Evaluation Handbook

II. F. Roles and Responsibilities


At the design stage of a programme or project, it is important to clarify the involvement of IEU, the role of the Project Manager, of the evaluation focal point, if any, and of the evaluation team, and the level of engagement expected from key stakeholders including the CLP. Also it should be clarified which Headquarters unit/section or Field Office will be closely involved in the process.

Please refer to the roles and responsibilities matrices in Chapter II Tools.

This doesn't preclude IEU Evaluation Manager from refining the roles and responsibilities at the beginning of the evaluation. The respective responsibilities should then be clearly spelled out in the evaluation ToR. Please refer to Chapter III, Section C for further information on the evaluation ToR.

1. Independent Project Evaluations

Independent Project Evaluations are initiated and managed by Project Managers, and conducted by independent external evaluator(s). Independent Project Evaluations must be based on UNODC evaluation guidelines and templates, as well as UNEG Norms and Standards [12].

The Project Manager is responsible for the entire evaluation process and the timelines of all evaluation deliverables. Where available, the Planning, Monitoring and Evaluation Focal Point, serves as facilitator to the Project Manager throughout the evaluation process.

It is the responsibility of the Project Manager's unit or section at Headquarters or Field Office in charge to draft the ToR, to organize the recruitment of the evaluation team, to make all relevant documentation available, to seek the participation of and liaise with relevant stakeholders in briefings of and discussions with the evaluation team, to interact with the team on the findings and recommendations and to support the logistics of the field mission.

IEU provides clearance of the finalized TOR, clears the inception report, assesses the finalized report and places the final evaluation report on the web site.

IEU provides a systematic quality assessment of Independent Evaluation reports based on pre-established criteria. The template is designed as a tool for quality oversight of project-level evaluations ( for further information please see Chapter IV, Section F).

  CLP roles and responsibilities are as follows:
-    Comment on ToR and refine evaluation questions, if needed.
- Propose evaluators, if willing to.
- Take note of evaluator(s) proposed and selected.
- Provide support and insights throughout the evaluation process, as applicable.
- Provide feedback on preliminary findings.
- Comment on draft report.
- Take note of the final report.
- Attend presentation of results (if possible).
- Agree on implementation of recommendations.

2. In-depth Evaluation

IEU manages and undertakes In-depth Evaluations. It is its to:

- comment on the ToR;
- select the evaluation team;
- make all relevant documentation available to the evaluation team;
- seek the participation of relevant Field Offices or Units and Sections at Headquarters in briefings of and discussions with the evaluation team;
- liaise with key stakeholders;
- interact with the team on the findings and recommendations;
- support the logistics of the field mission and;
- clear the final report.

IEU uses its own staff alongside external consultants or firms to undertake In-depth Evaluations.

IEU ensures that the relevant UNODC Headquarters units/sections and/or Field Offices that will use the findings of these In-depth Evaluations are involved throughout the whole evaluation process (through a Core Learning Partnership), and, specifically, at the different key stages:

- preparation of the Terms of Reference;
- selection of the evaluators;
- briefing of and interviews with the evaluation team holding a presentation of preliminary findings after the field missions and submission of comments on the draft evaluation report before finalization.

It is the Project Manager's responsibility to:

- draft the ToR;
- provide CVs for selection of the evaluation team;
- make all relevant documentation available;
- support the logistics of the field mission;
- comment on the draft report.

4. The Case of Joint Evaluation

Effective management structures and communication systems are essential for a Joint Evaluation to function effectively. The following suggestions are drawn from various sources in the evaluation field:

a) Agreeing on the Management Structure

The recommended structure is two tiered with a steering group that oversees the process and a smaller management group to ensure implementation goes smoothly.

The steering group will normally comprise a representative from each partner organization and government entity. The steering group will:

- meet at specific times to approve the ToR and the evaluation team;
- ensure oversight of the evaluation;,
- introduce balance in the final evaluation judgements;
- take responsibility for the use of results.

Depending on the scope of the joint evaluation, a management group composed of technical representatives from concerned organizations or government entities should be created. The management group generally appoints one agency or an individual as the Evaluation Manager to handle the task of recruiting and managing the evaluation team.

In a typical UNDAF evaluation, heads of agencies and key government officials may participate in the steering group, which provides overall guidance and direction to the process. Monitoring and Evaluation officers and technical officers in the management group are responsible for jointly drafting the ToR, managing the selection of evaluators and interacting with the evaluators on a regular basis. The Resident Coordinator's office or another UN organization may be appointed as an Evaluation Manager, who is responsible for the day-to-day management of the evaluation process and coordination amongst participating agencies.

b) Agreeing on the Division of Labour within the Management Group

The senior management of the programme should agree on the decision-making arrangements and the division of labour with other partners at the onset of the evaluation process. This involves determining who among the management group will take the leading role in each of the subsequent steps in the evaluation. A conflict resolution process should be determined to deal with any problems that may arise.


[12] Please see UNEG website: http://www.uneval.org/normsandstandards/index.jsp?doc_cat_source_id=4

[13] The stakeholders' response modality is a written response to the self-evaluation report drafted by the Project Manager.

The workshop modality allows stakeholders, along with the project team, to discuss face to face the self-evaluation report drafted by the Project Manager. The objective is to provide a common assessment against evaluation criteria. Please refer to Self-Evaluation guidelines and template in ProFi.


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Table of Contents
Chapter I: Defining Core Concepts

Chapter II: Planning an Evaluation at the Design Stage

Chapter II Tools:
Chapter III: Managing an Independent Project Evaluation
Chapter IV: Undertaking an In-depth Evaluation
Chapter V: Undertaking a Participatory Self-Evaluation
Chapter VI: Using the Evaluation
Annex I: Evaluation Glossary
Annex II: UNEG Norms
Annex III: UNEG Standards
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Chapter II: Planning an Evaluation at the Design Stage