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This project is co-financed by the European Union and the Republic of Turkey

This project is co-financed by the European Union and the Republic of Turkey

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This project is co-financed by the European Union and the Republic of Turkey

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  1. Bölgesel Rekabet Edebilirlik Operasyonel Programı’nın Uygulanması için Kurumsal Kapasitenin Oluşturulmasına Yönelik Teknik Yardım Technical Assistance on Institutional Building for the Implementation of RCOP in Turkey This project is co-financed by the European Union and the Republic of Turkey MONITORING & EVALUATIONfor RCOP Ankara, 12 – 16 December 2011 Monitoring & Evaluation, 12-16 Dec 2011

  2. This project is co-financed by the European Union and the Republic of Turkey SECTION I.MONITORING VSVALUATION • Clarification of definitions Monitoring & Evaluation, 12-16 Dec 2011

  3. Distinction between evaluation, monitoring and audit This project is co-financed by the European Union and the Republic of Turkey • Evaluation • Assessment of the efficiency, effectiveness, impact, relevance and sustainability of aid policies and actions • Monitoring • Ongoing analysis of programme/project progress towards achieving planned results with the purpose of improving management decision making • Audit • Assessment of • the legality and regularity of project expenditure and income i.e. compliance with laws and regulations and with applicable contractual rules and criteria; • whether project funds have been used efficiently and economically i.e. in accordance with sound financial management; • whether project funds have been used effectively i.e. for purposes intended. • Primarily a financial and financial management focus, with the focus of effectiveness being on project results. Monitoring & Evaluation, 12-16 Dec 2011

  4. Evaluation-monitoring-project management This project is co-financed by the European Union and the Republic of Turkey • Monitoring: to beaware of the present situation • Evaluation: to rationallyconnect the present situation with the desired future situation • Project management: operations and transactions (contracting, approval of reports, payments…) but activities leading to these rely on monitoring and to (interim) evaluation outcomes • Potential overlaps of monitoring and project management activities • Segregation of duties, clear definition of responsibilities • Cooperation Monitoring & Evaluation, 12-16 Dec 2011

  5. Distinction between and evaluation monitoring This project is co-financed by the European Union and the Republic of Turkey Monitoring • What?Monitoring is an integral part of a day-to-daymanagement. • How?Monitoring embodies the regular tracking of inputs, activities, outputs, reach, outcomes, and impacts of development activities at the project program, sector and national levels • Why?Monitoring provides information by which management can identify and solve implementation problems and assess progress towards project's objectives Evaluation • What?Evaluation is an assessment that refers to design, implementation and results of completed or on-going project / program / policy. • How?Evaluation should be systematic and objective. Key criteria to be used are: relevance, developmental efficiency, effectiveness, impact and sustainability. • Why?Evaluation should provide credible and useful information to enable the incorporation of lessons Monitoring & Evaluation, 12-16 Dec 2011

  6. Distinction between and evaluation monitoring This project is co-financed by the European Union and the Republic of Turkey Monitoring • focused on daily management issues • typical questions: “How many?” "When?” “How?” “For how much?” • assess whether activities are implemented effectively and efficiently Evaluation • addresses strategic questions: “So what?”(impact and sustainability) and “Why?” (relevancy) • analysisis deeper and seeks for actual cause-results relationships • perception of “big picture" Monitoring & Evaluation, 12-16 Dec 2011

  7. Distinction between and evaluation monitoring This project is co-financed by the European Union and the Republic of Turkey Monitoring • usually means a system • data collected and analyzed more or less frequently • according to a predefine timetable (Performance Measurement Plan) • regularity and continuity of data collection • methodology used to analyze it Evaluation • flexibility in specifying, which aspects of the program should be assessed, when and how. Monitoring & Evaluation, 12-16 Dec 2011

  8. Distinction between and evaluation monitoring This project is co-financed by the European Union and the Republic of Turkey • Monitoring • Part of modern project management • Generates useful information for project manager • where are bottlenecks? • how are we doing towards our objectives? • are expenses under control? • Utilityis the primary feature • Evaluation • Target groups:donors, planners, assistance recipients and wider public • Have we achieved our goals? • Are our results sustainable? • Have we learned anything for the future? • Focus on • transparency of evaluator’s approach • revealing cause-effect relationshipsbetween subsequent layers of analysis. Monitoring & Evaluation, 12-16 Dec 2011

  9. Distinction between and evaluation monitoring This project is co-financed by the European Union and the Republic of Turkey • Monitoring • Project management needs  rapid assessment methods • fast feedback • not very expensive • Evaluation • Scrupulous research methodologies • representative surveys • comprehensive quantitative analyzes Monitoring & Evaluation, 12-16 Dec 2011

  10. M&E – Comparative characteristics This project is co-financed by the European Union and the Republic of Turkey Monitoring & Evaluation, 12-16 Dec 2011

  11. M&E system diagramme This project is co-financed by the European Union and the Republic of Turkey Evaluation Monitoring Monitoring & Evaluation, 12-16 Dec 2011

  12. This project is co-financed by the European Union and the Republic of Turkey SECTION II.EVALUATION • EU Regulations on evaluation • Introductory guide on basic notions Monitoring & Evaluation, 12-16 Dec 2011

  13. COUNCIL REGULATION 1085/2006 establishing IPA This project is co-financed by the European Union and the Republic of Turkey Article 22 Evaluation • Commission shall regularly evaluate • the results and efficiency of policies and programmes • effectiveness of programming whether the objectives have been met • Objectives of Evaluation • to enable the COM to formulate recommendations • results shall feed back into programme design and resource allocation Monitoring & Evaluation, 12-16 Dec 2011

  14. COM REGULATION 718/2007implementing 1085/2006 This project is co-financed by the European Union and the Republic of Turkey • Title II Common rules for implementation/Chapter VEvaluation and monitoring • Article 57 Evaluation • Objectives: to improve the quality of • effectiveness and consistency of the assistance • strategy and implementation of the programmes. • Subject: Multi-annual indicative planning documents (ex ante evaluation) • Forms: • Strategic • Ex ante • Interim • Ex post Monitoring & Evaluation, 12-16 Dec 2011

  15. COM REGULATION 718/2007implementing 1085/2006 This project is co-financed by the European Union and the Republic of Turkey Article 57 Evaluation (cont’d) • Interim: • At least one during implementation • Specifically when the monitoring reveals significant departure from the goals initially set. • Ex post • the responsibility of the Commission • Shall include identifiable IPA component-specific results • The results of ex ante and interim evaluation shall be taken into account in the programming Monitoring & Evaluation, 12-16 Dec 2011

  16. COM REGULATION 718/2007implementing 1085/2006 This project is co-financed by the European Union and the Republic of Turkey CHAPTER III/Implementation/Section 1 Framework for implementation and principles Article 78 Implementation principles in the event of participation in Community programmes and agencies (as amended by COM REGULATION 80/2010) • All evaluations shall be carried out by the COM prior to the conferral of management powers on the beneficiary country, • After the conferral • BC is responsible for interim evaluation; • COM’s rights to perform any ad-hoc evaluations remains; • ex-ante and ex-post remain with COM • BC’s right to carry out ex-ante and ex-post as it deems necessary. Monitoring & Evaluation, 12-16 Dec 2011

  17. COM REGULATION 718/2007implementing 1085/2006 This project is co-financed by the European Union and the Republic of Turkey Title III Regional development and human resources development/Chapter IIIImplementation/Section 3 Evaluation and monitoring Article 166 Evaluation • ex ante • Beneficiary countries - under the responsibilityof the operating structure. • Foreach operational programme separately. • If dulyjustified and in agreement with the COM BC may carry out a single ex ante evaluationcovering more than one operational programme. • Shall aim to • optimise the allocation ofbudgetary resources under operational programmes • improveprogramming quality • identify and appraise • thedisparities, gaps and potential for development, • the goals to beachieved, • the results expected, • the quantified targets, • Thecoherenceof the strategy proposed • and the qualityof the procedures for implementation, monitoring, evaluation • Annexed to OP Monitoring & Evaluation, 12-16 Dec 2011

  18. COM REGULATION 718/2007implementing 1085/2006 This project is co-financed by the European Union and the Republic of Turkey Article 166 Evaluation (cont’d) • Interim • During the programming period • Beneficiary countries • Linked to the monitoring of OPs, in particular where • this reveals asignificant departure from the goals initially set or • proposals are made for the revision of OPs • Results shall be sent to thesectoral monitoring committee for the OP and to COM • Evaluations shall be carried out by experts or bodies,internal or external, functionally independent of the authorities • The results shall be published Monitoring & Evaluation, 12-16 Dec 2011

  19. Purpose and principles This project is co-financed by the European Union and the Republic of Turkey • Logical elements of purpose of evaluation: • Assessment; • Systematic and objective; • Ongoing or completed project, programme or policy; • Design, implementation and results; • Determine the relevance and fulfillment of objectives, developmental efficiency, effectiveness, impact and sustainability; • Provide information that is credible and useful; • Enabling the incorporation of lessons learned into the decision-making process of both recipients and donors; Monitoring & Evaluation, 12-16 Dec 2011

  20. Purpose and principles This project is co-financed by the European Union and the Republic of Turkey • Principles of the approach to evaluation: • Impartiality and independence of the evaluation process from the programming and implementation functions; • Credibility of the evaluation, through use of appropriately skilled and independent experts and the transparency of the evaluation process, including wide dissemination of results; • Participation of stakeholders in the evaluation process, to ensure different perspectives and views are taken into account; • Usefulness of the evaluation findings and recommendations, through timely presentation of relevant, clear and concise information to decision makers. Monitoring & Evaluation, 12-16 Dec 2011

  21. Evaluation types This project is co-financed by the European Union and the Republic of Turkey Ex ante Article 2 of the Financial Regulation • Use of budget appropriations • principles of sound financial management • quantified objectives must be identified • „mobilisation of Community resources must be preceded by an evaluation to ensure that the resultant benefits are in proportion to the resources applied.” Monitoring & Evaluation, 12-16 Dec 2011

  22. Evaluation types This project is co-financed by the European Union and the Republic of Turkey Ex ante • Implementation Rules for FR – ex ante evaluation shall identify: • need to be met in the short or long term; • objectives to be realised; • results expected and the indicators needed to measure them; • added value of Community involvement; • risks, including fraud; • lessons learned from similar experiences in the past; • volume of appropriations, human resources and administrative expenditures; • monitoring system to be set up. Monitoring & Evaluation, 12-16 Dec 2011

  23. Evaluation types This project is co-financed by the European Union and the Republic of Turkey Ex ante • Process that supports the preparation of interventions • - related to programming ~ quality assurance • Purpose: to gather and analyse information • define objectives, • ensure that these objectives can be met, • that the instruments used are cost-effective, • reliable later evaluation will be possible • Independent from planners Monitoring & Evaluation, 12-16 Dec 2011

  24. Evaluation types This project is co-financed by the European Union and the Republic of Turkey Interim • Assessment of the quality of programme implementation based on the first outputs and results • relevance of the adopted strategy; • newly occured factors having an impact on the implementation; • objectives have been defined accurately; • indicators are relevant; • so-far effectiveness and extrapolation; • management quality of the project implementation; • reliable collected data, including the monitoring system • Independent from implementors Monitoring & Evaluation, 12-16 Dec 2011

  25. Evaluation types This project is co-financed by the European Union and the Republic of Turkey • Ex post • After programme completion • Examining long-lasting effects • impact (more) visible • verification to what extent objectives have been achieved • Sustainability – estimated character • Anticipated and unexpected effects • Source of information for future programming excercises Monitoring & Evaluation, 12-16 Dec 2011

  26. Major tasks for an Evaluation Unit This project is co-financed by the European Union and the Republic of Turkey • Identifying the need for an evaluation and selecting the topics/themes to be evaluated; • Designing the evaluation, including preparing the Terms of Reference; • Drafting tender documents for the evaluation study and selecting the contractor according to the established rules; • Briefing the contractor and the parties involved, and supporting the evaluation mission; • Ensuring the production of a high quality evaluation report and of the dissemination of evaluation findings and recommendations. Monitoring & Evaluation, 12-16 Dec 2011

  27. Tools and key documents This project is co-financed by the European Union and the Republic of Turkey Primary tools available to support a project evaluation: • Terms of reference for the evaluation mission; • The project’s Logframe matrix - to help assess what has been achieved against plan; • Programme planning documents; • Monitoring reports (internal and external); • IPA Interim Evaluation Reports; • IPA Monitoring reports • Minutes of SMCs and other organisations involved in monitoring Monitoring & Evaluation, 12-16 Dec 2011

  28. Key documents produced This project is co-financed by the European Union and the Republic of Turkey • Terms of Reference for the evaluation mission, • Final Evaluation Mission Report • should mirror the structure of the main evaluation criteria • taking into account • the nature of the project, • the stage at which the evaluation is carried out, • the users for whom the report is prepared. Monitoring & Evaluation, 12-16 Dec 2011

  29. Evaluation Criteria This project is co-financed by the European Union and the Republic of Turkey Relevance • @ significance; pertinence • To what extent do we do the right things ? Does it make sense? • ~ to the identified problems or real needs to be addressed • The appropriateness of project objectives to • problems that it was supposed to address • physical and policy environment within which it operated • The extent to which the objectives of a programme/project are consistent with beneficiaries’ needs, country needs, global priorities. Monitoring & Evaluation, 12-16 Dec 2011

  30. Evaluation Criteria This project is co-financed by the European Union and the Republic of Turkey • Relevance (cont’d) • Relates primarily to programme design • extent to which correctly address the identified problems or real needs. (Needs to be kept under review throughout the life of the project in case changes occur) • logic and completeness of the project planning process • internal logic and coherence of the project design • at two points in time: when the project was designed, and at the time of the evaluation. • Focus • identification of real problems or needs • correct beneficiaries Monitoring & Evaluation, 12-16 Dec 2011

  31. Evaluation Criteria This project is co-financed by the European Union and the Republic of Turkey • Efficiency • How well the various activities transformed the available resources into the intended results (outputs) • quantity, quality and timeliness. • value-for-money: similar at lower cost in the same time • Focus: the quality of day-to-day management, i.e: • budget • personnel, information, property, etc; • risk and change • relations/co-ordination with actors • time (deadlines) Monitoring & Evaluation, 12-16 Dec 2011

  32. Evaluation Criteria This project is co-financed by the European Union and the Republic of Turkey • Effectiveness • Contribution made by results to achievement of the Project Purpose • Benefits accruing to target groups • Did we achieve our objectives? To what extent did our outputs produce the desired outcomes? • By how far the intended beneficiaries really benefited from the products or services it made available? • Focus: • whether the planned benefits have been delivered and received; • appropriateness of the indicators of benefit used; • how unplanned results may have affected the benefits received; Monitoring & Evaluation, 12-16 Dec 2011

  33. Evaluation Criteria This project is co-financed by the European Union and the Republic of Turkey Impact • Effect of the project on its wider environment, and its contribution to the wider policy or sector objectives (as summarised in the project’s Overall Objective). • Outcome: relationship between the project’s purpose and overall objectives • Benefits received by the target beneficiaries had a wider overall effect on larger group • Focus: • to what extent the planned overall objectives have been achieved, • how far that was directly due to the project; • unplanned impacts’ effects on overall impact; • Ex: higher standard of living, increased food security, democratic rule of law Monitoring & Evaluation, 12-16 Dec 2011

  34. Evaluation Criteria This project is co-financed by the European Union and the Republic of Turkey Sustainability • Continuation of benefits, effects generated by a programme/project after its termination. • Likelihood of benefits produced to continue to flow after external funding has ended, • Focus: • Ownership • Policy support and the responsibility of the beneficiary institutions • Institutional capacity, commitment • Economic and financial factors, socio-cultural aspects, gender equality • Technology, environmental aspects • Financial sustainability • Ex: a micro-credit scheme that is generating enough money for the scheme to operate, cover risks and develop its staff Monitoring & Evaluation, 12-16 Dec 2011

  35. A Quick reflection This project is co-financed by the European Union and the Republic of Turkey • Appropriateness is not about money. It is about what was achieved against what was needed. • Effectiveness is not about money. It is about how much it was achieved. • Efficiency is about how much was achieved and how much money was spent. • Sustainability is not about money. It is about the embedment of what was achieved in the given context (natural, societal, economic…) Monitoring & Evaluation, 12-16 Dec 2011

  36. Decision options This project is co-financed by the European Union and the Republic of Turkey • Look out: • one may be very efficient but not effective! • or very effective but not relevant! • to do things right is fine, but to do the right things is for sure far more important! Monitoring & Evaluation, 12-16 Dec 2011

  37. Decision options This project is co-financed by the European Union and the Republic of Turkey • Continue project implementation as planned • Re-orient/restructure the project • To stop the project (mid-term evaluation); • Modify the design of future projects or programmes in light of lessons learned (ex-post evaluation) • Modify policies, co-operation strategies, and subsequent programming or identification exercises (sector, thematic or cross-sector evaluations) Monitoring & Evaluation, 12-16 Dec 2011

  38. Performance Ratings This project is co-financed by the European Union and the Republic of Turkey • Performance rating in two steps: • Numerical rating on each criteria for each component of the sector from –2 to +2: • Conversion of numerical overall rating into a qualitative rating. • Qualitative ratings • « Highly satisfactory » The programmes reviewed are expected to achieve or exceed all the objectives set during their lifetime; most numerical ratings in the range of 1 to +2 • « Satisfactory » The programmes reviewed are expected to largely achieve the objectives; most numerical ratings in the range of 0 to 1 • « Unsatisfactory » The programmes reviewed are not expected to achieve most of the objectives; most numerical ratings in the range of –1 to 0 • « Highly unsatisfactory » The programmes reviewed are not expected to achieve any of the objectives; most numerical ratings in the range of -1 to –2 Monitoring & Evaluation, 12-16 Dec 2011

  39. Quality Assessment of IE Reports This project is co-financed by the European Union and the Republic of Turkey • Criteria – Rate – Remarks • A. General: Does the report design appropriately fit the evaluation? • B. Sound sectoral overview: to what extent are the sector composition and priorities appropriately described? • C1. Sound analysis: to what extent are the facts and data adequately analysed? • C2. Sound analysis: to what extent have the indicators of achievement been adequately considered and have they been used properly where was possible? • D. Robust Findings in the implementation evaluation: do the Conclusions follow logically from, and are they justified by, the data described in the Sectoral Overview? Monitoring & Evaluation, 12-16 Dec 2011

  40. Quality Assessment of IE Reports This project is co-financed by the European Union and the Republic of Turkey • E. Impartial conclusions: does the report provide value judgements based upon the five evaluation criteria of relevance, efficiency, effectiveness, sustainability and impact? • F. Useful recommendations: to what extent do the Recommendations follow logically from the Conclusions? Are they operational? Do they clearly address the monitoring sector and are they targeted to the different stakeholders? • G. The executive summary: to what extent is the executive summary a synthesis and does it meet the requirements set out in the template guidelines? • H. Annexes: to what extent do the Annexes support the analysis in the main text? • I. Overall style, structure and text design: within the template’s framework, to what extent is the text easily readable and accessible to the various categories of readers so that the main messages are easily detectable? Monitoring & Evaluation, 12-16 Dec 2011

  41. Quality Assessment of IE Reports This project is co-financed by the European Union and the Republic of Turkey Taking into account the contextual constraints on the evaluation, the overall quality rating of the report is considered to be: Monitoring & Evaluation, 12-16 Dec 2011

  42. Why Results Are Ignored? This project is co-financed by the European Union and the Republic of Turkey • Implications may not be presented in a way that nonresearchers can understand. • Results sometimes contradict deeply held beliefs. • Vested interest in a program. Monitoring & Evaluation, 12-16 Dec 2011

  43. This project is co-financed by the European Union and the Republic of Turkey SECTION III.MONITORING • EU Regulations on monitoring • Monitoring system and its evaluation Monitoring & Evaluation, 12-16 Dec 2011

  44. MONITORING This project is co-financed by the European Union and the Republic of Turkey • @ follow up , controlling • A continuing observation • uses systematic collection of relevant and selected data • to provide management and the main stakeholders of a programme/project with indications • of the extent of progress and achievement of objectives • of process and impact. Monitoring & Evaluation, 12-16 Dec 2011

  45. COM REGULATION 718/2007implementing 1085/2006 This project is co-financed by the European Union and the Republic of Turkey • Title II Common rules for implementation/Chapter VEvaluation and monitoring • Article 58 Monitoring in the case of decentralised management (IPA Monitoring Committee) • BC in agreement with NIPAC and COM • to ensure coherence and coordination in the implementation of the IPA components • meeting the objectives set out in the financing agreements and MIIFP • based on the elements given by the SMCs Monitoring & Evaluation, 12-16 Dec 2011

  46. COM REGULATION 718/2007implementing 1085/2006 This project is co-financed by the European Union and the Republic of Turkey IPA Monitoring Committee – proposals • to COM, NIPAC and NAO for: • any actions to ensure the coherence and • crosscomponent corrective measures needed to ensure the achievement • to SMCs for: • decisions on any corrective measures to ensure the achievements of programme Monitoring & Evaluation, 12-16 Dec 2011

  47. COM REGULATION 718/2007implementing 1085/2006 This project is co-financed by the European Union and the Republic of Turkey IPA Monitoring Committee – organisation • Internal rules of procedure • in compliance with a monitoring committee mandate established by the COM • within the institutional, legal and financial framework of the BC • Members: Commission, NIPAC, NAO, OS, strategic coordinator • COM and NIPAC co-chair • Meetings at least once a year • Intermediate meetings on a thematic basis. Monitoring & Evaluation, 12-16 Dec 2011

  48. COM REGULATION 718/2007implementing 1085/2006 This project is co-financed by the European Union and the Republic of Turkey Article 59 Sectoral monitoring committees in the case of decentralised management • Assist IPA Monitoring Committee • Attached to programmes or components. • May include representatives of civil society, • Objective: • effectiveness and quality of the implementation • in accordance with the related sectoral and/or financing agreements. • Proposals • to the COM and NIPAC, cc. NAO • for decisions on any corrective measures to ensure the achievements of programme objectives Monitoring & Evaluation, 12-16 Dec 2011

  49. COM REGULATION 718/2007implementing 1085/2006 This project is co-financed by the European Union and the Republic of Turkey Sectoral monitoring committee - reports • to IPA monitoring committee on • progress • by priority axis/ measures or operations; • results achieved, financial implementation indicators • any aspects of the functioning of the management and control systems raised by the audit authority, NAO or the competent accrediting officer Monitoring & Evaluation, 12-16 Dec 2011

  50. COM REGULATION 718/2007implementing 1085/2006 This project is co-financed by the European Union and the Republic of Turkey Article 61 Annual and final reports on implementation • Sectoral annual report and sectoral final report by OS • Sectoral annual report: financial year • Sectoral final report: whole period of implementation • SMC examination  to be sent to NIPAC, NAO and COM Monitoring & Evaluation, 12-16 Dec 2011