Monitoring and Evaluation (M&E) Plan Template



Consolidation of the Electoral Process in Zambia

Support to the Electoral Cycle 2015 - 2017

INCEPTION REPORT ANNEX 3

Monitoring and Evaluation Plan

10 May 2016

Contents

Acronyms ii

1 Introduction 1

1.1 Purpose of this plan 1

1.2 Project summary 1

2 Logical Framework 3

3 Indicators 16

4 Roles & Responsibilities 29

5 Data Flow 30

6 Data Management 30

6.1 Storage 30

6.2 Analysis 31

6.3 Privacy 31

Appendices 32

Focus Group Discussion Guide 32

< Data Entry Form> 32

Assessment Questionnaire 32

Acronyms

|ACC |Anti Corruption Commission |

|AFIS |Automated Fingerprint Identification System |

|AU |African Union |

|BRIDGE |Building Resources in Democracy, Governance and Elections |

|COMESA |Community of Eastern and Southern Africa |

|CSO |Civil Society Organization |

|DNRPC |Department of National Registration, Passports and Citizenships |

|EC |European Commission |

|ECZ |Electoral Commission of Zambia |

|EIMS |Electoral Information Management System |

|EISA |Electoral Institute for the Sustainability of Democracy in Africa |

|EMB |Electoral Management Body |

|EU |European Union |

|ICCPR |International Covenant on Civil and Political Rights |

|ICT |Information & Communication Technology |

|IDEA |International Institute for Democracy and Electoral Assistance |

|JTF |Joint Task Force |

|NDI |National Democratic Institute for International Affairs |

|MMD |Movement for Multiparty Democracy |

|NGO |Non-Governmental Organization |

|NRC |National Registration Card |

|PF |Patriotic Front |

|SC |Steering Committee |

|SADC |Southern African Development Community |

|TCDZC |Technical Committee Drafting the Zambian Constitution |

|ToT |Training of Trainers |

|UNDP |United Nations Development Programme |

|UNDPA |United Nations Department of Political Affairs |

|UPND |United Party for National Development |

|ZCID |Zambian Centre for Inter-party Dialogue |

|ZAPD |Zambia Agency for People with Disabilities |

Introduction

1 Purpose of this plan

This monitoring and evaluation plan is meant to guide the UNDP and the Project Donors through the project implementation process. The plan is thus meant for the internal tool to measure the progress of the project towards its intended goal and objective and to also inform the Project Executive Board through the Technical committee. The Technical Committee is made up of representatives of the UNDP, ECZ and the donors, DFID, the EU and the Ireland. The Technical Committee meets every two months.

2 Project summary

This project aims to consolidate the gains of the Strengthening the Electoral Process in Zambia and all previous support over the past decade. The outcomes, outputs and activities described herein are in response to, and result of detailed discussions and technical iterations with the Electoral Commission of Zambia (ECZ) and other national stakeholders. The Project design was guided by the desk review conducted by the United Nations Electoral Assistance Division (UN EAD) of the Department of Political Affairs (DPA), and informed by key EOM reports including the SADC 2015 report, the EU EOM report of the 2011 general elections, the DFID “Programmatic and Management Options for Consideration” as well as the lessons learned and evaluations of the UNDP managed “Strengthening the Electoral Process in Zambia” programme contained in the Terminal Evaluation of the Support to the Electoral Cycle Management Project (2009-2012).

The project will provide targeted support to ECZ, reflecting the progress made in building the capacity of ECZ and consolidating the gains of previous support programmes. Specifically, the project will provide support for ECZ and electoral processes in four areas: i) support for ECZ decentralization programme at the provincial level; ii) support towards enhancing public confidence in the election results management process (collating, tallying and results transmission processes); iii) support to ECZ’s dispute resolution processes including re-defining and strengthening the modalities for the use of alternative dispute resolution mechanisms in resolving elections related disputes; iv) provide support to the wider electoral environment and key electoral stakeholders (ia, Media, CSOs and conflict prevention and law enforcement entities) that would further enhance the quality of the electoral processes and reinforce the credibility of the process to political parties and the electorate.

|Title |Consolidation of the Electoral Process in Zambia: Support to the Electoral Cycle 2015 – 2017 |

|Starting Date |February 4, 2016 |

|Duration |Two Years |

|Partners |UNDP, European Union, DFID, Ireland and ECZ |

|Target Area |Democracy, Electoral Assistance and governance |

|Beneficiaries |Electoral Commission of Zambia (ECZ), Citizens of Zambia |

|Cost |US$ 9,970,150.68 |

|Funding Source |European Union, DFID, Ireland, UNDP |

|Goal |Improved state and society relations, deepened democracy and accelerated and sustained developed |

Logical Framework

| |PROJECT SUMMARY |INDICATORS |MEANS OF VERIFICATION |RISKS / ASSUMPTIONS |

|Goal |Improved state and society relations, deepened |Zambia position in the Mo-Ibrahim Index on |Mo-Ibrahim Index Reports |Failure of the M0-Imbrahim foundation to|

| |democracy and accelerated and sustained developed |Governance Participation |African Union Reports |publish |

| | |Mo-Ibrahim Index score for Zambia on Human | | |

| | |Rights | | |

|Objective |ECZ has conducted a cost effective election that |Average cost of elections per registered |ECZ Reports | |

| |commands public confidence |voter during elections |National Budgets | |

| | | |Election Observer Reports | |

|Outcome 1 |Enhanced institutional and functional efficiency |Public perception of the ECZ |ECZ Reports |The ECZ is adequately funded by the |

| |of the ECZ to conduct quality and cost effective | |Election Observer Reports |Government and other stakeholders |

| |elections |Quality of the 2016 electoral processes and |Media reports |throughout the electoral cycle |

| | |outcomes |Public survey reports | |

|Output 1.1 |Full preparation for the establishment of |Existence of standard operating procedures |ECZ Reports and Records |Government’s willingness to finance full|

| |Provincial Electoral Offices achieved |for institutional and administrative |Training Workshop Reports |staff compliments to provincial levels |

| | |arrangements and IT support up to provincial |Project Progress Reports | |

| | |offices; | | |

| | |Number of ECZ staff trained on the | | |

| | |decentralization process to provincial | | |

| | |levels. | | |

|Output 1.2 |Electoral Information Management System (EIMS) |Existence of a secure electoral information |ECZ Reports and Records |IT/electricity issues affect the |

| |strengthened |management and results transmission system |Training Workshop Reports |accuracy and timeliness of vote tallying|

| | |with upgraded software; |Project Progress Reports | |

| | |Number of people from ECZ trained on the new | | |

| | |Electoral Information Management and Results | | |

| | |Transmission System | | |

|Output 1.3 |Increased effectiveness of voter education |Existence of a revised and results focused |ECZ Reports and Records |CSOs and Other Non-State Actor |

| |campaign |voter education strategy and material that |Training Workshop Reports |organisations are adequately funded for |

| | |takes into account lessons of the 2011 |Media organisation reports |voters education programmes in the 2016 |

| | |General Elections and 2015 presidential |Project Progress Reports |electoral cycle |

| | |election | | |

|Output 1.4 |Output 1.4: Integrity of voters register |Number of (estimated) cases of deceased |ECZ Reports and Records | |

| |strengthened |people in the Voters Register |Training Workshop Reports | |

| | | |DRPC Reports | |

| | | |Project Progress Reports | |

|Output 1.5 |ECZ capacity to communicate strengthened |Existence of a revised communication strategy|ECZ Reports and Records |Media organisations and organisations |

| | |for the ECZ which takes into account lessons |Training Workshop Reports |representing people with special needs |

| | |of communication strategies for previous |ECZ and Stakeholders Outreach Reports |adequately funded to communicate |

| | |electoral cycles; |Project Progress Reports |elections messages to targeted audiences|

| | | | |in 2016 |

| | |Number of organisations representing people | | |

| | |with special needs working with the ECZ to | | |

| | |contribute towards implementing its | | |

| | |communication strategy | | |

|Output 1.6 |A viable Special Voting System is defined |Disaggregated data of Certificate of |ECZ Reports and Records |ECZ facing budgetary constraints |

| | |Authority to Votes issued by ECZ; |Training Workshop Reports |affecting decentralisation and special |

| | | |ECZ and Stakeholders Outreach Reports |voting ambitions |

| | |Number of people with special needs that have|Project Progress Reports | |

| | |participated in the development of awareness | | |

| | |and advocacy programmes for a special voting | | |

| | |system | | |

|Output 1.7 |A new strategic plan for ECZ, 2016-2020 |Strategic Plan that follows and electoral |ECZ Reports and Records |External environmental prevailing |

| | |cycle approach |Project Progress Reports |factors adequately remain unchanged |

|Outcome 2: |Improved integrity of outcome of elections |Number and outcome of parliamentary petitions|ECZ Reports |There is enough political will and |

| | |filed in the law courts |Election Observer Mission/organisation |desire for free and credible electoral |

| | | |reports |outcome |

| | | |Judiciary Reports and Records | |

| | | |National Assembly of Zambia Reports | |

|Output 2.1 |Increased transparency of vote counting, tallying |Existence of an updated vote |ECZ Reports and Records | |

| |and transmission of results |counting/recounting and tallying rules, |Election Observer Mission/organisation | |

| | |regulations and an effective results |reports | |

| | |transmission system with the capacity for |Project Progress Reports | |

| | |early warning and audit trail of polling | | |

| | |station activities; | | |

|Output 2.2 |Framework for Domestic Observation established |Framework for sustainable domestic |ECZ Reports and Records |Collective agreements for the |

| | |observation in place to support |Election Observer Mission/organisation |funding/administrative arrangements by |

| | |CSOs/stakeholders to conduct domestic |reports |CSOs are adhered to |

| | |election observation with predominantly |Project Progress Reports | |

| | |locally mobilised resources | | |

|Outcome 3 |Political Party management and planning capacities|Percentage of parties represented in NAZ with|ECZ Reports |Resistance to the role of women in |

| |and women leadership in political parties enhanced|gender mainstreaming strategies and a |Election Observer Mission/organisation |politics |

| | |comprehensive plans for electoral |reports |All political parties are |

| | |observations before 2016 elections; |National Assembly of Zambia Reports |well-resourced, in human, financial and |

| | | | |technical areas. |

|Output 3.1 |Managerial capacity of political parties |Number of political party representatives |ECZ Reports |Resistance of political parties to |

| |strengthened (including enhancing confidence in |trained on management of political parties |Election Observer Mission/organisation |changing their party practices |

| |the electoral process) |with project support |reports | |

| | | |Political Party Reports and Records | |

| | | |ZCID Reports | |

|Output 3.2 |Leadership skills of women developed |Percentage of women candidates nominated for |ECZ Reports |Cultural consideration will not play a |

| | |presidential, parliamentary and local |Election Observer Mission/organisation |key role |

| | |government elections |reports | |

| | | |Judiciary Reports and Records | |

| | | |National Assembly of Zambia Reports | |

|Output 3.3 |Capacity of political party agents strengthened |Number of political parties that have |ECZ Reports and Records | |

| | |developed and implemented plans for |Election Observer Mission/organisation | |

| | |intra-party coordination and monitoring of |reports | |

| | |election day activities |Project Progress Reports | |

|Outcome 4 |Institutional effectiveness of Early Warning, |Number of electoral disputes resolved |ECZ Reports and Records |No follow through from the law |

| |incident mapping, and Alternative Dispute |Percentage of electoral disputes resolved |Election Observer Mission/organisation |enforcement or judicial instances of the|

| |Resolution mechanisms |Number of disputes resolved by Conflict |reports |country on abuses |

| | |Management Committees that are tried in the |Conflict Management Committee Reports | |

| | |Courts of Law |Zambia Police Reports and Records | |

| | |Percentage of managed cases of physical | | |

| | |disturbances | | |

|Output 4.1 |The system of Electoral Dispute Resolution is |Number of Master trainers trained in |ECZ Reports and Records |Enough political will and trust by |

| |significantly improved |specialized conflict mediation skills |Election Observer Mission/organisation |stakeholders in the system |

| | | |reports | |

| | | |Conflict Management Committee Reports | |

|Output 4.2 |Prevention and mitigation of election-related |Number of electoral disputes and conflicts |ECZ Reports and Records |Existence of a general desire for peace |

| |conflict is improved |resolved by conflict management committees |Election Observer Mission/organisation | |

| | |without being referred to courts |reports | |

| | | |Conflict Management Committee Reports | |

|Output 4.3 |Types and frequency of electoral disputes |Existence of accountability framework for |ECZ Reports |Political parties and candidates will |

| |tabulated |conflict management and dispute resolution |Election Observer Mission/organisation |use laydown complaint mechanisms |

| | |committees; |reports | |

| | |Information collected, collated and analyzed |National Assembly of Zambia Reports | |

| | |by the ECZ on electoral conflicts referred to| | |

| | |the conflict management committees | | |

|Outcome 5 |Enhancing Media’s credibility in the electoral |Quality of media coverage of the electoral |Media Monitoring Reports |The majority of media house are Public |

| |process |processes including reporting and coverage of|ECZ Reports and Records |that demand for balanced coverage and |

| | |political campaigns. |Election Observer Reports |categorically want information on media |

| | | | |regulation in the electoral environment |

| | |Percentage of public that demand sanctioning | | |

| | |powers of the media where published | | |

| | |information abrogates the Electoral Code of | | |

| | |Conduct | | |

|Output 5.1 |The independent role of national media in the |Percentage of share of coverage of political |Media Monitoring Reports |Existence of neutral and professional |

| |electoral process is improved |actors from the ruling and major opposition |ECZ Reports and Records |media |

| | |parties by 14 media houses including ZNBC, |Election Observer Reports | |

| | |Muvi TV and online media; |Conflict Management Committee Reports | |

| | | |Project Progress Reports | |

| | |Percentage of media reports that demonstrate | | |

| | |research and adequately manage public | | |

| | |expectations | | |

|Output 5.2 |In-depth and proactive analysis of the electoral |Number of media organisations that conduct |Media Monitoring Reports | |

| |process covered by the Media |in-depth analysis of media coverage in the |ECZ Reports and Records | |

| | |electoral process |Election Observer Reports | |

| | | |Conflict Management Committee Reports | |

| | | |Project Progress Reports | |

|Output 5.3 |Increased public knowledge of electoral regulatory|Number of media and other stakeholder |Media Monitoring Reports | |

| |environment, including media regulatory |organisations conducting awareness programmes|ECZ Reports and Records | |

| |environment |on the electoral regulatory environment and |Election Observer Reports | |

| | |the media regulatory environment |Conflict Management Committee Reports | |

| | | |Project Progress Reports | |

| | |Media surveys | | |

| | | | | |

|Activity 1.1.1 |Develop SOPs for provincial offices developed and |IT Equipment for provincial offices procured |Project activity Reports | |

| |support for IT and administration arrangements | |ECZ progress reports | |

| | | |Project M&E reports | |

|Activity 1.1.2 |Develop and implement a Training curriculum and |Training curriculum and certification |Project activity (training) Reports | |

| |certification framework for Provincial Electoral |framework developed |ECZ progress reports | |

| |Officers | |Project M&E reports | |

|Activity 1.1.3 |Development of 2016 Provincial electoral work | |Project activity Reports | |

| |plans |Project activity Reports |ECZ progress reports | |

| | |ECZ progress reports |Project M&E reports | |

| | |Project M&E reports | | |

|Activity 1.2.1 |Finalisation of software development |Contract for software development issued |Project activity Reports | |

| | | |ECZ progress reports | |

| | | |Project M&E reports | |

|Activity 1.2.2 |Develop and implement a change management strategy|Consultation process for the change |Project activity (voter education) Reports | |

| | |management strategy completed |ECZ progress reports | |

| | | |Project M&E reports | |

|Activity 1.2.3 |Testing of system security arrangements |Plans for testing security systems developed |Project activity (voter education) Reports | |

| | | |ECZ progress reports | |

| | | |Project M&E reports | |

|Activity 1.2.4 |Develop training manuals and training of trainers |training manuals in English and 7 local |Project activity (voter education) Reports | |

| | |languages |ECZ progress reports | |

| | | |Project M&E reports | |

|Activity 1.3.1 |Develop an M& E framework for voter education |Voter education expert recruited |Project activity (voter education) Reports | |

| | | |ECZ progress reports | |

| | | |Project M&E reports | |

|Activity 1.3.2 |Reviewing voter education materials and strategy | | | |

|Activity 1.3.3 |Training of trainers of trainers |Training institution contracted and training |Project activity (training) Reports | |

| | |plan developed and # of staff trained |ECZ progress reports | |

| | | |Media reports | |

|Activity 1.4.1 |Implementation and testing of the previously | |Project activity Reports | |

| |designed interoperability protocols between ECZ | |ECZ progress reports | |

| |Voter Registration System and DNRPC | |Project M&E reports | |

|Activity 1.4.2 |Launch and implementation of voter registration | |Project activity Reports | |

| |campaign | |ECZ progress reports | |

| | | |Project M&E reports | |

|Activity 1.5.1 |Revision of ECZ’s communication strategy |Recruitment of Media and Communications |Project activity Reports | |

| | |Expert |ECZ progress reports | |

| | | |Project M&E reports | |

|Activity 1.5.2 |Develop and implement a partnership framework with|# of joint programmes with ZAPD conducted |Project activity Reports | |

| |ZAPD for targeting special groups | |ECZ progress reports | |

| | | |ZAPD activity reports | |

| | | |Media reports | |

|Activity 1.6.1 |Conduct an assessment and improve implementation |New/updated Special Voting provisions |Project activity Reports | |

| |of the existing Special Voting provisions |implemented |ECZ progress reports | |

| | | |ZAPD activity reports | |

| | | |Media reports | |

| | | |EOMs reports | |

|Activity 1.6.2 |Tangible advocacy efforts on special voting |# of VE programmes targeting Special Voters |Project activity Reports | |

| |provisions | |ECZ progress reports | |

| | | |ZAPD activity reports | |

| | | |Media reports | |

| | | |EOMs reports | |

|Activity 1.7.1 |Conduct Lessons Learned workshops and possible |# of lessons learned workshops (National, |Project activity (workshop) Reports | |

| |analysis of the modified Constitution |Provincial….?) |ECZ progress reports | |

| | | |Media reports | |

|Activity 1.7.2 |Develop a roadmap to inform the implementation of |Comprehensive roadmap for the implementation |Project activity (workshop) Reports | |

| |the new legal provisions |of the new legal provisions developed |ECZ progress reports | |

| | | |Media reports | |

|Activity 1.7.3 |Review current risk and issues monitoring system |Risk and issues monitoring system review |Project activity Reports | |

| |as well as the monitoring capacities and integrate|guidelines developed |ECZ progress reports | |

| |them in the new strategic plan | | | |

|Activity 2.1.1 |Reviewing of Election regulation regarding |Votes counting/recounting procedures reviewed|Project activity (workshop) Reports | |

| |counting/recounting of votes |and recommendations made for changes where |ECZ progress reports | |

| | |necessary of votes |Media reports | |

|Activity 2.1.2 |Development of an error early warning system and |Expertise identified |Project activity Reports | |

| |audit trail of polling station activities | |ECZ progress reports | |

| | | |Media reports | |

|Activity 2.1.3 |Review of legal framework |# of Review consultations/workshops on the |Project activity Reports | |

| | |legal framework for elections conducted |ECZ progress reports | |

|Activity 2.2.1 |Stakeholder consultations on the development of |# consultations both national and provincial |Project activity Reports | |

| |the domestic observation framework |level conducted |ECZ progress reports | |

|Activity 2.2.2 |Develop Partnership framework for domestic |A partnership framework agreed with DEO |Project activity Reports | |

| |observation |Groups |ECZ progress reports | |

| | | |Media reports | |

|Activity 2.2.3 |Development of training materials |# materials (VE, ToT, Counting/recounting |Project activity (training) Reports | |

| | |procedures |ECZ progress reports | |

|Activity 3.1.1 |Develop a capacity building toolkit for political |Capacity needs assessment of political |Project activity Reports | |

| |parties |parties conducted |ECZ progress reports | |

|Activity 3.1.2 |Training of party officials |# trainings conducted for # of party |Project activity (training) Reports | |

| | |officials (targeting 35% women, 30% youth) |ECZ progress reports | |

| | | |Media reports | |

|Activity 3.2.1 |Conduct Communication training for women |# of training workshops held for # of women |Project activity (workshop) Reports | |

| | | |ECZ progress reports | |

| | | |Media reports | |

|Activity 3.2.2 |conduct training for …on Political programme |# of training workshops conducted for # of |Project activity (workshop) Reports | |

| |formulation |……(targeting 50% women…..) |ECZ progress reports | |

| | | |Media reports | |

|Activity 3.2.3 |Convene round table dialogue on developing a |# of roundtables conducted |Project activity (workshop) Reports | |

| |Political party plan for gender equality | |ECZ progress reports | |

| |established | |Media reports | |

|Activity 3.3.1 |Trainers of trainers trained |# Trainers trained (targeting 50% women and |Training evaluation reports | |

| | |youth) |ECZ activity reports | |

|Activity 3.3.2 |Development of training materials |Training materials |Project/M&E reports | |

| | | |ECZ activity reports | |

|Activity 3.3.3 |Develop of tool kits for election day intra-party |ToR for Election day intra-party coordination|Project/M&E reports | |

| |coordination of election day activities |by political parties |ECZ activity reports | |

|Activity 4.1.1 |Conduct an assessment of the current electoral |Review of current electoral dispute |Project activity (workshop) Reports | |

| |dispute resolution mechanisms |resolution mechanisms completed |ECZ progress reports | |

| | | |Media reports | |

|Activity 4.1.2 |Develop and implement a new Conflict Mediation |Expert identified |Project activity (workshop) Reports | |

| |Toolkit | |ECZ progress reports | |

|Activity 4.1.3 |Evaluation of the effectiveness of the training |Evaluation tools developed |Project activity (workshop) Reports | |

| | | |ECZ progress reports | |

| | | |Media reports | |

|Activity 4.2.1 |Provision of specialised training on conflict |Training plan and modules developed |Project activity (workshop) Reports | |

| |management to key stakeholders | |ECZ progress reports | |

| | | |Media reports | |

|Activity 4.2.2 |Evaluation of the effectiveness of the training |Evaluation plan developed |Project activity (training evaluation) | |

| | | |Reports | |

| | | |ECZ progress reports | |

| | | |Project M&E reports | |

|Activity 4.2.3 |Consultations and role of Election Officers and |# of consultations/training workshops for the|Project activity (training evaluation) | |

| |Police Officers defined |police |Reports | |

| | | |ECZ progress reports | |

| | | |Project M&E reports | |

|Activity 4.3.1 |Strengthening of Accountability Framework for |Training of members of the Dispute Resolution|Project activity (training evaluation) | |

| |dispute resolution committees |Committees |Reports | |

| | | |ECZ progress reports | |

| | | |Project M&E reports | |

|Activity 5.1.2 |Stakeholder/ECZ reviews of electoral conflict |# of consultations/dialogue workshops held |Project activity Reports | |

| |determined including the role of the judiciary in | |ECZ progress reports | |

| |adjudicating electoral related disputes | |Project M&E reports | |

Indicators[1]

|Indicator |% Improvement in Zambia’s score in the Mo-Ibrahim Index on Governance Participation |

|Definition |Mo-Ibrahim index score for Zambia in governance and human rights and EOMs assessment of the quality of |

| |democracy in Zambia |

|Purpose |To assess whether governance, democracy and human rights are improving in Zambia. This would provide |

| |evidence on whether the support to the reading component of the program is effective. |

|Baseline |Average score: 69.5 (Mo-Ibrahim index, 2014) |

|Target |Average score: 72 (Mo-Ibrahim index, 2017) |

|Data Collection |M&E Expert will conduct a desk review of all credible governance and democracy rating institutions to |

| |ascertain an average score or the position of Zambia in these ratings. But particular attention would |

| |be given to the Mo-Ibrahim rating of Zambia in 2017. Analysis of EOM assessments and recommendations |

| |will also be taken into consideration in determining Zambia’s improvements in the governance and |

| |democracy building sectors. |

|Tool |Desk review and in-depth interview guide |

|Frequency |Annual, first quarter of 2017 or as and when the Mo-Ibrahim index is published |

|Responsible |M&E Expert |

|Reporting |The assessment reports of EOM reports will be analysed and a report submitted to the Project Manager |

| |one month after polling day. The 2017 Mo-Ibrahim index report on governance and human rights will also |

| |be analysed to see how Zambia has performed on governance and human rights. The Project Manager will |

| |then present a summary of recommendations for future engagements to the UNDP, the Donors and the ECZ in|

| |the last quarter of 2016 (capturing EOM Reports) and the last quarter of 2017 (for Mo-Ibrahim index. |

| |These recommendations will be used to inform further engagements on democracy, governance and human |

| |rights with Zambia. |

|Quality Control |The M&E Expert and the Project Manager would work with UNDP Governance Advisor in analysing the |

| |parameters of the ratings and EOM reports to identify convergence and develop recommendations for |

| |further engagements |

|Indicator |Average cost of elections per registered voter during elections |

|Definition |The number of voters who cast their vote on Election Day over the sum of all the cost for the elections |

| |including voter education, voter information, training, operations and logistics … |

|Purpose |Assess if the project is making impact on reducing the cost of holding elections in Zambia. This would |

| |provide evidence on whether the voter education component of the project is effective |

|Baseline |US$14.52 M (2011); US$11.09 M (2015)[2] |

|Target |US$12.89 M (2016) |

|Data Collection |The polling staff will record the number of voters and their gender as the come to cast their ballots. |

| |These data will be collated and analysed nationally to determine the percentage voter turnout for the |

| |2017 elections. |

|Tool |ECZ Expenditure records |

|Frequency |Once after the 2016 Elections, last quarter of 2016 |

|Responsible |ECZ Accounts focal person |

|Reporting |The Project Manager will obtain these figures (Turnout and the Sum total of the cost for the elections) |

| |and would anlyse the data to confirm its veracity before sharing it with the Project Executive Board. |

|Quality Control |The Project Manager with liaise with UNDP accounts in verifying and analysisng the data. |

| |

|Indicator |Percentage of registered voters voting in elections (Voter turnout) |

|Definition |Sum of all registered voters who cast their vote on Election Day |

|Purpose |Assess if the projects implementation has led to an increase in the percentage of registered voters |

| |voting on Election Day (Voter turnout). This would provide evidence on whether the voter education |

| |component of the project is effective |

|Baseline |53.98% (2011) |

|Target |60% disaggregated by gender (2016) |

|Data Collection |The polling staff will record the number of voters and their gender as the come to cast their ballots. |

| |These data will be collated and analysed nationally to determine the percentage voter turnout for the |

| |2017 elections. |

|Tool |ECZ Record of voters form |

|Frequency |Once after the 2016 Elections, fourth quarter of 2016 |

|Responsible |Voter Education Expert with support from the M&E Expert |

|Reporting |The voter turnout figures will be collated and analyse and a report submitted to the Project Manager. |

| |The Project Manager will then produce and a summary report on the findings outlining progress and |

| |challenges and way forward to the project executive Board (UNDP, Donors, ECZ). This will be used to |

| |evaluate the effectiveness of the VE component of the project and to make recommendations for future |

| |engagements. |

|Quality Control |All polling staff will be briefed on the importance of the data and how to accurately complete the form.|

| |To verify the accuracy of the figures random comparisms would be between EOM figures and polling station|

| |level figures. |

| |

|Indicator |Percentage of spoiled ballot papers in general elections |

|Definition |The sum totals of all ballots that have been detached from the booklet but due to one error or another |

| |have been excluded from the valid ballots. |

|Purpose |Assess the effectiveness of the voter education component. |

|Baseline |1.43% (2011) |

|Target |1.2% (2016) |

|Data Collection |The polling staff will record the number of spoiled ballots. These data will be collated and analysed |

| |nationally to determine the national percentage of spoiled ballots for the 2017 elections. |

|Tool |Record of spoiled ballot forms |

|Frequency |Once, after the 2016 elections (last quarter of 2016) |

|Responsible |Voter Education Expert |

|Reporting |The Voter Education Expert will compile the national tally based on information obtain from the record |

| |of spoiled ballots forms and cross check with data from EOMs and present her findings to the Project |

| |Manager. |

|Quality Control |All polling staff will be briefed on the importance of the data and how to accurately complete the form.|

| |To verify the accuracy of the figures random comparisms would be between EOM figures and polling station|

| |level figures. |

| |

|Indicator |Existence of an institutional, administrative and organisational framework for decentralization of ECZ |

| |to provincial levels |

|Definition |Functioning decentralised ECZ provincial offices with administrative and institutional structures |

|Purpose |Assess whether the decentralisation process of the ECZ has been effective |

|Baseline |No (2015) |

|Target |Yes (2017) |

|Data Collection |Information will be collected mainly through interviews and provincial visits by the M&E Expert, Project|

| |Manager. The data will also be used as a capacity building needs assessment for the capacity building of|

| |the staff and equipping the provincial offices |

|Tool |Assessment questionnaire |

|Frequency |Once, last quarter of 2017 |

|Responsible |M&E Expert |

|Reporting |Quarterly reports and updates will be submitted to the Project Manager to inform management decisions |

| |and support to the ECZ |

|Quality Control |Data obtained from the administered questionnaires will be triangulated with data from selected |

| |field/provincial visits |

| |

|Indicator |# of Disaggregated data of Certificates of Authority to Vote issued by ECZ |

|Definition |Degree of inclusivity and engagement of people with disabilities in the electoral process |

|Purpose |Assess the degree of inclusivity and engagement of people with disabilities in the electoral process as |

| |a result of interventions supported by the project |

|Baseline |No (2011) |

|Target |Yes by category of stakeholders (2017) |

|Data Collection |Data will be collected from ECZ’s reports and reports form the ZAPD |

|Tool |Excel database of issued certificate of authorities disaggregated by gender; assessment questionnaire |

|Frequency |Once, fourth quarter of 2016 |

|Responsible |M&E Expert |

|Reporting |M&E Expert will compile a report on the effectiveness of the issuance of the certificates of authorities|

| |based on gender |

|Quality Control |Data obtained will be verified with data obtain from randomly selected individuals who are in the list |

| |of people having received the certificate of authority. |

| |

|Indicator |# of ECZ staff trained on and equipped with SOPs procedures for institutional and administrative |

| |arrangements and IT support to run provincial offices |

|Definition |Capacity of ECZ staff to effectively manage provincial offices enhanced |

|Purpose |Assess the capacity and logistical and IT functionality of provincial offices so as to be better placed |

| |to advise and support the ECZ to ensure provincial offices and staff are equipped to effectively run the|

| |provincial offices |

|Baseline |No provincial offices in (2014) |

|Target |# of provincial offices with 50 staff trained to manage these offices in 2017 |

|Data Collection |Information will be collected mainly through progress reviews from the ECZ and provincial visits by the |

| |M&E Expert, Project Manager. The data will also be used as a capacity building needs assessment for the |

| |capacity building of the staff and equipping the provincial offices |

|Tool |Minutes of progress review report; Field/provincial assessment questionnaire |

|Frequency |Quarterly, starting in 2017 |

|Responsible |M&E Expert |

|Reporting |Quarterly reports will be produced and submitted to the Project Manager. The Project will then |

| |synthesise these reports and share with the Project Executive Board |

|Quality Control |Reports on trainings and other administrative support to the provincial offices will be enhanced by data|

| |from field visits to randomly selected provincial offices |

| |

|Indicator |Existence of a secure electoral information management and results transmission system with upgraded |

| |software |

|Definition |A secure electronic results management and transmission system installed and functional |

|Purpose |Assess the functionality of the electronic results management and transmission system. The data will |

| |guide and inform the ECZ on areas of the electronic transmission and require attention |

|Baseline |No electronic results management and transmission in 2014: An initial system has been developed and |

| |tested through by-elections |

|Target |A functioning electronic transmission and results management system install/ upgraded and 50 staff |

| |trained on how to use the system for the 2016 elections and beyond |

|Data Collection |Information will be collected through ECZ progress reports and updates. These will be supplemented by |

| |field/provincial visits |

|Tool |Assessment questionnaire |

|Frequency |Quarterly |

|Responsible |M&E Expert |

|Reporting |Detail reports will be produced and submitted to the Project Manager |

|Quality Control |Data and information obtained will be shared with UNDP IT for their advise |

| |

|Indicator |Existence of a revised and results focused voter education strategy and material that takes into account|

| |lessons of the 2011 General Elections and 2015 presidential election |

|Definition |An effective voter education strategy developed and implemented for the 2016 informed by lessons learned|

| |from the 2011 and 2015 elections |

|Purpose |Assess the effectiveness and systematisation of voter education strategy for use by the ECZ and other |

| |stakeholders |

|Baseline |None in the past |

|Target |Yes, |

|Data Collection |Information will be collected through questionnaires with CSOs and other stakeholders. Data and |

| |information will be analysed and used to inform project’s further engagements in voter education |

|Tool |Assessment questionnaire |

|Frequency |Quarterly |

|Responsible |Voter Education Expert |

|Reporting |Comprehensive reports will be prepared and submitted to the Project Manager. The PM will then prepare |

| |summary reports identifying key issues that may require management attention |

|Quality Control |Data obtained from the administered questionnaires will be triangulated with data from selected |

| |field/provincial visits |

| |

|Indicator |Number of names of ineligible voters (names of deceased, minors etc) names removed from the register |

|Definition |Voter registered audited to ensure names of deceased and other ineligible quality voters register in |

| |place for the 2016 elections |

|Purpose |Assess the effectiveness of project in assisting the ECZ and other stakeholders in cleaning the voters |

| |register including the removal of deceased persons from the register |

|Baseline | |

|Target |10% margin of error |

|Data Collection |Data will be collected from the ECZ IT and |

|Tool |Vote audit assessment questionnaire/interview guide/vote audit report |

|Frequency |Quarterly |

|Responsible |Voter Education Expert |

|Reporting |In-depth reports will be compile and submitted by the Voter Education Expert to the project Manager |

|Quality Control |Data will be compared with existing register |

| |

|Indicator |Existence of a revised communication strategy for the ECZ which takes into account lessons of |

| |communication strategies for previous electoral cycles |

|Definition |An effective communication strategy developed and implemented for the 2016 informed by lessons learned |

| |from the 2011 and 2015 elections |

|Purpose |Assess the effectiveness and systematisation of ECZ communication and public outreach activities with |

| |key stakeholders including public parties, CSOs, Donors and other special interest groups. |

|Baseline |None in the past |

|Target |Yes, |

|Data Collection |Information will be collected through questionnaires with CSOs and other stakeholders. |

|Tool |Assessment questionnaire |

|Frequency |Quarterly |

|Responsible |Voter Education Expert |

|Reporting |Comprehensive reports will be prepared and submitted to the Project Manager. The PM will then prepare |

| |summary reports identifying key issues that may require management attention |

|Quality Control |Data obtained from the administered questionnaires will be triangulated with data from selected |

| |field/provincial visits |

| |

|Indicator |Number of organisations representing people with special needs working with the ECZ to contribute |

| |towards implementing its communication strategy |

|Definition |Number of people with special needs that have participated in the development of awareness and advocacy |

| |programmes for a special voting system |

|Purpose |Assess the effectiveness of the ECZ’s outreach activities with special voters to enhance their active |

| |participation in the electoral processes |

|Baseline |No data on the engagement of special needs people in the electoral process in the past |

|Target |5 special needs centred organisations/groups participating in the development of advocacy and voter |

| |educations materials targeting people with special needs for the 2016 election and about 50 people with |

| |special needs participating in the ECZ advocacy work |

|Data Collection |Data will be collected through ECZ reports, activity reports of, and interviews with special needs |

| |centred organisations |

|Tool |Assessment questionnaire |

|Frequency |Quarterly |

|Responsible |Voter Education Expert |

|Reporting |Comprehensive reports will be submitted to the Project Manager |

|Quality Control |Secondary data obtained from the ECZ and CSOs will be analysed against primary data from interviews and |

| |interactions with organisation and individuals with special needs involved in the advocacy process of |

| |the ECZ |

| |

|Indicator |Strategic Plan that follows and electoral cycle approach |

|Definition |A new 4 year strategic plan (2016 – 2020) developed to support the democracy building and governance in |

| |Zambia post 2016 elections |

|Purpose |Assess the development of the strategic plan and to advise the Project Manager on how best to support |

| |the ECZ to complete the development process of the new strategic plan |

|Baseline |Yes (2012-2015 Strategic Plan implemented) |

|Target |Yes (2016-2020 approved Strategic Plan that takes into consideration new developments and future |

| |aspirations of the Commission) |

|Data Collection |Data will be will be obtained through ECZ progress/update reports |

|Tool |Interview guide |

|Frequency |Quarterly updates until the strategic plan is completed and ready |

|Responsible |Project Manager |

|Reporting |Progress/update reports will be submitted to the project executive board |

|Quality Control | |

| |

|Indicator |Quality electoral process and outcome |

|Definition |Improved quality of the electoral processes and electoral outcomes |

|Purpose |Assess the whether the project is contributing to the quality of electoral processes and outcomes in |

| |Zambia |

|Baseline |74 petitions submitted at the law courts (out of 150 elected parliamentary seats) |

|Target |50 (new/updated counting/recounting rules, regulations and procedures) |

|Data Collection |Information will be collected through court registry and political parties and candidates |

|Tool |Assessment questionnaire |

|Frequency |Monthly updates |

|Responsible |Dispute Resolution Expert |

|Reporting |Dispute Resolution Expert will submit weekly update/reports to the Project Manager |

|Quality Control |Data will be collected and analysed from multiple sources including the ECZ, Political Parties, EOM |

| |Reports and CSOs |

| |

|Indicator |Framework for sustainable domestic observation in place |

|Definition |A comprehensive framework to support sustainable domestic election observation |

|Purpose |Assess the effectiveness of the project in building the capacity and supporting domestic election |

| |observation groups for sustainable long term observation activities |

|Baseline |None exist (only periodic and loose arrangement exist among civil society during a major election) |

|Target |Framework developed and 2 civil society organisations conducting election observer missions with |

| |predominantly locally mobilised resources |

|Data Collection |Data will be collected from ECZ progress reports and CSOs activity reports |

|Tool |Assessment questionnaire |

|Frequency |Monthly |

|Responsible |M&E Expert |

|Reporting |Reports on capacity building needs, trainings will be compiled and submitted to the Project Manager |

|Quality Control |Data will be collected and analysed from multiple sources including the ECZ, Political Parties, EOM |

| |Reports and CSOs |

| |

|Indicator |Percentage of parties represented in NAZ with comprehensive plans for deploying party agents six months |

| |before 2016 elections |

|Definition |Political parties have developed plans for the selection, training and deploying of party agents to |

| |polling stations on election day |

|Purpose |Assess how effective the project has been in contributing to the capacity building of political parties |

| |in the strategic planning in line with the electoral cycle |

|Baseline |There is no data/ or evidence of such strategic plans from political parties in the past |

|Target |80% of Parties in NAZ have strategic plans with the capacity to deploy 2 Party Agents each to all |

| |polling stations across the country (100% deployment in polling stations and tally centres in 2016) |

|Data Collection |Data will be obtained from the deployment plans of political parties and ECZ records |

|Tool |Polling station record forms |

|Frequency |Quarterly |

|Responsible |M&E Specialist |

|Reporting |M&E Specialist will submit a comprehensive report and updates on the preparation of political parties |

| |towards the elections. The reports will inform the Project Manager’s briefing of the Executive Board on |

| |further engagements on developing the capacity of political parties to become effective pillars of |

| |democracy building in Zambia |

|Quality Control |Data obtained from political parties will be crossed checked with the ECZ records and reports of EOM |

| |both domestic and international |

| |

|Indicator |Number of political party representatives benefiting from capacity building trainings on management of |

| |political parties, gender mainstreaming strategies |

|Definition |Political parties have the capacity to professionally manage political parties towards developing and |

| |implementing strategies for gender mainstreaming |

|Purpose |Assess the women in political parties development component of the project. The results will be used to |

| |develop strategies for the sustainable promotion of women in political parties |

|Baseline | |

|Target | |

|Data Collection |Political party reports, project progress report and meetings with political parties would serve as key |

| |data sources for measuring this indicator |

|Tool |Assess questionnaire and interview guide |

|Frequency |Quarterly |

|Responsible |M&E Specialist |

|Reporting |Reports for every training activity and an assessment report on how political parties are performing |

| |will be produced and submitted to the Project Manager. |

|Quality Control |Data will collected from training reports and interviews with political parties will be triangulated |

| |with other sources |

| |

|Indicator |Media professionalism in election reporting |

|Definition |Media reportage on the electoral processes govern by professional ethics and research |

|Purpose |Assess whether the media development component of the project is contributing to the professional |

| |development of the media/journalists in elections reporting and outreach |

|Baseline | |

|Target | |

|Data Collection |Media reports, outreach as published in both the print and electronic media platforms |

|Tool |Media assessment questionnaire |

|Frequency |Monthly |

|Responsible |Media and Communication Expert |

|Reporting |Media monitoring reports will be compiled and submitted to the Project Manager |

|Quality Control |Data obtained from political parties will be crossed checked with the ECZ records and reports of EOM |

| |both domestic and international |

Roles & Responsibilities

|Role |Responsibilities/ Deliverables |

|Project Manager |Provide support, advice and direction to project staff and report to the project board deviations that may |

| |be necessary during the project implementation. |

|M&E Specialist |Carryout at least 10 field missions a year to monitor the implementation of project activities; conduct |

| |three Focus Group Discussions with voter education facilitators, CSOs; organise and report on 1 lessons |

| |learnt workshop at the national; submit quarterly project reports to Project Manager; Compiled and submit |

| |annual progress report (March 2017 and march 2018); Coordinate project final evaluation in consultations |

| |with donors/partners |

|Media and Communications |Conduct at least five field consultations missions, Produce monthly media monitoring reports, media outreach|

|Expert |activities on voter education and voter information and submit recommendations on further media engagements |

| |and capacity building to the PMU |

|Dispute Resolution Expert |Undertake at least five field missions, Submit monthly reports on ECZ election dispute resolution related |

| |activities, compile and submit final recommendations to the PMU |

|Voter Education Expert |Undertake at least five field missions to assess the quality of voter education training and quality of |

| |voter education campaigns, Compile and submit monthly reports on voter education, submit final report |

| |outlining recommendations for voter education |

The PMU will organise a midterm review of the project with partners and key stakeholders in the last quarter of 2016. This review will be to examine the project’s achievements to see if it is meeting its targets and objectives. The results of this midterm review will inform discussions on the areas of the project that donors and partners will like to evaluate in the final project evaluation.

As an evaluation is a photograph of the project impact at a point in time, each project quarterly report will include an evaluation annex referring to this plan and the information that has been collated. The quarterly reports will only be replace by either a mid-term, annual or final report and the evaluation report. The final report will see an extensive internal evaluation of the project using this M&E plan and will be done using project resources. Should an external evaluation be required, it will be undertaken in line with the PAGODA format and approach governing EU-international organisation contractual relations.

Data Flow

The Voter Education, Media and Communications and Dispute Resolution Experts would submit monthly reports to the Project Manager on activities conducted within their portfolios. Based on these reports and data from field visits, the M&E specialist would compile and submit quarterly on implementation of the project to the Project Manager. He will also compiled annual progress reports to be submitted to the project partners. The Project Manager will maintain an issue and risk logs and provide advise to the Project Board as and when it is necessary.

Data Management

1 Storage

Each of the project components will maintain an excel database to record data against set indicators. The M&E component will have a combine excel database on each of the indicators. Backed up for stored data will be created by UNDP archives. The project will also explore the possibilities of uploading the annual progress reports and end of project evaluation (abridged versions) unto the UNDP and partner websites for easy accessibility.

2 Analysis

Data analysis will be done mainly through the quarterly progress reviews with the ECZ using tools like excel.

3 Privacy

This M&E plan is only for internal project use only. Monthly and quarterly reports produced in this plan will be for internal project management purposes. But the annual project reports will be submitted to the project technical committees for their comments and the final report submitted to project partners. These annual reports will be shared other key stakeholders. The project will also share information on its activities and deliverables with stakeholders as and when such reports come in either through summary reports or through interviews.

Appendices

Focus Group Discussion Guide

See Annex 1

Data Entry Form

See Annex 2

Assessment Questionnaire

See Annex 3

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[1] Taking cognizance of the fact that a lot of work was done on determining the indicators for the various outputs I have not change much of the indicators/target except in a few where I thought the indicators do not really help in terms of measuring project outputs e.g. targets for Output 1.4, indicator 1 of outcome 4. However, M&E plan being a living documents the project can always revisit any of the indicators if necessary

[2] The 2015 Presidential Election only comprised of one polling exercise and was organized in 90 days while the 2011 General Elections comprised of three, Presidential, Parliamentary and Local Government Elections. 2016 Elections will be tripartite elections and include a referendum on the draft constitution.

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