered.

During implementation the logframe serves as the main reference for drawing up detailed work plans, terms
of reference, budgets, etc.

The logframe provides indicators against which the project progress and achievements can be assessed.
The weaknesses of the LFA are:

There may be a tendency to focus too much on problems rather than on opportunities and vision.

The logframe may be used too rigidly, leading people into a 8blueprint9 approach to project design.

Limited attention to problems of uncertainty is provided, where a learning or adaptive approach to project
design and management is required.

There may be a tendency for poorly-thought-through sets of activities and objectives to be entered into a
matrix, giving the appearance of a logical framework when in fact the key elements of the analytical process
have been skipped.
4.7
Summary
The Logical Framework Approach (LFA) is a systematic and participatory approach for project design and planning.
By following the LFA, projects will also document information that will help inform their monitoring and evaluation.
The LFA is like a diagnostic tool that helps you understand why things are happening. It helps uncover what the
core problem of an issue is and what are the best way(s) to solve the problem.
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The LFA also assists you to develop a project timeline and budget. If you follow all the steps of the Logical
Framework Approach, you should have all the information required to include into a standard funding proposal. By
following all the steps of the LFA and involving key stakeholders in various steps of the process, your project design
is going to be well thought through (logical) and will likely have a greater chance of solving your core problem.
Activity
Read the case study entitled: Logical framework approach to the monitoring and evaluation of
agriculture and rural development projects from
http://www.tandfonline.com/doi/abs/10.1080/02688867.1987.9726638
Knowledge Check Questions
Once you have read through Chapter 4, answer the following questions:
1. What is the difference between the logical framework approach and logical framework matrix?
2. What are the four main analytical elements to help guide the logical framework process?
4.8
Answers to self-test questions
1. The approach is a process made up of a number of steps. The approach involves problem analysis,
stakeholder analysis, developing a hierarchy of objectives and selecting a preferred implementation strategy.
The product of this analytical approach is the matrix (the Logframe), which summarises what the project
intends to do and how, what the key assumptions are, and how outputs and outcomes will be monitored and
evaluated.
2. LFA incorporates four main analytical elements to help guide this process:

Problem Analysis: involves identifying what the main problems are and establishing the cause and effect
relationships which result in, and flow from, these problems (see also problem and preference ranking, or
problem tree analysis as methods for problem identification).

Stakeholder Analysis: having identified the main problems and the cause and effect relationship between
them, it is then important to give further consideration to who these problems actually impact on most,
and what the roles and interests of different stakeholders might be in addressing the problems and
reaching solutions (see also stakeholder identification).

Analysis of Objectives: problem tree has been completed and an initial stakeholder analysis has been
undertaken. This will give an image of an improved situation in the future.

Analysis of Strategies: comparison of different options to address a given situation.
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Unit
5:
45
Project Planning Matrix
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Unit Learning Outcomes
CONTENT LIST
LEARNING OUTCOMES OF THIS UNIT:
5.1 Introduction

Introduce content areas of the unit
5.2 Definition of Project Planning Matrix

Understand Project Planning Matrix
5.3 The Purpose of the PPM

Discuss the purpose of the PPM
5.4 What Does the PPM Look Like?

Draw the PPM
5.5 Summary

Summarise content areas of unit
Prescribed and Recommended Textbooks/Readings
Prescribed Textbook:

This section is to be read in conjunction with the following prescribed textbook:

Baobab (2000) Project Planning Matrix (online) Available from: http://baobabct.org/learning/manuals/p06.pdf [Accessed 13 November 2015]

Fao
(2015)
Project
Planning
Matrix
(online)
Available
from:
http://www.fao.org/docrep/v9741e/v9741e09.htm [Accessed 12 November 2015]

Gudda, P (2011) A Guide to Project Monitoring and Evaluation USA: Author
House.

DWAF (2005) Logical Framework Approach - Project planning - Preparing and
Documenting
a
Project
(online).
Available
from:
http://webapps.daff.gov.za/AmisAdmin/upload/PFM%20Guideline3Project%20Planning..pdf [Accessed 16 November 2015]
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5.1
Introduction
According to Blazer, Dimalanta and Kunz (2004) as cited in Gudda (2001:4) monitoring requires logical and
consistent planning which documents a consensus on the intended intervention strategy and development
hypothesis. Monitoring has to be based on the planning documents i.e. the project planning matrix, the work plan
and the resource/budget plan
5.2
Definition of Project Planning Matrix
Fao (2015) defines the project planning matrix (PPM) as a matrix of four columns and four rows providing sixteen
squares for a comprehensive description of a project. PPM shows both the project's logical structure (the links
between the inputs/activities and the objectives to be achieved under certain Assumptions), and its major
quantitative data.
According to Baobab (2000) the PPM is a one-page summary that includes the following information of a project:
Why
a project is carried out
(= who/what will benefit?)
What
the project is expected to achieve
(= utilisation of services)
How
the project is going to achieve its outputs/results
(= measures executed)
Which
external factors are crucial for the success of the project
(= risks and frame conditions)
How
we can assess the success
(= indicators)
Where
we will find the data required to assess the success
(= means of verification).
5.3
The purpose of the PPM
The PPM is useful in two ways:

in the planning process: PPM forces the planner to constantly check whether the project design is plausible
and consistent.

in deciding on the project and in executing it: PPM facilitates the communication among all parties on the
"why" and the "how" of the project, thus allows for a project monitoring based on common understanding.
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5.4
What does a PPM look like?
Baobab (2000) Illustrate a typical PPM as depicted in Figure 5.1
Figure 5.1: Typical PPM
Source: Baobab (2000)
2
Once objectives, outputs, activities, inputs and critical assumptions have been defined, these are recorded in a
project-planning matrix – sometimes known as a logical framework or log frame. Recording them in this form helps
one to check that outputs and activities are linked to objectives, which activities are linked to outputs, and that
inputs are linked to activities. The project-planning matrix also provides a clear plan of what needs to be done –
the activities of the planning matrix can be detailed in an implementation plan. The planning matrix can also be
used to monitor the progress of the project and make sure that it is on track (DWAF, 2005)
The project-planning matrix makes use of a 8zigzag9 logic. For example:

Activities + assumptions/risks = outputs

Outputs + assumptions/risks = immediate objective

Immediate objective + assumptions/risks = development objective
The logic of the PPM is shown in the Figure 5.2 below
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Project Monitoring and Evaluation
Figure 5.2: The logic of the PPM
Source: DWAF (2005)
3
5.4.1
The Vertical logic of the PPM
The vertical logic of the PPM is best illustrated in Figure 5.3 below:
Figure 4.3: The vertical logic of the PPM
Source: DWAF (2005)
4
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Project Monitoring and Evaluation
5.4.2
The Horizontal logic of the PPM
The horizontal logic of the PPM is best illustrated in Figure 4.4 below:
Figure 4.4: The horizontal logic of the PPM
5
How to develop a good PPM?

Ensure level of detail is enough to guide project implementation

Matrix structure – 4x4, and is therefore limiting, especially for large projects; different matrices can be prepared
for each purpose

Process or product-driven – the trend towards process-driven interventions is increasing, with capacity
development recognised as needed for people and institutions to guide their own development process

The sideways logic – it is important to remember that outputs from one part of the project will often be
necessary inputs or conditions for another part

Where to locate outputs and activities – place under a specific output all activities necessary to achieve it, or
split up an activity and be more specific if it relates to several outputs

Performance questions and target indicators – both may be found in the second column; performance
questions are important at the purpose and goal level where quantitative indicators may be difficult
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5.5
Summary
Monitoring and evaluation should be part of your planning process. It is very difficult to go back and set up
monitoring and evaluation systems once things have begun to happen. You need to begin gathering information
about performance and in relation to targets from the word go. The first information gathering should, in fact, take
place when you do your needs assessment. This will give you the information you need against which to assess
improvements over time.
In summary the PPM serves as a:

A tool for planning a logical set of interventions;

A tool for appraising a programme document;

A concise summary of the programme;

A tool for monitoring progress made with regard to delivery of outputs and activities; and

A tool for evaluating impact of programme outputs, or progress in achieving purpose and goal.

A tool for participation, ownership, and accountability
Knowledge Check Questions
Once you have read through Chapter 4, answer the following questions:
1. Draft a PPM for a project of your choice?
2. What are the limitations of the PPM?
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5.6
Answers to knowledge check questions
1. Students to use the following template to draw a PPM
2. The limitations of PPM are:

Unfortunately, the PPM is often seen as the panacea for solving all planning problems. It is basically an empty
piece of paper that simply contains a sixteen-cell matrix! The quality of the PPM is still dependent upon the
quality of work put in by those who use the technique.

During the planning process the PPM does not take uncertainty into account. Neither does it allow for
consideration of potential alternative actions.

A linear causal sequence is assumed which is an unlikely simplification of the relationships among various
project components and elements in the environment.

Getting consensus on objectives.

Reducing objectives to a simple linear chain.

Inappropriate level of detail (too much or too little).

Oversimplification of objective.

Objectives become too rigid (blueprint).

Ignoring unintended effects.

Hides disagreements, rigid targets.

Downgrading of less quantified objectives.

Used for top-down control.

Can alienate staff.

Becomes a fetish rather than a help.

Finding measurable indicators for higher-level objectives and 8social9 projects.

Establishing unrealistic targets too early.
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Bibliography

Baobab
(2000)
Project
Planning
Matrix
(online)
Available
from:
http://baobab-
ct.org/learning/manuals/p06.pdf [Accessed 13 November 2015]

DWAF (2005) Logical Framework Approach - Project Planning - Preparing and Documenting a Project
(online). Available from: http://webapps.daff.gov.za/AmisAdmin/upload/PFM%20Guideline3Project%20Planning..pdf [Accessed 16 November 2015]

Fao (2015) Project Planning Matrix (online) Available from:
http://www.fao.org/docrep/v9741e/v9741e09.htm [Accessed 12 November 2015]

Gudda, P (2011). A Guide to Project Monitoring and Evaluation USA: Author House.

IFRC.org (2011) Project/programme monitoring and evaluation (M&E) guide (online). Available from:
http://www.ifrc.org/Global/Publications/monitoring/IFRC-ME-Guide-8-2011.pdf [Accessed 14 November
2015]

Kepa (1997) Summary of Differences between Monitoring and Evaluation (online). Available from:
https://www.kepa.fi/tiedostot/differences-between-monitoring-evaluation.pdf [Accessed 14 November
2015]

Otieno, F (2012). The Roles of Monitoring and Evaluation in Projects (online) Available from:
http://www.irbnet.de/daten/iconda/CIB8942.pdf [Accessed 14 November 2015]

Scheid, J (2011). Project Management Audit Process (online) Available from:
http://www.brighthubpm.com/monitoring-projects/32883-project-management-audit-process/ [Accessed 13
November 2015]

Scudder(2011). Main Objectives of Project Audits(online). Available from:
http://www.brighthubpm.com/monitoring-projects/74896-main-objectives-of-project-audits/ [Accessed 15
November 2015]

Shapiro J (1993) Monitoring and Evaluation (online) Available
from:http://www.civicus.org/new/media/Monitoring%20and%20Evaluation.pdf [Accessed 14 November
2015]

SMES (2009) SMES Monitoring and Evaluation Training Manual (online) Available
from:http://www.smes.org.np/SMES_files/SMES1_Training_Modules/SMES1_TM_01_List_of_Modules.pd

WHO (2000) Module 6: Monitoring and Evaluation (online) Available from:
http://www.wpro.who.int/publications/docs/hsp_mod6_17C0.pdf [Accessed 15 November 2015]
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1Appendix 1: Case Study
DESIGNING A MONITORING SYSTEM –SOURCE: SHAPIRO (1993)
What follows is a description of a process that a South African organisation called Puppets against AIDS went
through in order to develop a monitoring system which would feed into monitoring and evaluation processes.
The main work of the organisation is presenting workshopped plays and/or puppet shows related to lifeskill issues,
especially those lifeskills to do with sexuality, at schools, across the country. The organisation works with a range
of age groups, with different <products= (scripts) being appropriate at different levels.
Puppets against AIDS wanted to develop a monitoring and evaluation system that provided useful information on
the efficiency, effectiveness and impact of its operations. To this end, it wanted to develop a data base that:

Provided all the basic information the organisation needed about clients and services given;

Produced reports that enabled the organisation to inform itself and other stakeholders, including donors,
partners and even schools, about the impact of the work, and what affected the impact of the work.
The organisation made a decision to go for a computerised monitoring system. Much of the day-to-day information
needed by the organisation was already on a computerised data base (e.g. schools, regions, services provided
and so on), but the monitoring system would require a substantial upgrading and the development of data base
software specific to the organisation9s needs. The organisation also made the decision to develop a system initially
for a pilot project, but with the intention of extending it to all the work over time. This pilot project would work with
about 60 schools, using different scripts each year, over a period of three years. In order to raise the money needed
for this process, Puppets against AIDS needed some kind of a brief for what was required so that it could be costed.
At an initial workshop with staff, facilitated by consultants, the staff generated a list of indicators for efficiency,
effectiveness and impact, in relation to their work. These were the things staff wanted to know from the system
about what they did, how they did it, and what difference it made. The terms were defined as follows:
Efficiency
Here what needed to be assessed was how quickly, how correctly, how cost effectively
and with what use of resources the services of the organisation were offered. Much of
this information was already collected and was contained in reports which reflected
planning against achievement. It needed to be made <computer friendly=.
Effectiveness
Here what needed to be assessed was getting results in terms of the strategy and
shorter-term impact. For example, were the puppet shows an effective means of
communicating messages about sexuality? Again, this information was already being
collected and just needed to be adapted to fit the computerised system.
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Impact
Here what needed to be assessed was whether the strategy worked in that it had an
impact on changing behaviour in individuals (in this case the students) and that that
change in behaviour impacted positively on the society of which the individuals are a
part. The organisation had a strong intuitive feeling that it was working, but wanted to
be able to measure this more scientifically and to be able to look at what variables made
impact more or less likely, or affected the degree of impact.
Staff generated a list of the different variables that they thought might be important in assessing and accounting
for differences of impact. The monitoring system would need to link information on impact to these variables. The
intention was to provide both qualitative and quantitative information.
The consultants and a senior staff member then developed measurable indicators of impact and a tabulation of
important variables which included:

Gender and age profile of proposed age cohort

Economic profile of school

Religious profile of the school

Teacher profile at the school

Approach to discipline at the school

Which scripts were used

Which acting teams presented the scripts

And so on.
Forms/questionnaires were developed to measure impact indicators before the first intervention (to provide
baseline information) and then at various points in the process, as well as to categorise such concepts as <teacher
profile=. With the student questionnaire, it was designed in such a way to make it possible to aggregate a score
which could be compared when the questionnaire was administered at different stages in the process. The
questionnaire took the form of a series of statements with which students were asked to agree/disagree/strongly
agree/strongly disagree etc. So, for example, statements to do with an increase in student self-esteem inlcuded
<When I look in a mirror, I like what I see=, and <Most of the people I know like the real me=.
The organisation indicated that it wanted the system to generate reports that would enable it to know:

What difference is there between the indicator ratings on the impact objective at the beginning and end of the
process?

What difference is there between teacher attitudes at the beginning and end of the process?

What variables to do with the school and school environment impact on the degree of difference between
indicators at the beginning and end of the process?
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
What variables to do with the way in which the shows are presented impact on the degree of difference at the
beginning and end of the process?
All this was written up as a brief which was given to software experts who then came up with a system that would
meet the necessary requirements. The process was slow and demanding but eventually the system was in place
and it is currently being tested.
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