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]

IEU does not directly participate in or undertake Independent Project Evaluations. Its role is one of quality assurance and support throughout the process. IEU clears:

(i)                  the TOR;

(ii)                 the evaluation methodology;

(iii)                the selection of evaluation consultants;

(iv)                the draft/final reports, before posting on UNODC website.

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

The Project Manager is supported by IEU who provides guidelines, formats, assistance and advice on evaluation procedures and practices. 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.

2. Participatory Self-Evaluation

Participatory Self-Evaluations are initiated, carried out and submitted by Project Managers in ProFi, based on UNODC guidelines and template. They have to be conducted in a participatory manner (either through a workshop or a stakeholders' response [13].

External consultants can be hired to facilitate the workshop

IEU reserves the right to carry out quality oversight of the information provided. IEU clears the final Self-Evaluation report before posting on ProFi.

Please see Chapter V for further information on PSE.

3. In-depth Evaluation

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

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:

It is the Project Manager's responsibility to:

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:

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.

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

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