INTRODUCTION

Mandate for Monitoring and Evaluation
Over the past three decades, mechanisms for monitoring and evaluation within the context of the UNDP decentralized programme management system have continued to evolve. The tripartite review structure, which involves the participation of the programme country Government, a United Nations executing agency and UNDP, has served as the primary mechanism for monitoring projects since it was established in 1973. Evaluation was given impetus with the creation of the Central Evaluation Office (CEO) within the policy bureau in 1983.

In 1992, the CEO was strengthened to undertake policy and thematic evaluations. It became the Office of Evaluation and Strategic Planning (OESP) in 1994 as part of the Administrator's "Initiatives for Change". Drawing on the experience of UNDP, OESP reassessed the function and structure of evaluation and planning activities as a foundation for guiding programme direction, contributing to the growth of a learning culture within the organization, and supporting the accountability of the Administrator.1 With the launching of the change process that will lead to UNDP 2001, the evaluation function will be housed in an independent unit reporting directly to the Administrator.

Purpose of the Handbook
Results-oriented Monitoring and Evaluation: A Handbook for Programme Managers was written to support the improvement of the quality of monitoring and evaluation activities in UNDP in order to maximize the substantive results of the organization's interventions and ensure the quality of those results.

Specifically, the handbook aims to:

• focus on the essential elements of results-oriented monitoring and evaluation that respond to the requirements of UNDP and the programme countries for decision-making, accountability and learning;

• strengthen the role of the monitoring function within UNDP;

• present a more integrated approach to monitoring and evaluation given the interactive relationship between the two functions;

• reinforce the linkages between monitoring and evaluation and other stages of the programme or project cycle, thereby improving the use of feedback to improve programming;

• feature new dimensions of, or methodological innovations in, monitoring and evaluation within the context of participatory development, the country cooperation framework (CCF), the successor programming arrangements, the programme approach, and performance management;

• introduce simplified, streamlined and harmonized procedures in line with the objectives outlined in General Assembly resolutions 47/199 and 50/120.

Innovative Features of the Handbook
The handbook differs significantly from the chapter on monitoring and evaluation contained in the PPM (1988). Its most important characteristics are:

• a results-oriented framework for monitoring and evaluation combined with practical guidance for the development of selected instruments;

• guidance on the assessment of results within a clearly defined framework or context, e.g., national programme framework, UNDP mission and areas of thematic focus;

• greater attention to monitoring than in the past to stress that both monitoring and evaluation are important management functions aimed at ensuring the quality of UNDP interventions and supporting decision-making, accountability, learning and capacity development;

• emphasis on the interactive and mutually supportive relationship between monitoring and evaluation;

• closer linkage between monitoring and evaluation and other stages of the programme/project cycle;

• a proactive approach that stresses monitoring and evaluation planning at the country and programme/project levels;

• new criteria for evaluation coverage: scale of resources, duration of technical cooperation, nature of programmes and projects;

• a holistic approach: assessment of the interrelated dimensions of relevance, performance and success through monitoring and evaluation;

• guidance on the selection of performance indicators;

• systematic and simplified reporting requirements;

• an improved feedback process;

• new mechanisms for stakeholder participation.

Target Users and Coverage
The present volume has been prepared for the following users:

• Internally, for various levels of management within UNDP, i.e., technical advisers, programme and project managers, Senior Management and the Administrator, where full recognition of the importance of monitoring and evaluation is crucial to improving the overall quality of UNDP programmes; and

• Externally, for other United Nations agencies and development partners, Governments and NGOs of programme countries, independent evaluators engaged by UNDP and members of the academic community.

It is divided into two parts, each designed with particular users in mind.

Part one presents the conceptual and operational framework for monitoring and evaluation. It is intended to promote a greater understanding of key concepts among UNDP staff, programme and project managers from Governments and NGOs of programme countries and from United Nations specialized agencies, development partners in the international community, independent evaluators and members of academia.

Part two offers UNDP managers guidance on the application of the monitoring and evaluation concepts presented in part one. Instructions are provided on how to prepare selected monitoring and evaluation instruments:

1. indicators for monitoring and evaluating programmes and projects;

2. annual programme/project report;

3. country-level evaluation plan;

4. terms of reference (TOR) for a subregional programme evaluation, including suggested outlines for both the TOR and the evaluation report;

5. an outline for a mid-term evaluation report on a capacity development project.

A combination of actual and hypothetical cases has been used to prepare these sample instruments. It should be noted, however, that the models are presented only to provide guidance, not as blueprints to be followed rigidly. The application of monitoring and evaluation concepts will always vary according to the programme or project context.

1UNDP, OESP, UNDP Evaluation Findings in 1994, 1995 (OESP series: Lessons Learned).