MONITORING EVALUATION AND IMPACT ASSESMENT

1 MONITORING EVALUATION AND IMPACT ASSESMENT 2013/2014 - 2018/2019 Policy & Implementation Framework for the Human Settlements Sector12013/2014 - 2018/2019 MONITORING EVALUATION AND IMPACT ASSESMENT Policy and Implementation Framework for the Human Settlements SectorISBN: 978-0-621-43834-5 RP: 240/20152013/2014 - 2018/2019 MONITORING EVALUATION AND IMPACT ASSESMENT Policy and Implementation Framework for the Human Settlements Sector2 ContentsACRONYMS 7 Foreword by the Director-General 8 Executive Summary 10 Section A: MONITORING , EVALUATION and IMPACT Assessment (MEIA) Policy for the Human Settlements Sector 141. Introduction 142. Mandate underpinning the formulation of the MEIA Policy and Implementation Framework for the Human Settlements Sector 14 The Housing Act, 1997 (Act 107 of 1997) 15 The Government-Wide MONITORING and EVALUATION System 18 The Comprehensive Plan for the Development of Sustainable Human Settlements 22 State of the Nation Address 23 T h e national Environmental Management Act (NEMA) (Act 107 of 1998) 243.

2 Intent of the MEIA Policy and Implementation Guidelines 254. Scope of the application of the MEIA Policy for the Human Settlements Sector 255. Understanding the terminology 26 MONITORING : 26 EVALUATION : 27 IMPACT assessment: 286. Principles that underpin the MEIA Policy for the Human Settlements Sector 297. Criteria for MONITORING , EVALUATION and IMPACT assessment 308. MONITORING , EVALUATION and IMPACT Assessment Approaches 31 Performance MONITORING 31 Results-Based MONITORING and EVALUATION 32 Rapid Appraisals 33 Case Studies 33 Diagnostic 34 Design 343 Implementation 34 IMPACT 34 Economic 35 EVALUATION synthesis 359. MONITORING and EVALUATION Tools, Indicators, Methodologies and Processes 35 MONITORING and EVALUATION Implementation Plans 36 Indicators and targets 36 Project Implementation Reviews 37 Data collection 38 Data verification 39 Data analysis 39 Reporting 39 Feedback and Dissemination 40 Standardised systems 4010.

3 Storing and warehousing of Information 40 Section B: Implementation Framework for the MONITORING , EVALUATION and IMPACT Assessment Policy for the Human Settlements Sector 411. The M&E cycle 412. The Logic Model 423. MONITORING approaches 43 Performance MONITORING 43 Results-Based MONITORING and EVALUATION 44 Rapid Appraisals 44 Case Studies 454. MONITORING and EVALUATION Tools, Indicators, Methodologies and Processes 46 MONITORING and EVALUATION Implementation Plans 46 Indicators 475. Setting Baselines and Targets 54 Baselines 54 Targets 542013/2014 - 2018/2019 MONITORING EVALUATION AND IMPACT ASSESMENT Policy and Implementation Framework for the Human Settlements Sector46. Data collection, verification, compilation and analysis 567. Reporting 588. Feedback and Dissemination 58 Feedback 58 Dissemination of results 599. Results-Based EVALUATION Systems 60 EVALUATION Approach and types 60 64 Planned evaluations 6510.

4 The storing and warehousing of information 67 Rationalising an updated MONITORING , EVALUATION and IMPACT Assessment (MEIA) system 67 MONITORING , EVALUATION and IMPACT Assessment (MEIA) system 689 Establishment of a Repository for MEIA Indicator Data 69 Validity and reliability of data 7211. Production of reports 74 Standard reports 74 Critical documents to be prepared by provincial Human Settlements Departments 75 Ad Hoc Information Needs 7512. Role of Stakeholders 77 national Department of Human Settlements 77 provincial Departments of Human Settlements 78 Municipalities 80 Housing Support Institutions 8013. Measuring achievement of goals 81 Section C: MONITORING , EVALUATION and IMPACT Assessment (MEIA) programme and Project Specific Tools for the Human Settlements Sector 821. Human Settlements programmes, and projects 822. Medium Term Strategic Framework (MTSF) 2014-2019 83 national Development Plan (NDP) 2030 Vision and Trajectory 835 Constraints and strategic approach 85 NDP output priorities to achieve the Vision 86 Management of Implementation 86 MTSF sub-outcomes and component actions, responsible ministry, indicators and targets 87 IMPACT indicators 1003.

5 Multi-year Development Plan Guidelines 102 Content and format 103 Reporting indicators for the provinces and the metropolitan municipalities on the MTSF 1124. HSDG and provincial -specific programmes 116 Background on the HSDG 116 Rationale 117 Reporting indicators and targets 120 Performance EVALUATION plan and reporting timeframes 1235. Urban Settlements Development Grant (USDG) 127 Background on the USDG 127 Rationale 129 Reporting indicators and targets 131 Performance EVALUATION plan and reporting timeframes 1376. Municipal Human Settlements Capacity Grant (MHSCG) 140 Background on the MHSCG 140 Rationale 141 Reporting indicators and targets 142 Performance EVALUATION plan and reporting timeframes 142 MONITORING and EVALUATION process 1447. Human settlements in mining towns 145 Background of human settlements in mining towns 145 Rationale 145 Reporting indicators and targets 1478. Catalytic projects 147 Background 147 Rationale 1482013/2014 - 2018/2019 MONITORING EVALUATION AND IMPACT ASSESMENT Policy and Implementation Framework for the Human Settlements Sector6 Framework and guidelines/criteria for assessing the catalytic projects 149 Right investment: Criteria for prioritisation of human settlements 150 Basis for spatial prioritisation 151 Right investment: Catalytic initiatives 151 Creating collaborative investment 152 Using priority housing development areas (PHDAs) to implement catalytic projects 152 Reporting indicators and targets 1539.

6 Equitable share 154 Background 154 Rationale 155 Reporting indicators and targets 157 Performance EVALUATION plan and reporting timeframes 15810. Environmental Implementation Plans (EIPs) 159 Background 159 Rationale of the Environmental Implementation Plans 159 Recommendations for environmental management and related indicators 161 Reporting indicators and targets 163 Performance EVALUATION plan and reporting time frames 16511. Institutions 165 Background on institutions 165 Rationale 168 Reporting indicators and targets 170 Performance EVALUATION plan 188 Reporting timeframes 188 Glossary of Terms 190 References 195 Annexure 1: The goal and objective map 196 Annexure 2: The indicator protocol 199 Annexure 3: MONITORING and EVALUATION Implementation Plan 202 Annexure 4.

7 Proposed schedule for provincial project level MONITORING 2047 ACRONYMS BEE Black Economic EmpowermentBNG The Breaking New Ground Strategy (The Comprehensive Plan for the Development of Sustainable Human Settlements)CoGTa Department of Cooperative Governance and Traditional AffairsCEC Committee for Environmental CoordinationDHS Department of Human SettlementsDoRA Division of Revenue ActDPME Department of Performance MONITORING and EvaluationDWA Department of Water AffairsEPWP Expanded Public Works ProgrammeGWMES Government-wide MONITORING and EVALUATION SystemHDA Housing Development AgencyHSS Housing Subsidy Scheme/SystemHUIMS Housing and Urbanisation Information Management SystemIDP Integrated Development PlanIGR Intergovernmental relationsIHP The Inclusionary Housing ProgrammeM&E MONITORING and evaluationMEIA MONITORING EVALUATION and IMPACT AssessmentMER MONITORING , EVALUATION and ReportingMFMA Municipal Finance Management ActMIG Municipal Infrastructure GrantMinMec Ministry and Members of Executive Council MSA The Municipal Structures Act of 1998 MTEF Medium-term expenditure frameworkNDoHS The national Department of Human SettlementsNEPF national EVALUATION Policy FrameworkNHBRC national Home Builders Registration CouncilNHFC national Housing Finance CorporationNHSPPPs national Human Settlements Policy, Programmes and Projects NURCHA national Urban Reconstruction and Housing AgencyNUSP national Upgrading Support ProgrammePFMA The Public Finance Management Act, (Act No.)

8 1 of 1999)PHP People s Housing ProcessRBM Results Based ManagementRHIG Rural Households Infrastructure GrantRHLF Rural Housing Loan FundSASQAF South African Statistics Agency Quality Assurance FrameworkSDBIP Service Delivery and Budget Implementation PlanSHF Social Housing Foundation SMME Small Medium and Micro EnterprisesUN United NationsUSDG Urban Settlements Development GrantWSNIS Water Services national Information System2013/2014 - 2018/2019 MONITORING EVALUATION AND IMPACT ASSESMENT Policy and Implementation Framework for the Human Settlements Sector8 Foreword by the Director-General The Housing Act, (Act 107 of 1997), places the responsi-bility on the Minister of Human Settlements, through the three spheres of Government, to monitor and produce meaningful, qualitative and quantitative information on the implementation, progress, outcomes and IMPACT of national Human Settlements policies , Programmes and projects as well as the Human Settlements Sector as a whole.

9 As part of this mandate, the national Department of Human Settlements has a MONITORING , EVALUATION and IMPACT Assessment (MEIA) Policy and Implementation Framework for the Human Settlements MEIA Policy and Implementation Framework sets the basis for MONITORING and EVALUATION in the sector; es-tablish principles to guide the sector to monitor and evaluate national Human Settlements policies , Programmes and projects, and provide MONITORING and EVALUATION Human Settlements practitioners with the tools to undertake their tasks. The MEIA Policy and Implementation Framework apply to all the Departments of Human Settlements on national , provincial , metropolitan and local government municipalities levels as well as Human Settlements MEIA Policy and Implementation Framework outlines all MONITORING and EVALUATION activities, documents the key M & E questions to be addressed, what indicators will be collected, how often, from where and why they will be collected; baselines, targets and assumptions; how they are going to be analysed or interpreted, and how often 9reports will be developed and distributed on these indicators.

10 It also includes a set of core indicators contained in the Indicator Protocol that will measure the various levels of results in the Human Settlements Sector based on the requirements of the Comprehensive Plan. This enables the responsible actors to ensure that there is accountability for resources spent as well as for ensuring that learning occurs within the organization. The national Department of Human Settlements acknowledges the efforts of provincial Human Settlements Depart-ments, Metropolitan Municipalities as well as Human Settlements Institutions in participating in the implementation of the MEIA Policy and Implementation Framework. Through implementation of the MEIA Policy and Implemen-tation Framework, we believe that credibility and public confidence will be promoted by reporting on the results of programmes. It will also assist managers to identify weaknesses and take action to correct the latter, thereby sup-porting a development agenda that is shifting towards greater accountability in the creation of sustainable human Thabane Zulu Director-General: national Department of Human Settlements Date: 23 December 20142013/2014 - 2018/2019 MONITORING EVALUATION AND IMPACT ASSESMENT Policy and Implementation Framework for the Human Settlements Sector10 Executive SummaryDue to the introduction of the Urban Settlements Development Grant (USDG), Outcome 8, and the incorporation of the Sanitation programme to the Department, the 2010 MEIA policy and implementation framework is reviewed to ensure alignment to the new developments within the Department as well as to ensure that each reporting require-ment does not lead to the development of new, overlapping, duplicate, and parallel data collection and MONITORING systems being created.