Guidance note for Inception Reports - UN Women

Evaluation Guidelines Notes Series
No. 9 UN Women Evaluation Unit September 2010
Guidance note for Inception Reports
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Introduction
This guidance has two aims: (1) to assist Evaluation Teams in the preparation of the inception report for
evaluations; and (2) to assist Geographic, Thematic Sections and Sub-Regional Offices (SRO) in reviewing
the inception report prepared by the Evaluation Team.
What is the inception phase?
Inception meeting: Within a few weeks after the start of the evaluation work, and after a review of
basic documents complemented by a few interviews, the evaluation team defines its overall approach.
This approach is presented in an inception meeting with the evaluation manager and the reference
group members. Subjects to be discussed include: (1) Logical framework; (2) Evaluation questions, either
from the Terms of Reference (ToR) or proposed by the evaluation team; (3) Provisional methodological
design; and (4) Access to informants and to documents, and foreseeable difficulties.
The presentation is supported by a series of slides and by a commented list of evaluation questions.
Where relevant, the meeting may be completed by an email consultation.
Inception report: Based on the inception meeting and the preliminary desk review, the evaluation team
should develop an inception report. The inception report provides information on what has been done
to initiate the evaluation 1 and the action plan for the future. It includes the evaluation team’s
understanding of how the programme/project is supposed to work, including strategies, activities,
outputs and expected outcomes and their interrelationships. It also describes the conceptual framework
for the evaluation, and sets out in some detail the evaluation methodology, i.e. how each question will
be answered by way of data collection methods, data sources, sampling and indicators. The report also
contains a work plan, which indicates the phases of the evaluation with their key deliverables and
milestones.
The inception report is reviewed and approved by the evaluation manager, UN Women and the
evaluation reference group.
Who needs an inception report?
The evaluation team: The evaluation team should develop and inception report. The inception report
explains the expectations and objectives around the assignment. It provides detailed information based
on the inception meeting, including the background and the context of the programme/project and of
the evaluation, intended audiences and uses.
The evaluation manager: The evaluation manager receives an inception report which finalizes the
questions and describes the main lines of the methodological designs, including the indicators to be
used, the analysis strategy, and a detailed work plan for the next step.
1 For instance, progress of the documentary analysis and meetings.
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Stakeholders: The inception report explains what has been done to initiate the evaluation and the plan
for action. In addition, it explains the agreed expectations among the different stakeholders and process
of the evaluation and is a guide to each stakeholder’s specific roles.
What are the guiding principles?
The inception report should comply with United Nations Evaluation Group (UNEG) Norms and
Standards. 2 It should be coherent with the UN Women evaluation policy and strategy, and UN Women’s
Result Based Management principles should guide the development of inception report.
Since Human Rights (HR) and Gender Equality (GE) are central to the UN’s mandate and all of its work,
these elements also need to be included in evaluations. The key guiding principles in integrating HR and
GE in evaluation are: (1) Inclusion; (2) Participation; (3) Fair power relations; and (4) Mixed methods. 3
What should the inception report include?
The inception report should include 4 :
1. Introduction
Describe the programme being evaluated, drawing from relevant documentation, particularly
the desk review. 5 State the purpose of the programme clearly.
State the purpose, scope and use of the evaluation. 6 This includes the background of the
programme and a brief explanation of why the organization decided to conduct an evaluation
and how the evaluation results will be used and by whom. Include the complete set of
evaluation questions and elaborate on them as necessary. Make sure that HR and GE aspects
are well incorporated in the evaluation questions. 7 Any questions added during the contract
negotiations must be clearly indicated and any deleted questions must be mentioned with a
reason as to their exclusion.
2 Please see also UNEG Quality Checklist for Evaluation ToR and Inception Report:
http://www.uneval.org/normsandstandards/index.jsp this guidance is from the UNEG. For UN Women purposes,
the document is more helpful for developing a ToR.
3 Please see UNEG Handbook for Integrating Human Rights and Gender Equality Perspectives in Evaluations in the
UN System
4 You may use this section as a checklist for reviewing the quality of the inception report.
5 The desk review includes a collection of all documents on the project, reports, minutes, lectures, schedules and
proposals. The inception report draws on these sources.
6 This is usually set out in the ToR. If any modifications are made during the inception phase, it should be clearly
indicated.
7 Please see UNEG Handbook for Integrating Human Rights and Gender Equality Perspectives in Evaluations in the
UN System. The Handbook has “Framing the valuation question for the analysis”: (1) of design and planning; (2) in
implementation; and (3) of results at the outcome and impact level.
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2. Evaluation framework
2 Evaluation f
Discuss the overall approach of the evaluation, highlighting the type of the evaluation and the
conceptual model(s) adopted. This should incorporate an analysis of the intervention logic of the
programme. 8 The intervention’s theory of change includes attention to GE and HR.
Discuss risks and limitations that may undermine the reliability and validity of the evaluation
results. This can also include access to informants and to documents, and foreseeable difficulties.
3. Evaluation methodology
Review existing data. List interviews, questionnaires, field notes, scientific testing, surveys,
reviews of literature, or whatever data collection methods used during the programme planning,
implementation and monitoring, and use charts, graphs, and lists to effectively display data that
has already been collected, if any.
Specify indicators for each question that will be used as a guide in answering the question. List
additional indicators on GE and HR if they are not clearly articulated.
Discuss the data collection and data analysis methods that will be used for each question. State
the limitations for each method. Include the level of precision required for quantitative methods
and value scales or coding used for qualitative methods. Standard data collection methods for
UN Women evaluations are: surveys, questionnaires, interviews, focus groups, document review
and observation. Other new and innovative methods e.g. debates, photography, video records,
log diaries, rating scales, knowledge test, are also encouraged to use.
Pure or mixed methods design. 9 Determine whether the evaluation will be purely
qualitative, quantitative, or a mixed method design with both qualitative and
quantitative data. If the evaluation team chooses mixed methods, plan to synthesize
qualitative and quantitative information.
(For qualitative methods) Discuss qualitative design strategies and details. Describe
qualitative design strategies, data collection options, and analysis approaches.
Determine which qualitative evaluation applications are especially appropriate given the
evaluation’s purpose and priorities. 10
8 The Evaluation Unit (EU) has recently noticed some confusion with “Theory of Change” – in some cases, there is a
misunderstanding that a “Theory of Change” is supposed to be developed by the evaluation team rather than
developing it at the programme planning phase. When a “Theory of Change” does not exist, the evaluation team
could reconstruct it during the inception phase, but this is not standard practice.
9 Evaluating human rights and gender equality should use both quantitative and qualitative methods. The former
can give credible information about the extent of results for particular groups of stakeholders, while the latter can
assist in explaining how those results are achieved. (Please see UNEG Handbook for Integrating Human Rights and
Gender Equality Perspectives in Evaluations in the UN System)
10 For qualitative evaluation checklist, “Qualitative Evaluation Checklist” by Michael Quinn Patton is useful:
http://www.wmich.edu/evalctr/archive_checklists/qec.pdf
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(For quantitative methods) Discuss the sampling methods and details. Describe the
area and population to be represented, rationale for selection, mechanics of selection,
sample size, sample precision, confidence levels and limitations.
Participatory evaluation: 11 The following participatory processes need to be ensured:
(1) Inception phase – the evaluation team extends its initial interviews in order
to understand the expectations of beneficiaries and other outside stakeholders.
A stakeholder analysis is performed and discussed in the inception meeting. 12
(2) Work plan - the work plan involved a series of workshops or focus groups
allowing for beneficiaries to frame the date that are being gathered. 13
(3) Debriefing – the evaluation team may hold debriefing workshops involving
beneficiaries and other external stakeholders, with a view to strengthening the
quality of collected data, to interpreting data from the viewpoint of field-level
stakeholders, and to empowering civil society organizations locally. 14
Present the key data sources that will be selected to answer each of the evaluation questions
posed. Common sources include: programme stakeholders and partners, programme
documents, programme records, information systems/databases, etc. 15
Summarize the evaluation methodology in an evaluation planning matrix containing the
following column headings: evaluation question, indicator(s), data collection method(s), data
source, sampling and comments.
Evaluation Planning Matrix
Evaluation
Question
Indicator(s)
Data
Collection
Method(s)
Data
Source
Sampling
Comments
11 Evaluating human rights and gender equality should be participatory. Stakeholders of the intervention have a
right to say about what will be evaluated and how the evaluation will be done (please see UNEG Handbook for
Integrating Human Rights and Gender Equality Perspectives in Evaluations in the UN System)
12 Please see “what is inception phase?” on page 2.
13 UNEG Handbook for Integrating Human Rights and Gender Equality Perspectives in Evaluations in the UN System
has a table for Stakeholder Analysis.
14 Please see 4. Work plan on page 6.
15 The evaluation team should ensure that all relevant existing sources of data and research on women in the
country and in the region is identified and reviewed for possible use. These would typically include: the country
reports on the Convention on the Elimination of All forms of Discrimination Against Women (CEDAW) and the
observations of the CEDAW Committee, routine statistics generated by Ministries or Statistics Offices, specialpurposes
surveys such as Census and Demographic and Health Surveys (DHS), sectoral and macro-level analysis
and programme evaluations undertaken by the government or other partners, local level studies, legislative and
budget review etc.
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4. Work plan
Develop a timeline which shows the evaluation phases (data collection, data analysis and
reporting) with their key deliverables and milestones. Describe what has been done so far,
listing meetings, locations, attendees, and conclusions. A detailed work plan includes clear steps
and goals, including dates, places and personnel involved. For ease of reading, the working
schedule is often presented in a chart format.
Specify responsibilities for the evaluation team members, the evaluation manager and the
reference group.
5. Logistics
Discuss the logistics of carrying out the evaluation. Include specific assistance required from UN
Women such as providing arrangements for visiting field offices or sites.
6. Appendices
Append relevant draft data collection instruments, such as questionnaires and interview guides,
lists of evaluation team members, phone numbers, a glossary, or minutes of meetings.
Append the ToR.
Append CVs of the evaluation team members.
Good practice
The commissioning unit i.e. UN Women and the evaluation reference group should review and assure
the quality of the inception report. The inception report provides an opportunity to clarify the process,
resources requirements and dates for deliverables – at an early stage of the evaluation exercise and
ensure that the commissioning party and the evaluators have a common understanding on how the
evaluation will be conducted. 16
You may also consider having a stakeholder workshop on the draft inception report to encourage wider
participation in the evaluation process. This will help to: (1) bring the collaborating organizations and
partners together to agree on details regarding the scope of the evaluation, arrangements for
collaboration, and a work plan; and (2) discuss concept, methods, and approaches for the analyses.
This guidance note was prepared by Yumiko Kanemitsu in collaboration with UN Women (part of UN
Women) Evaluation Team. Reviewed in December, 2010.
16 Note that the inception phase is a negotiation phase as well. Some issues such as timelines and the degree of the
participatory approach need to be agreed among the stakeholders. It is also important to discuss the accessibility
of the information and the data, and alternative methods in the case the data is not available.
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References/Literatures consulted:
1. UNDP (2009): HANDBOOK ON PLANNING, MONITORING AND EVALUATING FOR DEVELOPMENT
RESULTS
2. UNESCO (2008): Guidelines for Inception Reports
3. UNEG (2010): Handbook for Integrating Human Rights and Gender Equality Perspectives in
Evaluations in the UN System
4. How to write an inception report: http://www.ehow.com/how_5835218_write-inceptionreport.html
5. Evaluation Checklists Project of the Evaluation Center of Western Michigan University:
http://www.wmich.edu/evalctr/checklists/evaluation-models/
6. EuropeAid, Project/Programme Evaluations Guidelines for the Manager:
http://ec.europa.eu/europeaid/evaluation/methodology/guidelines/gba_det_en.htm#02_01
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