Planning and Development Department
DIRECTORATE GENERAL OF MONITORING AND EVALUATION
KHYBER PAKHTUNKHWA
PROVINCIAL REFORMS PROGRAMME
AND CAPACITY BUILDING OF THE FATA
SECRETARIAT
GUIDELINES FOR THE
OPERATIONALISATION OF THE M&E
FRAMEWORK OF THE GOVERNMENT OF
KHYBER PAKHTUNKHWA
FOR THE ELEMENTARY & SECONDARY EDUCATION,
HEALTH, AND SOCIAL WELFARE, SPECIAL EDUCATION &
WOMEN’S EMPOWERMENT DEPARTMENTS
January 2012
M&E Guidelines for the Government of Khyber Pakhtunkhwa
Foreword
In line with the Chief Minister’s policy directive of strengthening the monitoring function in the
province, and as a step further in the implementation of the Government of Khyber
Pakhtunkhwa’s Monitoring and Evaluation Framework, I am pleased to present broad
Guidelines on the operationalisation of the Monitoring and Evaluation Framework. These
Guidelines are indicative and more detailed indicators, manuals and instructions will be
prepared by the line departments as the M&E system rolls out and reaches maturity. This is a
continuous process requiring periodic reviews of the procedures, systems and processes to
facilitate the monitoring and reporting functions of the Directorate General M&E and the
participating line departments.
As agreed earlier, the Monitoring and Evaluation Framework is to be pilot tested for one year
and therefore, these Guidelines are tailored to the monitoring and reporting requirements of the
first three OBB departments: Elementary & Secondary Education (E&SE), Health, and
Social Welfare, Special Education & Women’s Empowerment (SWSE&WE).
As indicated in the Guidelines, this is to be treated as a “living document” which will be reviewed
and updated on a regular basis as the process develops and the system becomes clearer with
respect to the on-going M&E reforms.
In addition to the Government of Khyber Pakhtunkhwa’s participating departments, I am grateful
to the UK government’s Department for International Development (DFID) for providing
technical assistance through the Provincial Reforms Programme for preparing these Guidelines.
I hope this support will continue, as these Guidelines will require further elaboration, detailing,
adjustments and modifications as well as the development of a range of tools for
implementation.
Muhammad Salim Khan
Secretary to the Government of Khyber Pakhtunkhwa
Planning and Development Department
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Acknowledgements
These Guidelines were developed and prepared by the Directorate General of Monitoring and
Evaluation with technical support from the DFID-funded Provincial Reforms Programme.
In particular, I would like to express my gratitude to the E&SE, Health, and SWSE&WE
departments for their inputs and support through consultative meetings to inform the
development of these Guidelines. Special thanks are due to the focal points in each
department: Mr Afsar Said (Chief Planning Officer), Mr Riaz Bahar (Director, Education Sector
Reforms Unit) and Mr Mohammad Saleem (Deputy Director, Education Sector Reforms Unit) in
the Elementary and Secondary Education Department; Dr Shabana Raza (Chief, Health Sector
Reforms Unit), Dr Shaheen Afridi (Deputy Chief, Health Sector Reforms Unit) in the Health
Department; Mr Shamroz Khan (Chief, Social Care Reforms Unit) in the Social Welfare, Special
Education and Women’s Empowerment Department; and, the Secretary, Additional Secretary
and the Chief Economist in the Planning and Development Department who provided valuable
support for the preparation of these Guidelines.
Dil Nawaz Khan
Director General of Monitoring and Evaluation
Planning and Development Department
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Executive Summary
The Government of Khyber Pakhtunkhwa approved the Monitoring and Evaluation (M&E)
Framework in January 2011 for the joint and harmonised monitoring, evaluation and reporting of
provincial policies, plans and development expenditure. The Framework is based on the
monitoring and evaluation of four key areas:
1. The Comprehensive Development Strategy (CDS), which the provincial government has
developed for the next seven years (2010-17).
2. The Output Based Budgets (OBBs) prepared by three departments of Khyber
Pakhtunkhwa (E&SE, Health, and SWSE&WE for three years i.e. 2010-13), extended to
nine other departments for 2011-14.
3. The Post Crisis Needs Assessment (PCNA) carried out by a consortium of donors and
implemented by the government with international support to complement the on-going
humanitarian and recovery efforts in Khyber Pakhtunkhwa and the Federally Administered
Tribal Areas (FATA).
4. The Annual Development Programme (ADP) which includes the province’s development
expenditure for each fiscal year.
The M&E Framework will be implemented by the Planning and Development (P&D)
Department’s Directorate General M&E in consultation with the Finance Department and the
participating line departments. The government departments will feed their required inputs to the
Directorate General M&E in order that quarterly and annual M&E reports can be produced that
measure performance against service delivery indicators.
In order to operationalise the M&E Framework, broad generic Guidelines are presented here to
assist the Directorate General M&E and the participating government departments in
institutionalising a robust M&E system for reporting on the status of public sector service
delivery in the province on both a quarterly and annual basis. Thus, the monitoring information
disseminated to stakeholders on a regular basis will help improve the overall policy, planning,
budgeting and implementation processes of the provincial government.
These Guidelines present the institutional arrangements for the M&E Framework’s
implementation, a key element of which are three committees. The M&E Advisory
Committee is chaired by the Additional Chief Secretary (ACS) and includes the Secretaries of
the P&D, Finance and participating departments with the Director General M&E as the secretary
to the Committee. The overall purpose of the Advisory Committee is to advise and steer
implementation of the provincial M&E system and provide strategic guidance to the Directorate
General M&E on the monitoring and evaluation of provincial policies, plans and development
projects. The Committee will also review and approve the quarterly and annual M&E reports
produced by the Directorate General M&E. The M&E Strategic Committee, chaired by the
Director General M&E, includes the Directors M&E (North and South), the Divisional Monitoring
Officers (DMOs) and other divisional and district officers of the line departments. The mandate
of this Committee is to approve divisional work plans, monitor targets and plans set by the M&E
Advisory Committee and to supervise the operationalisation of the Development Project
Management System (DPMS). The M&E Operations Committee, chaired by the relevant
divisional Commissioner, includes the DMOs, the District Coordination Officers, the Executive
District Officers and other district heads of the line departments. The Operations Committee will
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M&E Guidelines for the Government of Khyber Pakhtunkhwa
implement the targets set by the M&E Advisory and Strategic Committees and review/supervise
the activities of the divisional M&E offices.
These M&E Guidelines are an attempt to establish linkages between the Directorate General
M&E and the participating line departments in order to define and understand work flow
arrangements for the production of quarterly and annual monitoring reports.
M&E dissemination fora are identified for the wider sharing and use of the M&E findings in the
quarterly and annual M&E reports. The Directorate General M&E recognises the role of civil
society, academia, the mass media and other stakeholders in contributing to the reform process
and improving the provincial M&E system. The M&E reports will be shared through public
consultations and will be posted on the Government of Khyber Pakhtunkhwa’s website. The
M&E results will be also be disseminated and discussed in the Reforms Management Group
(RMG)-M&E focused group meetings with the P&D and the OBB departments. The M&E
Advisory Committee will approve the quarterly and annual M&E reports. Civil society
organisations identified in the Citizens’ Voice Study report will provide suggestions to the
Government of Khyber Pakhtunkhwa on improving its M&E practices and support the effective
dissemination of M&E results to target audiences.
The roles and functions of the Directorate General M&E in strengthening M&E processes in the
line departments are briefly discussed in the Guidelines, which require the Directorate General
M&E to assist in the technical and information technology (IT) capacity development of the
participating departments to streamline and strengthen their M&E systems according to the
M&E Framework.
Keeping in view the on-going reforms in Khyber Pakhtunkhwa, the Directorate General M&E will
update these Guidelines on a regular basis, taking into account the results of the restructuring of
the P&D Department, the functioning and strengthening of the Strategic Planning Centre, the
PCNA Support Unit and the Medium Term Budget Framework (MTBF) Cell, and the roll out of
the OBBs to all the provincial departments. The line departments, however, are responsible for
developing detailed M&E Guidelines to facilitate the monitoring and reporting of their activities.
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Abbreviations
ACS
Additional Chief Secretary
ADP
Annual Development Programme
BoS
Bureau of Statistics
CDS
Comprehensive Development Strategy
C&W
Communication and Works
DCO
District Coordination Officer
DCTE
Directorate of Curriculum and Teacher Education
DFID
UK government’s Department for International Development
DHIS
District Health Information System
DMO
Divisional Monitoring Officers
DOTS
Directly Observed Treatment Short-course
DPMS
Development Project Management System
EAS
Economic Analysis Section
EDO
Executive District Officer
EMIS
Education Management Information System
E&SE
Elementary and Secondary Education
ESP
Education Sector Plan
ESRU
Education Sector Reforms Unit
FATA
Federally Administered Tribal Areas
FBS
Federal Bureau of Statistics
FY
Fiscal Year
HMIS
Health Management Information System
HSRU
Health Sector Reforms Unit
HSS
Health Sector Strategy
IT
Information Technology
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ITC
Industrial Training Centre
M&E
Monitoring and Evaluation
MICS
Multiple Indicator Cluster Survey
MIS
Management Information System
MTBF
Medium-Term Budget Framework
OBB
Output-Based Budget
OPD
Out Patient Department
P&D
Planning and Development
PC
Planning Commission of Pakistan (Forms I/II/III/IV/V)
PCNA
Post Crisis Needs Assessment
PDMA
Provincial Disaster Management Authority
PEACE
Provincial Education Assessment Centre
PHE
Public Health Engineering
PHSA
Provincial Health Services Academy
PIT
Provincial Inspection Team
PITE
Provincial Institute of Teacher Education
PRP
Provincial Reforms Programme
PSDP
Public Sector Development Programme
PTP
Pakistan T.B Programme
RMG
Reforms Management Group
SCRU
Social Care Reforms Unit
SPS
Social Protection Strategy
SWC
Social Welfare Centres
SWO
Social Welfare Officer
SWSE&WE
Social Welfare, Special Education and Women’s Empowerment
T.B
Tuberculosis
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TH
Teaching Hospital
WD
Women’s Development
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List of contents
Foreword
ii
Acknowledgements
iii
Executive Summary
iv
Abbreviations
vi
List of contents
ix
List of tables and figures
x
1
Introduction
1.1
Khyber Pakhtunkhwa’s M&E Framework
1.2
Structure of the Guidelines
1
1
2
2
Implementation of the M&E Framework
3
3
Institutional Arrangements for the Implementation of the M&E Framework
3.1
Introduction
3.2
M&E Committees
3.3
Selection of the Civil Society Members for the M&E Committees
3.4
Linkages between the Directorate General M&E and Line Departments
3.5
M&E Workflow for Monitoring and Reporting
3.6
Quarterly M&E Reports
3.7
Annual M&E Report
4
Steps Taken for the Establishment of Provincial, Divisional, District and Tehsil Level
M&E Systems
24
4.1
M&E at the Province Level
24
4.2
M&E at the Division Level
24
4.3
M&E at the District Level
25
4.4
M&E at the Tehsil Level
25
5
Monitoring the Policy, Planning and Budget Process
5.1
Monitoring Policies and Plans
5.2
Monitoring the Budget Process
5.3
Monitoring Capital Expenditure
27
27
28
34
6
Evaluation Studies
6.1
Scope of Evaluation
6.2
Evaluation Plan of the Directorate General M&E
38
38
38
7
Dissemination and the Use of the M&E Findings
40
8
Technical Support and Capacity Development
41
Annex A
Checklist - Monitoring of Development Projects
Bibliography
ix
4
4
4
8
8
10
11
15
43
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List of tables and figures
Table 3.1
Table 3.2
Table 3.3
Table 3.4
Table 3.5
Table 3.6
Table 3.7
Table 3.8
Table 3.9
Table 3.10
Table 5.1
Table 5.2
Table 5.3
Table 5.4
Table 5.5
M&E Advisory Committee Composition
M&E Strategic Committee Composition
M&E Operations Committee Composition
Stages of M&E Reports and the Planning Cycle
Proposed Quarterly ADP Review Summary Table (all costs in Rs million)
Proposed Summary of DMO Reports and Compliance Status
Expenditure Reporting Against the CDS Priority Measures
Format for Policies and Indicators Mapping Exercise
Progress on OBB Targets for the Reporting Year
Trends in ADP Allocations, Releases and Expenditure
CDS Core Indicators for E&SE, Health and SWSE&WE Departments
OBB Sources of Information for the E&SE Department
OBB Sources of Information for the Health Department
OBB Sources of Information for the SWSE&WE Department
Fiscal Projections for Khyber Pakhtunkhwa (Rs. Million)
5
6
7
11
13
14
18
20
20
22
28
29
30
32
37
Figure 3.1
Figure 3.2
Figure 3.3
Figure 4.1
Directorate General Linkages for M&E
Work flow for Quarterly M&E Reports
Work Flow Diagram for Annual M&E Reports
The Data Flow to the Directorate General M&E
10
12
16
26
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1
Introduction
1.1
Khyber Pakhtunkhwa’s M&E Framework
The Government of Khyber Pakhtunkhwa approved an M&E Framework in January 2011 for the
joint and harmonised monitoring, evaluation and reporting of the provincial policies, plans and
development expenditure. The Framework is based on the monitoring and evaluation of four key
areas:
1. The CDS, which the provincial government has developed for the next seven years (201017).
2. The OBBs prepared by the three departments of Khyber Pakhtunkhwa (E&SE, Health, and
SWSE&WE for three years i.e. 2010-13), extended to 9 other departments for 2011-141.
3. The PCNA carried out by a consortium of donors and implemented by the government with
international support to complement the on-going humanitarian and recovery efforts in
Khyber Pakhtunkhwa and FATA.
4. The ADP, which includes the province’s development expenditure for each financial year.
The M&E Framework will be implemented by the P&D Department’s Directorate General M&E
in consultation with the Finance Department and the participating line departments. All
government departments are required to agree an indicator framework (keeping in view the
indicators given in the CDS and OBBs) for the quarterly and annual M&E reports to be compiled
by the Directorate General M&E. This effort will be centrally coordinated by the Directorate
General M&E initially starting with the first three OBB departments i.e. E&SE, Health and
SWSE&WE and subsequently rolled out to all OBB departments.
On the evaluation front, the Directorate General M&E has developed a three-year
Evaluation Plan (2011-14) in consultation with the relevant departments and will commission at
least two evaluation studies during each fiscal year in collaboration with civil society
organisations and academia. Moreover, the Directorate General M&E is providing guidance and
building the M&E capacities of the line departments for the implementation of the M&E
Framework. The DFID-funded PRP is providing technical assistance to the Directorate General
M&E for the implementation of the M&E Framework.
The development of these M&E Guidelines will assist the Directorate General M&E and the
participating government departments to institutionalise a robust M&E umbrella for a joint and
harmonised M&E system which can report on the state of public sector service delivery in the
province on a quarterly and annual basis. Thus, the monitoring information disseminated to
stakeholders on a regular basis will help to improve the overall policy, planning, budgeting and
implementation processes of the provincial government.
It should be noted here that these are generic M&E Guidelines and more specific and
detailed M&E instructions and manuals will be prepared by the line departments
themselves for the monitoring and reporting of their activities. Keeping in view the ongoing reforms in Khyber Pakhtunkhwa, the Directorate General M&E will update these
Guidelines on a regular basis, taking into account the results of the restructuring of the P&D
1
Departments of 1) Higher Education, Archives and Libraries, 2) Population Welfare, 3) Zakat and Usher, 4) Agriculture, Livestock
and Cooperatives, 5) Industries, Commerce and Technical Education, 6) Revenue and Estate, 7) Public Health Engineering, 8)
Communication and Works, and 9) Irrigation
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Department, the functioning and strengthening of the Strategic Planning Centre, the PCNA
Support Unit and the MTBF Cell, and the roll out of the OBBs to all provincial departments.
1.2
Structure of the Guidelines
The M&E Guidelines are structured as follows:
Chapter 2 gives a summary of the M&E Framework and the broad implementation Guidelines.
Chapter 3 outlines the institutional arrangements, linkages between the Directorate General
M&E and the line departments elaborating on the M&E workflow and reporting processes.
Chapter 4 illustrates the steps taken by government for the establishment of the provincial,
divisional, district and tehsil level M&E systems in Khyber Pakhtunkhwa.
Chapter 5 describes the methodological approach for monitoring policies and programmes,
budgeting process, and development expenditure identifying key sources of information and the
frequency of reporting on agreed-upon indicators.
Chapter 6 describes the scope of evaluations and the multi-year Evaluation Plan (2011-14).
Chapter 7 presents recommended ways for the dissemination and use of M&E findings and
results, including civil society organisations.
Chapter 8 covers the role and functions of the Directorate General M&E in strengthening the
M&E processes in the line departments.
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2
Implementation of the M&E Framework
The M&E Framework was approved by the Government of Khyber Pakhtunkhwa in January
2011. Building on international best practice, the Framework includes the monitoring of policies
and programmes of the provincial government (such as the CDS and PCNA), the budgeting
process (through the OBB system) and development expenditure (the ADP).
The M&E Framework supports the policy and budget process in the province and covers the full
budget cycle with critical lessons learnt from the field feeding back into the next planning cycle.
Integrated quarterly and annual M&E reports will be prepared under the Framework and
disseminated to all relevant stakeholders to enable them to take corrective actions. In addition,
evaluation mechanisms are being defined to examine the wider aspects of the development
interventions such as outcomes and impacts. The relevant authorities have approved and
notified the M&E Advisory, Strategic and Operational Committees to ensure that the M&E
results are used and fed into the policy, planning, budgeting and implementation processes at
both the provincial and local levels. Engaging with civil society, academia, the media and the
private sector in the government’s M&E processes is also a part of the Framework’s
implementation. In addition, the DPMS software has been launched by the Government of
Khyber Pakhtunkhwa in January 2011, which is a key tool employed for the monitoring and
reporting of the ADP projects.
The M&E Framework sets out short, medium and long-term priorities starting from early 2011.
The Framework’s implementation started with the first three OBB departments (E&SE, Health,
and SWSE&WE). Other provincial departments will subsequently be brought under the M&E
Framework monitoring and reporting system in conjunction with the OBB roll out in Khyber
Pakhtunkhwa.
The Directorate General M&E, established under the P&D Department of the provincial
government, is responsible for implementing Khyber Pakhtunkhwa’s M&E Framework. The M&E
Framework brings the disparate components of oversight and public accountability under one
umbrella. By making it incumbent upon the Directorate General M&E to develop quarterly and
annual M&E reports, the M&E Framework aims to put in place an institutional arrangement
for public sector oversight that progressively replaces the existing piecemeal and ringfenced monitoring and reporting systems.
The M&E Guidelines have been developed to assist the participating line departments, E&SE,
Health and SWSE&WE (the first three OBB departments) who will coordinate with the
Directorate General M&E through their respective reform units i.e. Education Sector Reforms
Unit (ESRU), Health Sector Reforms Unit (HSRU) and Social Care Reforms Unit (SCRU) and
the planning, monitoring and Management Information System (MIS) units to facilitate the
regular preparation of quarterly and annual M&E reports on the performance of policies,
programmes, budgets and the ADP projects. Progressively, the implementation will be rolled out
to all the OBB departments.
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3
Institutional Arrangements for the Implementation of the
M&E Framework
3.1
Introduction
A number of different provincial departments and agencies are involved in monitoring activities
and statistical reporting. At the national level, the Federal Bureau of Statistics (FBS) also has an
important presence in the province carrying out data collection and reporting.
The Rules of Business of Khyber Pakhtunkhwa define the functions and roles of each
department. Accordingly, policy and planning in relation to the ADP is the responsibility of the
P&D Department. Similarly, the Secretaries of the departments are responsible for the
operations of the respective departments, and the Finance Department is responsible for the
supervision and control of provincial finances and the preparation of the annual budget.
Therefore, in accordance with the responsibilities given in the Rules of Business, the functions
of different aspects of M&E are allocated to each department as follows:




Implementation of the CDS by the Strategic Planning Centre within the P&D Department
under the office of the Chief Economist.
Monitoring of the CDS, PCNA as well as the ADP by the P&D Department under the
Directorate General M&E.
Monitoring of the OBBs in terms of outcomes, outputs and targets by the relevant
Secretaries in collaboration with the Finance Department.
Preparation of sector plans, identification of budget outcomes, outputs, indicators and
targets by relevant departments, in consultation with the Finance Department.
Data collection for the monitoring of results will be carried out by the P&D Department through
the Bureau of Statistics (BoS). The BoS will do this work in close coordination with the line
departments to ensure that there is no duplication. For example, the E&SE Department has the
Education Management Information System (EMIS) and the Health Department has the District
Health Information System (DHIS). The monitoring of development expenditure is the domain of
the P&D Department.
Under the M&E Framework, the Directorate General M&E has been assigned some additional
responsibilities, including monitoring and reporting on the CDS, PCNA and OBBs in the
quarterly and annual monitoring reports. Under the Rules of Business, the relevant Secretaries
of the departments are the Principal Accounting officers responsible for the monitoring of their
respective portfolio. Therefore, in order to empower Directorate General M&E to undertake
monitoring responsibilities for the policies, plans and OBBs implemented by other departments,
the P&D Department will initiate the process of incorporating changes in the Rules of Business
and issue a Notification which will entrust full M&E responsibilities to the P&D Department
through the office of the Directorate General of M&E.
3.2
M&E Committees
In order to streamline the process, the P&D Department (under the M&E Framework) has
approved the following three committees to steer, guide, facilitate and coordinate provincial
M&E at all levels.
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3.2.1 M&E Advisory Committee
The M&E Advisory Committee will be headed by the ACS and the administrative Secretaries of
other departments will be members including two members from civil society organisations for
overall supervision. The Director General M&E is the secretary to the Committee.
It is proposed that the Committee will meet a minimum of twice a year, preferably once in July
(in the beginning of the financial year) and then in January (after the mid-year review). The
secretary of the Committee is responsible for: convening Committee meetings; preparing the
agenda as per the terms of reference; and, producing a note of proceedings and minute the
decisions taken during each meeting.
Minutes/decisions of the previous meeting and the corresponding follow up will be reported and
reviewed as the first agenda item of each meeting.
Table 3.1
S.No
1.
2.
3.
4.
5.
6.
M&E Advisory Committee Composition
Designation and Department
Additional Chief Secretary
Secretary, P&D Department
Secretary, Finance Department
Secretaries of the Relevant Administrative Departments
Director General M&E
Two Members from the Civil Society Organisations
(Preferably one Female )
Portfolio
Chairperson
Member
Member
Member
Secretary
Member
The Terms of Reference for the M&E Advisory Committee are as follows:







Advise the Directorate General M&E on the implementation of the M&E system through its
divisional offices in Khyber Pakhtunkhwa according to the approved PC-1.
Approve and steer implementation of the M&E Plan of the Directorate General M&E
developed at the start of each fiscal year. Approve targets for the Directorate General M&E
on an annual basis according to the approved ADP/Public Sector Development Plan
(PSDP).
Provide strategic guidance to the Directorate General M&E for the monitoring and evaluation
of provincial policies, plans and development programmes/projects as outlined under the
M&E Framework of the Government of Khyber Pakhtunkhwa.
Review and approve quarterly and annual M&E reports of the Government of Khyber
Pakhtunkhwa.
Review the progress of the Directorate General M&E presented quarterly/bi-annually.
Resolve any issues regarding the DPMS recommended by the Strategic Committee.
Provide assistance to improve compliance on the M&E recommendations in consultation
with the concerned line departments.
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3.2.2 M&E Strategic Committee
The M&E Strategic Committee will be headed by the Director General M&E and include all
DMOs, chief planning/M&E officers, relevant officers of concerned departments and two
members from civil society organisations. The Regional Directors of the Directorate General
M&E will act as the secretaries for their respective regions.
The Committee will meet each quarter, preferably in October, January, April and July each year.
The secretary of the Committee is responsible for: convening the Committee meetings at
scheduled intervals; preparing the agenda; and, recording a note of proceedings and minute the
decisions of each meeting.
Minutes/decisions of the last meeting and the corresponding follow up will be reported and
reviewed as the first agenda item of each meeting.
Table 3.2
S.No
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
M&E Strategic Committee Composition
Designation and Department
Director General M&E
Director I & II M&E
Superintending Engineers/EDOs2 of the Relevant
Departments
Chief Planning/M&E Officers of the Relevant Departments
Divisional Monitoring Officer, Peshawar Division
Divisional Monitoring Officer, Mardan Division
Divisional Monitoring Officer, Malakand Division
Divisional Monitoring Officer, Hazara Division
Divisional Monitoring Officer, Kohat Division
Divisional Monitoring Officer, Bannu Division
Divisional Monitoring Officer, D.I.Khan Division
Two Members from the civil society organisations
(Preferably one Female)
Portfolio
Chairperson
Secretaries for the
Respective
Region
(North and South)
Member
Member
Member
Member
Member
Member
Member
Member
Member
Member
The Terms of Reference for the M&E Strategic Committee are as follows:





2
Approve the work plan of the divisional offices and closely monitor the progress and process
of the activities against the work plan.
Implement the targets and plans set by the M&E Advisory Committee.
Provide overall guidance and a framework for the M&E operations of the Directorate
General M&E.
Supervise the implementation of projects of the ADP/PSDP at the divisional level through
the divisional offices and relevant district line departments.
Facilitate compliance and course correction on M&E recommendations by the concerned
line departments.
Executive District Officer (EDO)
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



Supervise the operationalisation of the DPMS, including capacity building needs, software
enhancement requirements, data entry by line departments and use of information for
course corrections.
Review the progress of the divisional office presented quarterly/bi-annually.
Guide the divisional offices as and when needed.
Any other special tasks/activities regarding the M&E Framework implementation and the
ADP/PSDP.
3.2.3 M&E Operations Committee
The M&E Operations Committee will be headed by the relevant divisional Commissioner and all
the District Coordination Officers (DCOs) will be members. The DMOs are secretaries to their
respective divisional Committees and there will be two members from civil society organisations.
The Committee will review progress in regular meetings preferably held quarterly or as deemed
necessary by the Commissioner concerned. The secretary of the Committee for each division
will be responsible for: convening meetings; preparing the agenda; and, recording minutes and
the proceedings of the Committee meetings.
Minutes/decisions of the last meeting and the corresponding follow up will be reported and
reviewed as the first agenda item of each meeting.
Table 3.3
S.No
1.
2.
3.
4.
5.
6.
M&E Operations Committee Composition
Designation and Department
Commissioner of the Respective Division
Divisional Monitoring Officer of the Respective Division
District Coordination Officer of the Respective District
Executive District Officer/Finance and Planning Officer of
the Respective District
Executive Engineers/Executive District Officer of the
Relevant Department
Two Members from the Civil Society Organisations
(Preferably one Female)
Portfolio
Chairperson
Secretary
Member
Member
Member
Member
The Terms of Reference for the M&E Operations Committee are as follows:







Implement the targets and plans set by the M&E Advisory Committee and M&E Strategic
Committee.
Take responsibility for implementation at the field level.
Review and approve the indicator framework (keeping in view indicators given in the CDS
and OBBs) and guidelines for the respective Divisional Monitoring Office.
Review the quality of the implementation of projects within the allocated budget and
timeframe.
Submit work plans with clear project monitoring indicators reflected in the ADP/PSDP.
Facilitate compliance and course corrections on M&E recommendations by the line
departments.
Supervise and support data entry on the DPMS at the divisional/district level and identify
capacity needs as appropriate.
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa


Develop and retain close coordination with the district line departments for the effectiveness
of the project.
Regularly review and steer the progress of the relevant Divisional Monitoring Office and the
concerned line departments on the M&E recommendations for reporting to the Director
General M&E on a monthly basis.
3.3
Selection of the Civil Society Members for the M&E Committees
The DMOs, after consulting relevant civil society organisations, will propose a panel of selected
persons. The relevant divisional Commissioner will approve two members from the panel for
inclusion in the M&E Operations Committee. The Director General will approve two members for
the Strategic Committee, whereas the ACS will approve two members for the M&E Advisory
Committee.
The functioning of the above-mentioned M&E Committees is an important step in the
operationalisation of the M&E Framework. The overall process of M&E starting from the field up
to the highest level (approving authority: ACS and the P&D Department) will provide guidance
and support for the institutionalisation of the M&E processes in Khyber Pakhtunkhwa. It is
proposed, based on discussions with the Directorate General M&E, that the P&D Department,
Directorate General M&E and each Commissioner’s office in the divisions shall issue a
timetable/schedule of proposed meetings for each Committee at the beginning of the year. The
secretaries of the Committees shall make arrangements to get these schedules and timetables
issued preferably in the month of July. Necessary preparations for holding the meetings shall
also be initiated by the respective secretaries in the beginning of the financial year and in
accordance with a detailed calendar circulated for the information and knowledge of all
concerned.
3.4
Linkages between the Directorate General M&E and Line
Departments
The Government of Khyber Pakhtunkhwa under the P&D Department has put in place the
Directorate General M&E which has its headquarters in Peshawar and seven divisional M&E
offices in each of the seven divisions of Khyber Pakhtunkhwa.
The main role of the Directorate General M&E was to facilitate and coordinate the monitoring of
the ADP projects in Khyber Pakhtunkhwa through its divisional M&E offices, which operate
under the divisional Commissioners. The divisional M&E offices currently monitor the ADP
projects in all districts that fall under the respective divisional M&E offices. They report to the
divisional Commissioner, copied to the Directorate General M&E.
Under the approved M&E Framework, the Directorate General M&E, in addition to the
monitoring of the provincial ADP, also has to report on the performance of the CDS,
departmental plans and strategies, OBBs and PCNA. Working closely with the Chief
Economist’s Office and the respective departments (ESRU for E&SE Department, HSRU for
Health Department, SCRU for SWSE&WE Department and others as needed), the Directorate
General M&E has become the central co-ordinating body for M&E in the province. The
Directorate General M&E will not generate data, it will only compile and disseminate information
provided by the line departments. The departments will develop and own the indicators and
targets whereas the Directorate General M&E will co-ordinate the collection of data from the
departments on a quarterly and annual basis, and will report upon the broader provincial picture
on policy performance, development expenditure and service delivery.
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
The DMOs carry out inspections and visits to ADP schemes as directed by their respective
heads. The inspection reports are presented to the respective divisional Commissioners who
may either be satisfied with the progress of work at that level and file the report or may refer the
case to the ACS through the Directorate General M&E in order to get compliance with the
recommendations made by the DMO. The ACS/P&D Department, depending upon the nature of
the issues in the case of a particular scheme, may either refer the case to the Provincial
Inspection Team (PIT) for further investigations or simply forward the recommendations for
rectification/compliance to the head of the respective department again through the office of the
Directorate General M&E. Compliance is made, recommendations implemented and issues are
settled between the respective line department staff and the DMOs of the Directorate General
M&E through a variety of means including discussions, rectification of works and follow-up visits
to sites.
The Directorate General M&E, in order to carry out its other monitoring functions of policies,
plans, strategies and OBBs, requires data and information from the concerned line departments
including P&D, Health, E&SE and SWSE&WE. The collection of data against agreed indicators
is the responsibility of the respective departments. They monitor, collect and provide the data to
Directorate General M&E as and when required for the preparation of quarterly and annual
monitoring reports.
The quarterly M&E reports will be produced after the end of each quarter: first in October,
second in January, third in April and fourth in July of each year. The annual report will be
prepared and finalised in September/October each year and therefore, the preparation and data
collection shall start around the first week of July.
Data requests for quarterly M&E reports will be issued by the Directorate General M&E in
October for the first quarter, January for the second quarter, April for the third quarter and July
for the last quarter. Similarly, data request for the annual report will be issued by the Directorate
General M&E to all the participating departments in July each year. All participating departments
will be required to furnish respective progress on their indicators to the Directorate General M&E
by the end of August covering the full previous financial year.
The Directorate General M&E’s internal and external linkages within the Directorate General
and participating departments for the preparation of the quarterly and annual M&E reports are
indicated in Figure 3.1.
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
Figure 3.1
Directorate General Linkages for M&E
P&D Department
Strategic Planning
Centre
PCNA Implementation
Support Unit
Economic Analysis Wing
Computer Cell
Progress
Indicators
Divisional
Commissioners
Directorate
General M&E
Indicators data
(Quarterly and Annual
M&E Reports)
Progress
Paticipating
Line
Departments
MTBF Cell
(Finance
Department)
DMO Reports
and ADP Project
Inspections
/Inquiries
3.5
M&E Workflow for Monitoring and Reporting
The Directorate General M&E is mandated to produce quarterly and annual M&E reports on the
monitoring of the government policies (CDS, PCNA, departmental plans and strategies), OBBs
and ADP activities. The work flow for the preparation of quarterly and annual M&E reports is
explained in the following sections and presented in the Table 3.4.
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
Table 3.4
Stages of M&E Reports and the Planning Cycle
Report/
Planning
Cycle
Quarterly
report
June /
Last Year
Planning
cycle
Fourth
quarter and
annual
review
New ADP
prepared
Annual
report
3.6
First Quarter
Jul
Aug
Second Quarter
Sep
Oct
Nov
Dec
Request to
departments for
fourth quarterly
review report
and other
progress
Report compiled
and
disseminated
Request to departments for
first quarterly review report
and other progress
Report compiled and
disseminated
Start of new
financial year
First quarterly review
Approvals of new schemes
Request to
departments
for yearly
progress (CDS,
PCNA, OBBs,
sectoral
strategies and
ADP) and start
of analysis
Draft
report
prepared
Provincial
workshop held
and report
disseminated
to wide
stakeholders
(including civil
society)
Third Quarter
Fourth Quarter
Jan
Apr
Feb
Mar
Request to
departments
for second
quarterly
review report
and other
progress
Report
compiled and
disseminated
Second
quarterly
review
Approvals of
new schemes
May
Request to
departments for
third quarterly
review report and
other progress
Report compiled
and disseminated
Third quarterly
review
Approvals of new
schemes
Participating line departments
improve their performance and
service delivery based on
recommendations of the annual
M&E report
Quarterly M&E Reports
The Directorate General M&E will compile quarterly M&E reports limited in scope to the M&E
overview of the ADP implementation, due to the difficulties and non-availability of data
(explained in the following chapter) at short intervals related to the targeted priorities, and
indicators included in policies, plans and strategies. The departmental quarterly reviews
coordinated by the P&D Department and the DMO monitoring reports of the Directorate General
M&E will be the basis of the quarterly M&E reports besides the evaluations and third party
validations carried out during the reporting period, whereas the DPMS data with regular
updating will generate reports on physical and financial progress.
The work flow for the quarterly M&E report is given in Figure 3.2:
11
Directorate General of Monitoring and Evaluation
Jun
M&E Guidelines for the Government of Khyber Pakhtunkhwa
Figure 3.2
Work flow for Quarterly M&E Reports
Director General M&E Office
issues request for
data/information to the P&D,
Finance and line departments
(keeping in view requirements
of the quarterly M&E report)
Director General M&E
compiles and disseminates
the quarterly M&E report
through the RMG-M&E
(compliance on M&E
recommendations is
ensured through the
RMG-M&E forum and
M&E committees)
P&D, Finance and line
departments provide required
data to the Director General
M&E Office
DMO reports, DPMS
information, evaluation
studies, third party validations
etc are summarised for the
quarterly M&E report
3.6.1.2
Concerned staff in the Director
General M&E Office analyse
and compile the ADP
data/information provided by
the P&D, Finance and line
departments
Structure of the Quarterly M&E Report
The structure outlined below will be used for the quarterly M&E report approved by the
Secretary P&D under the Annual M&E Report 2010-11 of Khyber Pakhtunkhwa developed for
the E&SE, Health and SWSE&WE departments:
Foreword by the Secretary P&D
Acknowledgements by the Director General M&E
1.
Introduction
2.
Overall Progress Achieved and Issues Faced During the Quarter
3.
Physical and Financial Progress on ADP
4.
Rapid Appraisal of a Key ADP Project (to be repeated every quarter on different themes, for
example health in one quarter and education or social welfare in another)
5.
Summary of Any Recent Evaluation Reports
6.
Summary of DMO Reports and Recommendations
7.
Progress Made on the M&E Framework and Citizens’ Voice Study Implementation
8.
Challenges Encountered and Gaps Realised
9.
Lessons Learnt and Recommendations
10.
Future Outlook (what’s coming up next quarter)
Annexes
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
3.6.1.3
Physical and Financial Progress of the ADP
Several reports on the physical and financial progress of ADP schemes can be generated
showing the schemes individually and/or disaggregated by sector, location, or district (see
proposed format in Table 3.5). In the quarterly reviews the line departments and the P&D
Department are interested in looking at the sector/department’s physical and financial
performance. Thus, summary tables produced for the ADP schemes showing the performance
over the quarter, or at a particular time period during the year, will be provided for decisionmakers. For the purposes of the quarterly reports, the most useful reports would be the
quarterly releases - expenditure and physical progress summary tables presented either sectorwise or district-wise. Also, slow moving and cost overrun projects could be traced over the
quarter using DPMS data/information.
Table 3.5
Departments
and
Components
Proposed Quarterly ADP Review Summary Table (all costs in Rs million)
Yearly Allocation
Projects
Total
Total
Foreign
Aid
Local
Quarterly Progress
On-going
Number
New
Allocation
Number
Elementary and Secondary Education Department
Primary
Education
Secondary
Education
Health Department
Basic Health
General
Hospitals
Hayatabad
Medical
Complex
(Peshawar)
Khyber
Teaching
Hospital
(Peshawar)
Lady Reading
Hospital
(Peshawar)
Medical
Education and
Training
Preventive
Programme
SWSE&WE Department
Social Welfare
Women’s
Development
13
Directorate General of Monitoring and Evaluation
Releases
Allocation
Expenditure
M&E Guidelines for the Government of Khyber Pakhtunkhwa
3.6.1.4
Summary of DMO and DPMS Reports
During each quarter the seven DMOs will monitor several ADP projects and issue an equal
number of reports. Each DMO report will be explained in narrative, in the quarterly M&E report,
for all the participating line departments highlighting the project history (geographical location,
total cost, start date etc), key issues observed, recommendations made for course correction
and compliance shown. A summary table may be prepared for the DMO reports (see Table 3.6).
Table 3.6
Department
Proposed Summary of DMO Reports and Compliance Status
ADP Projects
Major M&E
Compliance
No Action
Inspected
Recommendations
Shown on M&E
Taken
During the
(Numbers)
Recommendations
(Numbers)
Reporting
Remarks
(Numbers)
Quarter
E&SE
Health
SWSE&WE
A section of the quarterly M&E report will provide analysis of the reports generated by the
DPMS M&E Module. Currently, the DPMS M&E Module can generate 16 reports based on the
ADP data inputted into the software. A summary of the following DPMS reports will be provided
in the quarterly M&E Report:
















Overall Summary Report
Sector-wise Releases
District-wise Abstract
Umbrella Projects Abstract
Technical Sanction Report
Cash Plan Report
Work Plan Report
Planning Commission (PC)-1 Targets and Achievements
Quarterly Progress
Cost Over-run Report
Time Over-run Report
Component Cost Over-run Report
Component Time Over-run Report
PC-4 Reports
Progress Report
Customised Reports
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
3.7
Annual M&E Report
The annual M&E report produced by the Directorate General M&E will be a comprehensive
document presenting annual provincial analysis and perspective related to the progress and
implementation of government policies including the CDS, PCNA, departmental plans and
strategies, OBBs and ADP implementation. The report will make recommendations related to
the strengthening of the M&E institutions, systems, procedures, tools and linkages.
The Directorate General M&E will use the following assessment framework while developing the
annual M&E report of Khyber Pakhtunkhwa
a. Policy An overview of the progress achieved on the major policy reforms, including the
Education Sector Plan (ESP), the Health Sector Strategy (HSS) and the Social Protection
Strategy (SPS). The review of these policy reforms will be contextualised within the broader
objectives and targets of the CDS, OBBs and ADP. A rapid gender-aware appraisal will also
carried out for the E&SE, Health and SWSE&WE departments. Progress on implementing
the PCNA will also be reviewed.
b. Institutional The institutional arrangements put in place and the challenges faced in
performing M&E functions at various tiers of the three departments will be reported. This
includes the M&E setup of the Directorate General M&E, the M&E Cells of the departments
and their current and potential linkages with the Directorate General M&E, the Strategic
Planning Cell, the MTBF Cell and the Provincial Disaster Management Authority (PDMA).
The institutional review will also examine the manner in which the OBB pilot departments
have geared themselves up for OBB management and implementation.
c. Economic Development planning and, more precisely, capital investments being made in
the province are not always subjected to the rigours of economic analysis. The annual M&E
report will present a broad-based review of the ADP to provide a better understanding of
how the targeting of development spending can be improved.
d. Fiscal Given the limited fiscal space - the potential enhanced flows under the seventh
National Finance Commission Award notwithstanding - within which development budgets
are prepared and executed, it is important to try and ascertain both the fiscal sustainability of
development spending, as well as to analyse the fiscal flow mechanisms with a view to
enhancing predictability and targeting. The annual M&E report will therefore comment on the
fiscal sustainability aspects of the ADP as well as the sector strategies.
The quarterly and annual monitoring reports are additional tasks assigned to the Directorate
General M&E with the introduction of the M&E Framework. The Directorate General M&E has
made provisions in its revised PC-1 for a third Director (Director Evaluation), two
additional deputy Directors and other staff to fulfil the responsibilities of overseeing the
implementation of the M&E Framework. The new Director’s main responsibility will be to
manage the production of the quarterly and annual monitoring reports.
The Directorate General M&E, in early July each year, will issue a request to the P&D, Finance
and participating line departments (E&SE, Health and SWSE&WE) to provide progress data on
respective indicators to the office of the Directorate General M&E by the end of August. The
participating government departments will be requested to report progress on targets achieved
(using prescribed tables) during the year against their respective indicators including the CDS,
PCNA, sectoral strategies, OBBs, ADP and evaluations/third party validations. Concurrently, the
Directorate General M&E office will internally prepare summaries of the DMO reports and
annual analysis produced by the DPMS M&E Module. The data/information received by the
Director in the Directorate General M&E’s office will be assessed, analysed and the report will
15
Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
be prepared during September and October. In November, the report will be printed and a
provincial workshop will be held each year to disseminate the annual M&E report to a wider
audience, including civil society organisations.
The work flow for the production of annual M&E report is given in the following figure.
Figure 3.3
Work Flow Diagram for Annual M&E Reports
Director General M&E
(July)
Participating
Departments
• Requests the P&D Department for information on ADP and PCNA implementation
• Requests the Finance Department for providing expenditure/recurrent data againts the relevant CDS priority
measures and OBB indicators
• Requests the line departments for providing dvelopment data/information againts the relevant CDS priority
measures, OBB indicators, sectoral strategies and evaluations/third party validations undertaken during the reporting
year
• Director G eneral M&E Office starts compiling the DMO reports and data/information of the DPMS M&E Module
• The P&D Department provides the ADP Annual Review report, the ADP Summary for the Cabinet and progress of the
PCNA Implementation Support Unit
• The Finance Department provides expenditure/recurrent data against the relevant CDS priority measures and OBB
indicators
• Line departments provide development data/information against the relevant CDS priority measures, OBB indicators,
sectoral strategies and evaluations/third party validations undertaken during the reporting year
(August)
Stakeholders and
Directorate General M&E
• Draft Annual M&E Report is compiled by the Director General M&E Office and shared with the P&D, Finance and line
departments for internal review and validation
• The validated Annual M&E Report is reviewed by the RMG-M&E and submitted to the Secretary P&D for approval
• The annual M&E Report is approved, printed and disseminated to all the relevant stakeholders (including civil society
organisations) through an annual M&E Workshop
(September-November)
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
3.7.2 Structure of the Annual M&E report
The following structure is recommended for future annual M&E reports based on the Annual
M&E Report 2010-11, approved by the Secretary P&D, developed for the E&SE, Health and
SWSE&WE departments:
Chief Minister’s Message
P&D Minister’s Message
Foreword by the Additional Chief Secretary
Acknowledgements by the Secretary P&D
Executive Summary
1
Introduction
2
Assessment Framework
3
M&E in Khyber Pakhtunkhwa
4
Mapping Overall Progress
5
Overall Review of the ADP
6
Reviewing Progress in Education
7
Reviewing Progress in Health
8
Reviewing Progress in Social Welfare
9
Progress on Implementing the PCNA
10 Review Performance of the Directorate General M&E
11 General Recommendations
Annexes
3.7.3 Reporting on CDS and PCNA Performance
The CDS contains two sets of monitoring indicators: i) a set of core service delivery indicators
centred on the Millennium Development Goals; and, ii) sector-specific priority measures against
which progress is measured in terms of specific financial indicators. Annual reporting to the
Directorate General M&E on the relevant CDS core service delivery indicators by the E&SE,
Health and SWSE&WE departments is explained under section 5.1 of these Guidelines.
Relevant indicators, sources of information and reporting frequency are identified under Table
5.1 for the CDS core service delivery indicators.
Financial information on the progress achieved on the CDS priority measures will be provided
by the Finance, P&D and concerned line departments. The Finance Department will provide
information for the recurrent expenditure for the relevant priority measures, whereas the P&D
Department (Strategic Planning Centre) and line departments will collate development
expenditure information and provide this to the Directorate General M&E for the annual M&E
report. The expenditure data on CDS priority measures will be included in the annual M&E
report using the format proposed under Table 3.7:
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
Table 3.7
S.No
Expenditure Reporting Against the CDS Priority Measures
CDS Priority Measure
Target for the
Reporting Year
(Rs Million)
ADP Allocation
Made for the
Reporting Year
(Rs Million)
E&SE Department
1
Incremental
teacher
salaries
2
Operation
and
maintenance
budget
through district (nonsalary)
3
Provision of free text
books
4
Girls
stipend
for
secondary education
5
Grants to NGO schools
6
School construction and
furnishing
7
Rent to communities or
schools
8
In-service training for
teachers
9
Community rehabilitation
of schools
10
Expand adult literacy
activities
11
Effective
sector
regulation
12
Promotion of PPP and
support mosque school
reforms
Health Department
1
Regulation/quality
assurance
2
Disaster risk reduction
and management
3
Strengthening
preventive
health
services
Facilitating
informed
decision-making
4
5
Improvement
governance
strengthening
management
Upgrading of
facilities
6
18
of
and
health
Directorate General of Monitoring and Evaluation
Expenditure
Made During the
Reporting Year
(Rs Million)
Expenditure
Type
Recurrent
Recurrent
Development
Development
Development
Development
Recurrent
Development
Development
Development
Development
Development
Development
and
Recurrent
Development
and
Recurrent
Development
and
Recurrent
Development
and
Recurrent
Development
and
Recurrent
Development
and
Recurrent
M&E Guidelines for the Government of Khyber Pakhtunkhwa
7
8
9
10
11
12
13
14
15
Establishment of new
infrastructure on a need
basis
Recruitment of staff for
service
delivery
at
primary, secondary and
tertiary level hospitals
Strengthening
of
medical
and
allied
education
Comprehensive
eye
care services
Maintenance and repair
of
health
facilities/institutes
Adequate provision of
supplies and drugs at
primary, secondary and
tertiary care levels
Access to Enhanced
Health
Services
Programme
Strengthening of electromedical workshops
Capacity building of
health human resources
SWSE&WD Department
1
Establishment of Social
Welfare Complex
2
Heath Insurance and
Voucher Schemes
3
Stipends
for
postgraduate and senior
citizens
4
Micro-finance for income
generation
5
Income start-up grants
for vulnerable women
6
Expand child support
schemes
7
New labour protection
legislation
8
Shelters etc. for the
most vulnerable
9
Establishment
of
Women
Development
Centres at the district
level
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Directorate General of Monitoring and Evaluation
Development
Development
and
Recurrent
Development
and
Recurrent
Development
and
Recurrent
Development
and
Recurrent
Development
and
Recurrent
Development
and
Recurrent
Development
and
Recurrent
Development
and
Recurrent
Development
Recurrent
Recurrent
Recurrent
Recurrent
Development
Recurrent
Development
and
Recurrent
Development
and
Recurrent
M&E Guidelines for the Government of Khyber Pakhtunkhwa
The progress data for PCNA activities will be provided by the PCNA Implementation Support
Unit of the P&D Department. As the M&E system for the PCNA activities is still under
discussion, the Directorate General M&E will include Guidelines in this document for annual
progress reporting on PCNA results and indicators at a later stage.
3.7.4 Reporting on Sector Strategies, OBBs and Gender
The annual M&E report will also provide an overview of the progress achieved on the major
policy reforms, including the ESP, the HSS and the SPS. The review of policy priorities of these
policy reforms will be contextualised within the broader outputs and indicators of the CDS,
PCNA and OBBs. The results of the policies and indicators mapping exercise will carried out
using the format suggested under Table 3.8:
Table 3.8
Format for Policies and Indicators Mapping Exercise
Sector
Policy Priorities: ESP, HSS and
SPS
Outputs and Indicators: CDS,
PCNA and OBBs
Elementary and Secondary
Education
Health
Social Welfare
The information against the OBB key performance indicators will be collected from the Finance
Department by the Directorate General M&E. Under the DFID-funded public finance
management reforms, The Finance Department has evolved an internal monitoring and
reporting system through which line departments annually report on key service delivery
indicators linked to the budgeting process. This information, collated by the Finance
Department, will be used by the Directorate General M&E in the annual M&E report. Relevant
OBB output indicators (according to the latest Budget Estimates for Service Delivery 2011-14),
primary sources of information and reporting frequency are identified under Table 5.2, Table 5.3
and Table 5.4. The following format (Table 3.9) is suggested for the annual monitoring and
reporting by the Directorate General M&E against the OBB results and indicators:
Table 3.9
Department
Progress on OBB Targets for the Reporting Year
OBB
Outcome
OBB
Output
OBB
Indicator
Target
Reporting Year
Allocated
Achievement
Budget (Rs
million)
E&SE
Health
SWSE&WE
The annual M&E report will also include a gender analysis at the policy level (CDS priority
measures, OBB results and indicators, PCNA activities and policy priorities of ESP, HSS and
SPS) and programme implementation level carried out through the ADP projects. The gender
perspective of the policy analysis will include information on gender sensitivity of the
development framework and indicators for measuring the impact on women. This information
will be included in the overall progress section of the annual M&E report. The gender analysis of
the ADP will be provided in the main sections of the annual M&E report where departmental
performance has been reviewed. This will include information on how ADP projects are
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
benefitting women or otherwise through departmental interventions and suggestions for making
further improvements.
3.7.5 Reporting on ADP, DMO and DPMS Reports
The ADP analysis for the annual M&E report will be derived from two main reference documents
of the P&D Department: the Summary for the Cabinet prepared at the start of each fiscal year
for the provincial Assembly and Cabinet and the report of the annual review of line departments
coordinated by the P&D Department focused on performance of the ADP projects.
Using data/information of the two above-mentioned resource documents, the annual M&E report
will provide an analysis of the ADP keeping in view following parameters:






Total size of the ADP (local and foreign aid), sector-wise project portfolio (on-going and new
projects) and projects/main activities completed during the reporting year (sector-wise, costwise, number of beneficiaries including women etc);
Analysis of the ADP resources according to the project size, management, capital
expenditure vis-à-vis revenue or service delivery etc;
Economic analysis of the ADP projects, keeping in view the Economic Growth Strategy of
Khyber Pakhtunkhwa, such as trends of ADP investment in high return areas/sectors etc;
ADP linkages with the policy priorities and outputs of CDS, OBBs, PCNA and sectoral
strategies;
Targeting of the ADP interventions on underdeveloped districts and vulnerable sections of
society (women, children, the elderly, the unemployed, poor, destitute, homeless etc.)
keeping in view poverty benchmarks; and,
Predictability of the financial flows and fiscal sustainability, including total receipts, total
expenditure, development budget, provincial revenues and foreign aid for the reporting year,
in relation to the natural disasters, fiscal transfers from the federal government, ADP throw
forward and the liabilities of the provincial government (staff salaries and pension etc.).
Sector-wise, trends over the last three years in ADP allocation, releases and expenditure will be
captured in the annual M&E report using the following format (Table 3.10):
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
Table 3.10
Trends in ADP Allocations, Releases and Expenditure
Departments and
Components
Allocations
(Rs million)
Reporting Year (1, 2 and 3)
Releases
(Rs million)
Expenditure
(Rs million)
E&SE
Primary Education
Secondary Education
Health
Basic Health
General Hospitals
Hayatabad Medical
Complex (Peshawar)
Khyber Teaching
Hospital (Peshawar)
Lady Reading Hospital
(Peshawar)
Medical Education and
Training
Preventive Programme
SWSE&WE
Social Welfare
Women’s Development
The annual M&E report will take account of the entire year’s performance of the DMOs, the
difficulties, constraints and bottleneck they faced, the status of compliance with the findings of
various inspections/field visits and the fate of recommendations that the DMOs had been
making from time-to-time during the year. The report will also make recommendations to
improve not only the working and performance of the DMOs but would also suggest and
recommend ways and means for better cooperation between Directorate General M&E and the
participating departments to implement the recommendations of the DMO reports.
The analysis of the DMO reports will take into account following aspects:










Reference to the previous reports
Standardised reporting formats
Feedback on PC-1 indicators
Use of evidence in reports
Linkages with the CDS priorities and OBBs outputs
Clearly defined next steps
Details of stakeholders met
Outreach with the civil society
Methodology for data collection
Identification of success stories
A section of the annual M&E report will provide analysis of the reports generated by the DPMS
M&E Module. The monitoring of the capital expenditure in Khyber Pakhtunkhwa through the
DPMS M&E Module is explained under section 5 of this report. Currently, the DPMS M&E
22
Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
Module can generate 16 reports based on the ADP data input into the software. A summary of
the following DPMS reports will be provided in the annual M&E Report:
















Overall Summary Report
Sector-wise Releases
District-wise Abstract
Umbrella Projects Abstract
Technical Sanction Report
Cash Plan Report
Work Plan Report
PC-1 Targets and Achievements
Quarterly Progress
Cost Over-run Report
Time Over-run Report
Component Cost Over-run Report
Component Time Over-run Report
PC-4 Reports
Progress Report
Customised Reports
3.7.6 Major Evaluations and Third Party Validations
In accordance with the Directorate General M&E’s Evaluation Plan (2011-14), the annual M&E
report will include summaries and findings of any major evaluations carried out by the
participating line departments during the reporting year. Details of the Government of Khyber
Pakhtunkhwa’s three year Evaluation Plan are provided under section 6 of these Guidelines.
The annual M&E report will also include summaries of any third party validations carried out by
the participating line department or donors during the reporting year.
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
4
Steps Taken for the Establishment of Provincial,
Divisional, District and Tehsil Level M&E Systems
4.1
M&E at the Province Level
The P&D Department has established the Directorate General M&E with its headquarters in
Peshawar and seven divisional offices, one each in the seven divisions of the province. The
Directorate General M&E is funded by the provincial government through a PC-1 as a
development project. A revised PC-1 has recently been approved for next three years (201114), which has provision for the recruitment of adequate professional staff including three
Directors, vehicles, office and IT equipment and internet connectivity etc. for the provincial M&E
and all divisional offices.
The E&SE Department has a provincial ESRU office comprising: of a Programme Director,
Deputy Director (M&E), Deputy Director (Education & Planning), Deputy Director (Finance &
Budget), three Monitoring Officers (M&E), a Planning Officer, an Accounts Officer and a
functional EMIS. The E&SE Department has a well-established EMIS Unit, which regularly
produces Annual Statistical Reports. The Health Department has the HSRU office as well as the
M&E Cell at provincial level. The M&E Cell comprises of a total of 9-10 personnel with five
officer grade positions, and three technical posts (MIS Officer, Data Analyst and Deputy
Director). The Health Department has established DHIS, which is being extended to all the
districts of the Khyber Pakhtunkhwa. Currently, 23 districts of the province are reporting on the
DHIS.
The SWSE&WE Department has the SCRU Office coordinating monitoring activities but as of
the 30th June 2011, the funding for the SCRU was exhausted. However, the responsibilities for
coordinating lower level monitoring activities have been assigned to the Deputy Director (IT).
Currently, the SWSE&WE Department does not have a MIS.
The P&D Department has created the Strategic Planning Centre under the Chief Economist
who will oversee implementation and monitoring of the CDS and its linkages with the ADP, and
a PCNA Implementation Support Unit is being created in the P&D Department to cater for
PCNA monitoring and reporting.
4.2
M&E at the Division Level
The Directorate General M&E has established Divisional Monitoring Offices in each division and
assigning DMOs with 2-3 Assistant Monitoring Officers. The DMOs report to the respective
Commissioner of the division. The DMOs’ primary responsibility is to carry out inspection
monitoring of the development projects, looking at the quality, quantity of work and compliance
with the stated PC-1 targets. The M&E inspections are conducted under an annual work plan or,
as directed, in special circumstances. The activities comprise evaluation and assessment of the
PC-1s of the developmental projects, site inspection and reporting on quality as well as physical
and financial progress.
The DMOs present their M&E reports to their respective Commissioners for review and
approval. The Commissioner forwards the recommendations of the reports to the Director
General M&E for onward submission to the ACS. The Directorate General M&E puts on file
recommendations for each report for the approval of the ACS. The recommendations may
comprise a request for further investigation/inquiry by the PIT or simply for compliance by the
24
Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
administrative department. The ACS approves recommendations and sends back the file to the
Director General M&E for further action. The Director General M&E, depending on the
recommendations, forwards the report to the PIT or the administrative Secretary of the
Department executing the project for rectification and compliance. The administrative Secretary
is asked to send the review/compliance report to the Director General M&E within two weeks.
The Secretary sends the report to the lower field formations through the usual channels for
compliance and reporting. The field officers then review the reports with the concerned DMO
and thus compliance is achieved.
4.3
M&E at the District Level
To facilitate district-level monitoring of the ADP projects, the Directorate General M&E, with
technical assistance of the PRP, has introduced a computer software programme known as the
DPMS launched by the Government of Khyber Pakhtunkhwa in January 2011. This is the webbased database of the ADP projects of the provincial government. The PC-1, PC-3(a) and PC3(b) for all developmental projects are being uploaded at the district and provincial levels
starting with the five departments i.e. E&SE, Health, SWSE&WE, Communications and Works
(C&W) and Irrigation. The PRP has trained 84 Master Trainers, from line departments and
districts, on the DPMS usage and reporting. These Master Trainers are responsible for the
secondary and tertiary level training of the government staff (provincial, divisional and district).
Uploading of the ADP PC-1s and PC-3s (a&b) will facilitate reporting on physical and financial
progress, utilisation and identifying bottlenecks in the implementation for the quarterly and
annual reviews related to the ADP implementation and monitoring. Moreover, the District-wise
Abstract reports of DPMS will give financial overview of ADP projects of a selected sector for all
districts.
4.4
M&E at the Tehsil Level
There is no elaborate system for M&E at the tehsil level but the local offices at the facility level
(schools, hospitals, women crisis centres etc) for the E&SE, Health and SWSE&WE
departments collect M&E data/information which is fed into the district, divisional and provincial
level systems. The facility level information of the E&SE and Health departments feed into the
electronic databases (EMIS and DHIS), which are compiled at the provincial level. As the
SWSE&WE Department, does not have an MIS system, its records are maintained manually
and collated at the provincial level by the concerned authorities.
The data flow from line departments to the Directorate General M&E for the production of
quarterly and annual M&E reports is given in the following figure.
25
Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
Figure 4.1
The Data Flow to the Directorate General M&E
DMO Reports
DPMS Reports
EMIS and Local
Circle Offices
l
P&D Department's
Strategic Planning
Centre, PCNA
Implementtion
Support Unit and
Computer Cell
E&SE
Departments'
ESRU and
Planning Cell
Directorate
General
M&E
SWSE&WE
Department's
Chief SCRU
Finance
Department's
MTBF Cell
District
Officers
DHIS
26
Health
Department's
HSRU and M&E
Cell
Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
5
Monitoring the Policy, Planning and Budget Process
The M&E Framework covers three main areas:
1. Policies, programmes and priorities of the CDS, departmental plans/strategies and the
PCNA;
2. The OBBs; and,
3. Implementation of the ADP
5.1
Monitoring Policies and Plans
An exclusive Strategic Planning Centre has been established under the office of the Chief
Economist, P&D Department, which will be responsible for monitoring and reporting progress on
the CDS sector specific priorities and core service delivery indicators. However, there are
several practical limitations for reporting progress on the CDS core indicators on an annual
basis. For example, the Maternal Mortality Rate and Infant Mortality Rates are collected by the
Federal Government at intervals of more than two years. The Pakistan Social and Living
Standards Measurement Survey and the Multiple Indicator Cluster Survey (MICS) are carried
out at intervals of more than two to three years and the Population Census is carried out every
ten years. All of these instruments are needed to provide data on a number of the M&E
indicators included in the CDS document. Thus, the Strategic Planning Centre needs to engage
with the respective line departments to revisit some of the M&E indicators and readjust the
targets and indicators accordingly. In other words, a pragmatic approach needs to be taken,
given what data is likely to be available.
The PCNA aims to introduce a results-based framework and has a detailed log frame identifying
key priorities and actions. The PDMA and the Provincial Reconstruction, Rehabilitation and
Settlement Authority are working in the conflict and flood affected areas mainly repairing and
reconstructing damaged facilities and infrastructure. A PCNA Implementation Support Unit has
been created within the P&D Department, with donor funding, and thus the methodology for
PCNA monitoring in consultation and coordination with the Directorate General M&E will be
developed in due course. The P&D Department is also in the process of restructuring and many
sections may be redefined or merged in accordance with the new proposals after which the
progress monitoring of CDS and PCNA implementation will become clearer. However, it will be
imperative that the M&E of the PCNA is integrated within the emerging new M&E system.
However, at this stage, it is understood that the Strategic Planning Centre, in coordination with
the participating departments, will collect data on the progress of CDS indicators and report it on
an annual basis to the Directorate General M&E for further analysis and use in the annual M&E
reports.
Table 5.1 gives the sources and frequency of CDS core service delivery indicators related to the
E&SE, Health and SWSE&WE departments.
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
Table 5.1
No.
CDS Core Indicators for E&SE, Health and SWSE&WE Departments
Indicator
Source
Department
Frequency
1
Literacy Rate
FBS/Census
FBS
Every 10
Years
2
Primary Net Enrolment Rate
EMIS/MICS
E&SE
Yearly
3
Ratio of Girls:Boys in Primary Schools
EMIS/MICS
E&SE
Yearly
4
Infant Mortality Rate (per 1,000 live births)
FBS/HSRU
Health
2-3 Years
5
Proportion of Fully Immunised Children
HSRU
Health
Yearly
6
Maternal Mortality Ratio (per 100,000 live births)
FBS/HSRU
Health
2-3 Years
7
Contraceptive Prevalence Rate
Health
Health
2-3 Years
8
HIV Prevalence Among Vulnerable Groups
HIV/AID
Programme
Health
2-3 Years
9
Proportion of T.B3 Cases Detected and Cured
Under DOTS4 Strategy
T.B
Programme
Health
Yearly
10
Reduce Prevalence of Hepatitis B and C in the
General Population of Khyber Pakhtunkhwa
Hepatitis
Programme
Health
Yearly
11
Access to Drinking water
BoS
PHE
Yearly
12
Access to Sanitation
BoS
PHE
Yearly
5.2
Monitoring the Budget Process
The OBBs have been piloted in three departments for 2010-13 and recently extended to 12
departments for 2011-14. The OBBs prepared for the E&SE, Health and SWSE&WE
departments provide a results chain of outcomes, outputs, indicators and targets for the next
three years. The specialised units of the departments (HSRU, ESRU, SCRU and
planning/monitoring/MIS units) will provide development data and progress on the OBB
indicators and targets for the respective departments on an annual basis to the Directorate
General M&E. Financial data on the recurrent side is being monitored by the MTBF Cell in the
Finance Department, which will be supplied to the Directorate General M&E on an annual basis
against the OBB key performance indicators.
The sources and frequency of monitoring data/information for each department’s OBB indicators
are provided in the following tables.
3
Tuberculosis (T.B)
4
Directly Observed Treatment Short-course (DOTS)
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
Table 5.2
S.No
1
2
3
4
OBB Sources of Information for the E&SE Department
Output
Indicator
Source
Frequency
Increase in
enrolment
% enrolment increased in primary level
education
EMIS
Yearly
No. of students facilitated by free text
books in primary level education
EMIS
Yearly
Decrease in dropout
and increase in
quality education
completion rate at
primary level
education
% boys student dropout in primary level
education over a cycle
PEACE5
Yearly
% girls student dropout in primary level
education over a cycle
PEACE
Yearly
Students-teacher ratio improved at
primary level
PEACE
Yearly
Increase in
enrolment in
secondary classes
No. of upgraded schools increased from
primary to middle
PEACE
Yearly
% enrolment increased in secondary
level education
PEACE
Yearly
No. of students facilitated by free text
books in secondary level education
PEACE
Yearly
No. of students received stipend
amount
PEACE
Yearly
Students-teacher ratio
EMIS/PEACE
Yearly
% boys student dropout in secondary
level education
EMIS/PEACE
Yearly
% girls student dropout in secondary
level education
EMIS/PEACE
Yearly
No. of higher secondary students
facilitated by free text books in
secondary level education
EMIS/PEACE
Yearly
No. of new/upgraded/establish higher
secondary schools
EMIS/PEACE
Yearly
Decrease in dropout
and increase in
quality education
completion rate at
secondary level
5
Better training
institutions in which
sufficient number of
teachers trained with
diploma in
education, B.Ed
12+4 years and
ADE 12+2 course in
place
No. of pre-service teachers trained
DCTE6
On Demand
6
All the education
managers trained
No. of managers trained
PITE7
On Demand
5
Provincial Education Assessment Centre (PEACE)
6
Directorate of Curriculum and Teacher Education (DCTE)
7
Provincial Institute of Teacher Education (PITE)
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
Table 5.3
S.No
OBB Sources of Information for the Health Department
Outputs
Indicator
Source
Frequency
Enhanced access to
primary health care
services
Daily OPD8 Attendance
HMIS/
DHIS
Monthly
Number of New Facilities
Established
DHIS
Yearly
Enhanced access to
secondary healthcare
services
Daily OPD Attendance
DHIS
Monthly
Number of Indoor Patients
DHIS
Monthly
Enhanced access to
tertiary health care
services
Daily OPD Attendance
T.H9
Yearly
Number of Indoor Patients
T.H
Yearly
4
Protecting the poor and
underprivileged
population subgroups
against catastrophic
health expenditures and
risk factors
Total Number of Beneficiaries
Zakat &
Usher
Department
Yearly
5
Enhanced access to
specialised services
Number of Specialised Hospitals
Completed
Planning
Cell
Yearly
6
Measurable reduction in
morbidity and mortality
due to emergencies,
accidents and injuries
through improved referral
system and in-hospital
emergency services
Number of Accident and
Emergency Units Established
Planning
Cell
Yearly
7
Measurable reduction in
Tuberculosis through
expansion of DOTS
Strategy
Case Detection Rate for T.B
PTP10
Quarterly
Treatment Success Rate for T.B
PTP
Quarterly
8
Measurable reduction in
Malaria, especially in
endemic districts, through
implementation of
Rollback Malaria Strategy
Total Number of Slides
Result Based
Management
Monthly
9
Measurable reduction in
prevalence of Hepatitis B
and C
Number of Patients Treated for
Hepatitis B and C
Hepatitis
Programme
Yearly
Number of Patients Registered for
Hepatitis B & C
Hepatitis
Programme
Monthly
Measurable reduction in
HIV/AIDS in vulnerable
Number of Registered Patients of
HSRU
Monthly
1
2
3
10
8
Out Patient Department (OPD)
9
Teaching Hospital (TH)
10
Pakistan T.B Programme (PTP)
30
Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
segments of population
HIV/AIDS
Number of Advocacy Campaigns
Pakistan AIDS
Control
Programme
Monthly
11
Expanded Programme on
Immunisation
Immunisation Coverage
Expanded
Programme on
Immunisation
Monthly
12
Improving quality of
education in medical,
nursing and para Medical
Colleges
Number of Nurses Qualifying
Nursing Diploma
PHSA11
Yearly
13
Enhanced capacities of
health workforce through
strengthening of
Provincial Health Services
Academy, District Health
Development Centres and
Continued Medical
Education
Number of Staff Trained (Induction,
Refresher & Promotional)
PHSA
Yearly
14
Improving quality of health
services in primary,
secondary & tertiary level
healthcare facilities
Number of Facilities Selected for
the Implementation of Standards
Improved
Quality of
Health Care
Services
Yearly
15
Strengthening and
improving evidence based
decision making
Number of Districts Reporting on
DHIS
DHIS
Monthly
Number of Review Meetings
Conducted by M&E
M&E Cell
Quarterly
Improved planning and
policy making
Number of Reviews by Planning
Cell
Planning Cell
Quarterly
Number of Proposals Submitted by
HSRU
HSRU
Yearly
16
17
Strengthening of Health
Regulatory Authority
Number of Clinics Registered by
Health Regulatory Authority
Health
Regulatory
Authority
Yearly
18
Strengthening of Drug
Regulatory Mechanism
Monitoring Visits by Drug
Inspectors
Chief Drug
Inspector
Yearly
Drug Samples Tested in the
Laboratory
Drug Test
Laboratory
Monthly
Number of Food Samples Tested
Food
Monthly
19
11
Implementation of Food
Act
Laboratory
Provincial Health Services Academy (PHSA)
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
Table 5.4
S.No
1
OBB Sources of Information for the SWSE&WE Department
Output
Indicator
Source
Frequency
Increased number of
handicapped citizens
identified registered
and rehabilitation
No. of women with
disability registered
SWO12 (Handicapped ) and
Directorate Social Welfare
SWO (Handicapped) and
Directorate Social Welfare
Yearly
SWO
(Handicapped)/Planning
Officer and
Directorate Social Welfare
SWO
(Handicapped)/Planning
Officer and Directorate
Social Welfare
Assistant Director
(Orphanage) and
Directorate Social Welfare
Yearly
Assistant Director
(Orphanage) and
Directorate Social Welfare
Assistant Director
(Admin/Supervisor) and
Directorate Social Welfare
Yearly
Directorate Social Welfare
Yearly
SWO (Handicapped)/Chief
Child Protection
Officer/Assistant Director
(Women Development) and
Directorate Social Welfare
Yearly
Assistant Director
(Orphanage)/Assistant
Director
(Administration)/Planning
Officer and
Directorate Social Welfare
Yearly
No. of men with disability
registered
No. of special education
schools established
No. of boys enrolled at
special education
schools
2
Increased number of
senior citizens and
unemployed
graduates provided
financial assistance
3
12
A target of destitute
population identified
and shelter provided
No of senior citizens
registered (men and
women) for financial
support
No. of unemployed post
graduates registered
(men and women)
No of social welfare
agencies registered for
financial and technical
support
Number of social welfare
organisations received
financial and technical
support as approved by
the Provincial Council for
Social Welfare
No. of campaigns held
for raising awareness
(disabled persons, child
rights and child
protection , women rights
and women issues)
No. of male beggars
received shelter and
skills imparted
Social Welfare Officer (SWO)
32
Directorate General of Monitoring and Evaluation
Yearly
Yearly
Yearly
Yearly
M&E Guidelines for the Government of Khyber Pakhtunkhwa
No. of persons benefited
from the integrated
activities at SWCs13
4
Improved legislation
for child protection
Child Protection Bill
approved and
implemented
5
A target population
of socially
destitute children
reintegrated in the
community
No. of welfare homes
established for destitute
children
No of beneficiary children
in one year
Number of vocational
training centres ( existing
and new)
6
A target population of
deserving women
provided shelter and
training
No. of ITC14s established
No. of women received
training at ITCs
No. of Darul Aman’s
functional
7
Effective and efficient
administration
mechanism
13
Social Welfare Centre (SWC)
14
Industrial Training Centre (ITC)
15
Women’s Development (WD)
33
No. of working women
benefited from Working
Women Hostels
accommodation
Adherence to timelines
regarding administrative
related work
Assistant Director
(Orphanage)/Assistant
Director (Admin)/Planning
Officer and
Directorate Social Welfare
Chief Child Protection
Officer and
Directorate Social Welfare
Chief Child Protection
Officer and
Directorate Social Welfare
Chief Child Protection
Officer and
Directorate Social Welfare
Planning Officers,
Administrative Department
and Directorate Social
Welfare
Planning Officers,
Administrative Department,
Assistant Director (WD15)
and Directorate Social
Welfare
Planning Officers,
Administrative
Department/Assistant
Director (WD) and
Directorate Social Welfare
Assistant Director
(WD)/Planning Officers and
Directorate of Social
Welfare
Assistant Director
(WD)/Planning Officers and
Directorate of Social
Welfare
Section Officer
(General)/Assistant Director
(Administration) and
Directorate of Social
Welfare
Directorate General of Monitoring and Evaluation
Yearly
Yearly
Yearly
Yearly
Yearly
Yearly
Yearly
Yearly
Yearly
Yearly
M&E Guidelines for the Government of Khyber Pakhtunkhwa
5.3
Monitoring Capital Expenditure
The ADP, PSDP, other non-ADP schemes and donor projects are monitored by the Directorate
General M&E using divisional arrangements and instruments in the form of monitoring reports of
the DMOs, reports generated through the DPMS software updated by the line departments and
evaluations studies commissioned by the Directorate General M&E according to the Evaluation
Plan (2011-14).
The ADP is monitored through the DMOs of the Directorate General M&E Office.16 In view of the
workload and large ADP portfolio, the DMOs carry out desk reviews of the ADP schemes
examining the contents of the PC-1s. However, large projects and infrastructure schemes of
high cost and prominence are picked out for random inspections and included for site checks
and detailed scrutiny. These inspections normally focus on the follow-up of the approved PC-1s,
the quality of the executed work, financial utilisation and physical progress. The DMO reports
give recommendations for rectification and suggest improvements to enhance progress, quality
and appropriate spending of the allocated budgets.
The DMO reports are presented to the respective Commissioners who forward these to the ACS
through the Directorate General M&E and further to the administrative Secretaries for
compliance reporting. Thus, the DMOs follow elaborate monitoring and reporting procedures for
the ADP projects which is supported by information obtained from the database maintained
under the DPMS. A variety of reports utilising the DPMS data can be produced at any time
during the year. These include Summary Reports of ADP projects giving details of Cost Overrun
projects, Component Cost Overruns in a particular project, Time Overruns and Component
Time Overrun projects. Abstract reports on Sector-Wise Releases show the releases made for
each project in a given ADP year sorted by sectors. Similarly, District-wise Abstract Reports will
give financial overview of projects of a selected sector for all districts. Additional reports on
Umbrella projects, Technical Sanction status, Cash Plan, Work Plan, PC-1 Targets and
Achievements, Quarterly Progress, PC-4s, Project Progress and several other customised
reports can be produced utilising the DPMS data bank.
Each department of the Khyber Pakhtunkhwa government passes through four quarterly
reviews of their respective portfolios internally and with the P&D Department; the fourth
Quarterly Review sometimes is held under the chair of the Chief Minister. Usually, the
departments and P&D Department examine allocations, releases, expenditure, physical
progress, achievement of targets, and cost and time overrun activities (if any). All this
information can be readily available in the form of summary reports from the DPMS if data is
uploaded regularly and accurately by the participating departments during the year.
A few images of sample reports utilising DPMS data are shown below:
16
The DMOs generally use a non-uniform template for monitoring purposes, however, the Directorate General M&E has developed
some principles for monitoring ADP projects which are included as Annex A
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
The Economic Analysis Section (EAS) of the P&D Department usually prepares Cabinet
summaries and carries out assessments and analysis of the ADP. This analysis comprises a
brief economic/development outlook of the province, a review of the ADP for the previous year
and the salient features of the next year’s ADP with recommendations for the Cabinet. The
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M&E Guidelines for the Government of Khyber Pakhtunkhwa
Directorate General M&E will therefore require the assistance and support from the EAS and
the P&D Department for the preparation of the annual M&E reports.
Primarily the ADP portion of the annual M&E report will be substantially prepared from the
summation of the quarterly/annual ADP review reports as well as the EAS’s analysis.
The assessment of ADP in the annual M&E report will be based on the following considerations:


A broad-based economic overview of the ADP to provide a better understanding of how the
targeting of development spending can be improved. This will include examining ADP
investments keeping in view priorities set under the Economic Growth Strategy of Khyber
Pakhtunkhwa.
Looking into the predictability of the financial flows and fiscal sustainability, including total
receipts, total expenditure, development budget, provincial revenues and foreign aid for the
reporting year, in relation to the natural disasters, fiscal transfers from the federal
government, ADP throw forward and liabilities of the provincial government (staff salaries
and pension etc.).
The following format is proposed for estimating fiscal projections of ADP (Table 5.5):
Table 5.5
Fiscal Projections for Khyber Pakhtunkhwa (Rs. Million)
FY2011-12
FY2012-13
Total Receipts
Total Expenditure
Development Budget
Provincial Revenues
Foreign Aid
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Directorate General of Monitoring and Evaluation
FY2013-14
M&E Guidelines for the Government of Khyber Pakhtunkhwa
6
Evaluation Studies
6.1
Scope of Evaluation
The evaluation studies of the Directorate General M&E will be based on the Evaluation Plan of
the Directorate General M&E prepared for 2011-14.
While assessing outcomes and impacts of selected programmes and projects, the evaluation
studies will provide a mechanism for getting bottom-up feedback from public on their key
concerns and needs to inform policy, planning and budgeting processes. Design and
methodology will vary for each evaluation study depending on its type and objectives.
6.2
Evaluation Plan of the Directorate General M&E
The Directorate General M&E has developed an Evaluation Plan for the improvement of
governance and service delivery in Khyber Pakhtunkhwa. Under the M&E Framework, the
Directorate General M&E is mandated to commission at least two evaluation studies per fiscal
year, summaries of which will be included in the quarterly and annual M&E reports.
The Directorate General M&E has asked the E&SE, Health and SWSE&WE departments to
identify key programmes and projects (big-ticket programmes, high priority areas, projects
where problems are believed to exist or success stories which could be replicated), that can be
evaluated to help the Government of Khyber Pakhtunkhwa in improving its umbrella policies,
strategic plans and programmes and investment projects (the ADP).
Based on the agreed evaluation priorities, a three-year Evaluation Plan (2011-14) has been
developed, which will be centrally coordinated by the Directorate General M&E. The Directorate
General M&E will commission studies from a range of evaluation service providers including the
academic institutions, consulting companies and civil society organisations.
The Directorate General M&E will create an Evaluation Cell with dedicated resources for which
sufficient resources have already been approved by government under the revised PC-1 of the
Directorate General M&E (2011-14). One evaluation study during 2011-12 will be funded by the
PRP Project. The RMG-M&E has approved following evaluation topics for the Evaluation Plan of
the Directorate General M&E (2011- 14).
E&SE Department:



Evaluation Priority 1 - Provision of Stipends to the Secondary Level Girls’ Students
Evaluation Priority 2 - Provision of Free Text Books to All Students up to Intermediate Level
Evaluation Priority 3 - Performance of Female Parents-Teachers Councils
Health Department:



Evaluation Priority 1 – Rollback Malaria Programme
Evaluation Priority 2 – Expanded Programme on Immunisation
Evaluation Priority 3 – Prevention and Control of Hepatitis in Khyber Pakhtunkhwa
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
SWSE&WE Department:



Evaluation Priority 1 – Physically Handicapped/Institutes for People with Mental Disabilities
Evaluation Priority 2 - Women Crisis Centres
Evaluation Priority 3 - Welfare Homes for Street/Abandoned Children
The Directorate General M&E will operationalise the Evaluation Plan (2011-14) according to the
recommendations of the RMG-M&E. The RMG-M&E has recommended following steps for the
operationalisation of the Evaluation Plan (2011-14):
1. The RMG-M&E will finalise and approve the evaluation topics and priorities suggested by
the line departments. Criteria agreed for the selection of each evaluation topic include:
- Financially large field based projects spread over several divisions/districts
- On-going projects with more than two years life
- High priority areas with a strong political focus
2. The Director General M&E will inform and take consent of the relevant departmental
Secretaries, Secretary P&D and the ACS for the overall prioritised evaluation topics and two
selected for the current fiscal year 2011-12. One evaluation study during 2011 will be funded
by the PRP Project.
3. The Directorate General M&E will work with the concerned departments (focal points to be
nominated by the Secretaries) to develop detailed proposals, terms of reference and tender
documents for the two evaluation studies conducted in collaboration with the civil society
organisations and academia during 2011-12.
4. For the fiscal years 2012-13 and 2013-14, the same process will be repeated keeping in
view the Evaluation Plan of the Directorate General M&E (2011-14).
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7
Dissemination and the Use of the M&E Findings
The M&E findings through the quarterly and annual M&E reports circulated by the Directorate
General M&E will be disseminated to a wider group comprising government, academia, mass
media, the private sector and civil society organisations.
The annual M&E workshops will be held in November each year informing the policy, planning
and budgeting processes of the next fiscal year based on the published annual M&E report of
the Government of Khyber Pakhtunkhwa. The following means will be employed for the
dissemination of the M&E results and findings:






Holding public consultations through seminars on the Government of Khyber Pakhtunkhwa’s
annual M&E report.
Publishing M&E reports on the Government of Khyber Pakhtunkhwa’s web portal.
RMG-M&E focused group meetings with the P&D, Finance and OBB departments to
disseminate the M&E results and findings.
Presentations of the M&E results to the M&E Advisory, Strategic and Operations
Committees at the provincial and decentralised levels.
Sharing of the M&E results and findings with civil society think-tanks and forums organised
on the basis of the recommendations of the Citizens’ Voice Study report of the Government
of Khyber Pakhtunkhwa.
Several other recommendations of the Citizen’s Voice Study report are being considered for
inclusion under the implementation of the M&E Framework by the Directorate General M&E.
These will include additional stakeholders and consultative groups for improving the M&E
system.
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
8
Technical Support and Capacity Development
The implementation of the M&E Framework will be technically backstopped by the Directorate
General M&E with the help of the DFID-funded PRP and other donors. Provincial government
departments will be provided technical and capacity development support by the Directorate
General M&E for the M&E and reporting of their interventions on a quarterly and annual basis.
The evaluation studies will be conducted with the support of donors and the Directorate General
M&E’s internal funding arrangements.
Subsequent to these outline M&E Guidelines, the Directorate General M&E with the help of the
RMG-M&E and line departments will develop detailed methodological and operational
Guidelines, instruction notes, manuals, guides etc. and will provide M&E training to its own staff,
departmental M&E units and the Chief Economist’s office.
There are capacity issues in the office of the Directorate General M&E and with shouldering the
additional responsibilities for the monitoring of policies, programmes, strategies and the
development expenditure of the province, trained, competent and professional staff will have to
be recruited or some M&E services outsourced by the Directorate General M&E. The
Directorate General M&E’s staff comprising of Directors, DMOs and Assistant DMOs will
develop uniform and standardised monitoring formats for the ADP schemes which are concise,
practical and implementable.
The Directorate General M&E will also be imparting a Diploma in Public Sector Project
Management with the assistance of the Establishment Department and the Institute of
Management Sciences, Peshawar, for the M&E staff of Directorate General M&E and other
participating government departments.
The DPMS will be fully operationalised and training will be given to the staff of line departments’
provincial and district offices. This will require an action plan spread over a reasonable time so
that DPMS data entry and use becomes a regular feature within the government departments.
The Directorate General M&E will establish and roll out the new M&E system including on-thejob training to all relevant staff of the participating departments and new recruits of the
Directorate General M&E.
Restructuring of the P&D Department is in process and it is envisaged that all field level
planning and monitoring staff of the participating departments would be given a separate cadre,
will be imparted uniform training, use standardised procedures and tools and report to the
Directorate General M&E for the monitoring and reporting throughout the province.
The participating departments have also asked that the Directorate General M&E should
facilitate their capacity building. For example, the E&SE Department asked for the following:



Provision of computers with accessories at the district and local circle office level.
Connecting local circle offices through internet with the district and provincial offices.
M&E training of staff at the provincial, district and local circle offices.
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Directorate General of Monitoring and Evaluation
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The Health Department has requested following technical support:



Review of DHIS keeping in view CDS and OBB indicators.
Roll out of DHIS to all districts of Khyber Pakhtunkhwa.
Use of DHIS information for informed decision-making.
The SWSE&WE Department has put forward the following request for the strengthening of their
M&E system:



Establishment of an M&E Cell within the SWSE&WE Department.
Strengthening of the existing MIS to look after, monitor, supervise, coordinate and evaluate
the on-going as well as new schemes of public welfare especially for the poor and
vulnerable segments of the community.
A non-ADP scheme to strengthen the M&E in SWSE&WE Department may be started and
allocation may be made within the current financial year (2011-12).
Capacity development in support of the implementation of M&E Framework is an on-going
process and improvements will be made in response to the feedback received from a wider
audience on dissemination of the M&E findings as planned. Similarly, these Guidelines are
indicative as several systems and restructuring of the P&D Department as well as the M&E
systems in place or in making within the participating departments are still not clear, definite and
finalised. The Directorate General M&E will thus, continuously adjust, define, explain, modify
and update these M&E Guidelines for the operationalisation of the M&E Framework in Khyber
Pakhtunkhwa.
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Annex A
Checklist - Monitoring of Development Projects17
The monitoring team during the field visit should, inter alia:
Verify and update the information/data assembled in the ‘desk study’
Discuss objectives and determine the pace and quality of work
Review the overall implementation of the project including:
a)
Effectiveness of the project management system
b)
Job awareness and knowledge of the Project Director
c)
Relations between the administrative department and the project
d)
Inter-agency coordination
e)
Bottlenecks
f)
Critical actions necessary for expeditious completion of the project
Project Planning and Approval Status
i)
Approval status with dates and authority
ii)
Was any PC-2 prepared/feasibility study undertaken?
iii)
Approved cost (local cost, foreign aid and total)
a)
Original cost
b)
First revision
c)
Second revision
d)
Latest
e)
Planned and actual dates of commencement and likely dates of
completion
Financial Plan and Progress
i)
Financial plan with particular reference to foreign aid component and its
sources
ii)
Relationship between
a)
PC-1 phasing and ADP/budget allocations
b)
ADP/budget allocations and actual releases
c)
Release and actual utilisation with reasons for variation (if any)
Foreign Aid Utilisation
i)
Effective date of loan/grant (have the prerequisites completed on time)
ii)
Original and latest disbursement schedule
iii)
Actual disbursement and its utilisation with latest schedule with reasons for
shortfall (e.g. whether various steps involved proceeding disbursement/ actual
utilisation taken?)
iv)
Has the terminal date of loan and completion of the project extended? If so,
record the revised dates
v)
Relationship of local currency budget with foreign exchange disbursement
i)
ii)
iii)
A.
B.
C.
D.
Change in Prices During Implementation and Impact on Cost
S/No Material/Item
Original
Revised
Analyse/Reasons
*Points for consideration
17
Source: Directorate General M&E, P&D Department
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Directorate General of Monitoring and Evaluation
M&E Guidelines for the Government of Khyber Pakhtunkhwa
E.
S/No
Changes in Scope
Components
Original
Revised/
Latest
Approval Status
with Authority
*Points for consideration
Project Management
i) Whether or not project implementation is being watched through CPM, PERT,
Network Analysis and Bar Charts?
ii) Does an implementation schedule exist?
iii) Inter linkages of various activities within the project and with other projects, if
applicable
iv) Has the administrative Department made any arrangements for effective
monitoring of the project?
*Points for consideration
Personnel
i) Have scheduled consultations arrived, if not, reasons for delay
ii) Whether appointments of staff in time or delayed, how much (why and by whom)
a)
Project Director/Manager
b)
Senior staff for implementation and subsequently for operation, if
applicable
c)
Auxiliary staff for implementation
d)
Skilled workers
iii) Aptitude/awareness of the Project Director/Manager in respect of his
involvement and concern about the project.
*Points for consideration
Development of Infrastructure
i) Whether arrangements for infrastructure are adequate and in line with the
plan such as water, power, telephone and railway links etc?
ii) Whether requisition of land was/ is in time and within cost estimates
*Points for consideration
Preparation of Documents and Award of Contract
i) Whether drawings/designs and detailed construction plans are prepared in time?
ii) Whether tender documents are prepared as scheduled with reasons for delay, if
any?
iii) Position for award of contracts and their vetting by donor agencies, if applicable
iv) Scheduled and actual dates of commencement of major contracts along with the
revised/ likely date of completion.
*Points for consideration
Procurement of Equipment (timelines and costs)
i) List of required local and imported equipment
ii) Has local equipment been acquired at approved cost in accordance
with the time schedule?
iii) Has foreign equipment been acquired at approved cost in accordance with time
schedule?
*Points for consideration
Physical Progress
i) Item-wise physical progress of various components/activities and cost incurred/
planned/ actual
ii) Overall physical progress as a whole (in percentage) and expected completion
date
iii) Identify reasons for delay/ shortfall, if any
*Points for consideration
F.
G.
H.
I.
J.
K.
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Directorate General of Monitoring and Evaluation