annex 2 sample terms of reference - world...

Annex 2

Sample Terms of Reference

Example I: The Uganda Nutrition and EarlyChildhood Development Project

Terms of Reference for Consulting Firm to Assist inthe Project Evaluation

I. Background

The Government of Uganda has applied for a credit from theInternational Development Association toward the cost of a Nutritionand Early Childhood Project. The project focuses on improving the qual-ity of life of children under six years of age and building the capacity offamilies and communities to care for children. Specifically, the project willaim at achieving early child development through improving the nutri-tion, health, psychosocial, and cognitive status of children under six yearsof age in Uganda.

II. Rationale for Investing in Early ChildhoodDevelopment

Investing in early childhood development (ECD) has tangible benefits notonly for the children and parents but also for entire communities and thecountry. Rapid physical growth and mental development occur duringinfancy and early childhood; at two years of age, a child’s brain is nearlyfully grown. Cognitive abilities are also developed to a large extent byfour years of age. Adequate physical and mental growth and developmentduring early childhood enhance school readiness, improve school reten-tion, and contribute to human capital dependency. Children from disad-vantaged backgrounds can particularly benefit from early child care, thusbridging the gaps and inequalities associated with poverty.

Good health and nutrition are crucial, as is mental stimulation, if thechild is to develop secure conceptual structures in later life. The synergybetween nutrition, health, and mental stimulation is so crucial that tangi-ble positive effects on child growth and development can only beachieved through an integrated approach.

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III. Project Objectives and Strategies

The development objective of the project is to improve growth anddevelopment of children under six years of age in terms of nutrition,health, psychosocial, and cognitive aspects. The achievement of theseobjectives at the end of the five-year implementation period will be mea-sured by the following markers: (a) reduced prevalence of underweightpreschool children by one-third of the 1995 levels in the project districts;(b) reduced prevalence of stunting on entry into primary schools by one-fourth of the 1995 levels in the project districts, (c) improved children’spsychosocial and cognitive development, (d) reduced repetition anddropout rates at the lower primary school level, and (e) development ofentrepreneurship skills and economic empowerment of mothers andcaregivers.

The project supports the Ugandan National Program of Action forChildren and the Poverty Eradication Action Plan. The project particu-larly enhances school readiness of young children and thus contributestoward reaching the goal of universal primary education. The main pro-ject strategy is to enhance the capacity of families and communities totake better care of preschool-age children (zero to six years) throughenhancing knowledge on child growth and development, parenting,nutrition and health care, and income-generating activities for women.

IV. Project Approach

The project is a process-driven, locally prioritized program rather than ablueprint package. Inputs are to be phased into communities as a resultof a participatory planning process to ensure ownership and sustainabil-ity. The program will involve collaboration between government andnongovernment entities, including local and international nongovern-mental organizations (NGOs), and communities. As a multisectoral pro-gram involving health, nutrition, early childhood education, child care,savings and income generation, the approach will involve linking variousgovernment departments and nongovernment entities to provide a com-prehensive service directed toward the development of children. The pro-ject will support a range of options—a program menu—relating to theneeds of preschool children and their families.

V. Project Components

Project Component 1—Integrated Community Child CareInterventions. This component supports the government’s goals (a) toimprove parental awareness on major aspects of child care, growth, and

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development through parental education, child growth monitoring andpromotion, training, and sensitization; and (b) to empower communitiesto support child development programs through capacity building,through skills for income generation, and through support grants. Theobjective is to reduce malnutrition (low weight for age) of children by athird at the end of the five-year period in the project districts andincrease readiness of children for primary schooling and thereby con-tribute to the drive for universal primary education. The governmentplan is to eventually cover all districts; however, interventions in thisphase will be implemented in 25 districts chosen by the governmentbased on the level of malnutrition, infant mortality, and rate of primaryschool enrollment. The project includes the following interrelated inter-ventions:

(a) Parental Education. This subcomponent will increase parents’ andcaregivers’ understanding of major aspects of child care, growth, anddevelopment, including child nutrition, health, and cognitive and psy-chosocial development. A range of related competencies will be strength-ened in parents. Building parental skills and knowledge will in turnimprove the health, psychosocial development, and well-being of chil-dren and, ultimately, their receptiveness to education at the primarylevel. The program will mobilize groups of mothers (and parents) at thecommunity level, supported by project materials in local languages, tech-nical supervision, and communications. Simplified learning materials foradults with low literacy have been tested successfully in Uganda.Emphasis will be on the enhancement of child care practices that promoteproper growth and development of children, including childhood nutri-tion and health (exclusive breastfeeding and appropriate weaning prac-tices—particularly the period of introduction of weaning foods, as well asthe type of foods given, and food preparation, child growth promotion,and deworming), psychosocial development, cognitive stimulation andsocial support, and hygiene and improved home health practices.

The above interventions will be strengthened and supported by anoutreach activity (children’s day) organized at the parish level to enablecommunities to access a number of child-related services by means ofone-stop shopping. A study of the impact of providing the anathelminthalbendazole to young children in selected parishes will also be conduct-ed in the course of parish-based child days and will measure the effect ofevery-six-months treatments on weight gain.

(b) Community Capacity Building and Empowerment for Child Care.This subcomponent comprises two interrelated activities: (a) communitycapacity building conducted through community planning and sensitiza-tion workshops, and (b) training in entrepreneurship to increase incomesof mothers and caregivers.

171SAMPLE TERMS OF REFERENCE


Project Component 2—Community Support Grants for ChildDevelopment. Two types of grants would be available to communities:

(a) Community Support Grants—grants to communities offered on thebasis of matching contributions from communities. These grants and con-tributions from communities will cover activities designed to supportinterventions for child development that fall within the guidelines andmenu contained in the project implementation manual. To qualify for thisgrant, communities will provide counterpart contributions, which maybe in the form of goods, works, or services. Examples of the uses of suchgrants are construction and operation of community child care centers,home-based child care centers, or the production and marketing of wean-ing foods. The support grants component will be implemented in thesame 25 districts included in component 1.

(b) Innovation Grants—grants made available to communities toaddress child-related problems. The innovation grant will aid in imple-menting interventions outside the menu of interventions described bythe community support grants (a) above. As the term implies, the “inno-vation” fund will be used to support communities at different levels inimplementing “innovative ideas” on improving the lives of childrenwithin their communities. The innovation grants will be accessed bycommunities in the same manner as the community support grants: thatis, proposals will be prepared by communities following a participatoryplanning exercise, will then be screened by a subcounty committee, andforwarded for funding by the project.

Project Component 3—National Support Program for ChildDevelopment. This component consists of central program activities andpolicy initiatives designed to support the district-level programs in com-ponents 1 and 2 and provide quality assurance for the front-line projectactivities at the community level. This component includes (a) programmonitoring and evaluation, (b) support for prevention of micronutrientdeficiencies, (c) ECD curriculum development, (d) training of trainers forECD, and (e) information, education, and communications.

VI. Implementation Arrangements

The implementation of the project is the responsibility of the govern-ment of Uganda assisted by nongovernmental organizations within thedecentralization framework and devolution of powers to lower levels asstipulated in national policies. The community (LC-1) is the unit of oper-ation for service delivery, although the coordination structure will alsoinvolve the parish (LC-2), the subcounty (LC-3), and the district (LC-5)levels.



In addition, the project hopes to use stakeholder sensitization and con-sultations, community mobilization, participatory community planning,capacity building for sustainability at all levels, together with strength-ening of complementarity with existing national programs and struc-tures. Existing political and institutional structures should be made use ofin a multisectoral manner. Transparency and accountability should alsobe ensured at all levels.

VII. Project Coordination

National. A project steering committee composed of line ministries,donors, and NGO representatives will be responsible for overall guid-ance of project implementation.

The committee, to be headed by the permanent secretary in theMinistry of Finance, Planning, and Economic Development will provideguidance to the project on policy issues and review and approve the qual-ity and efficiency of implementation. The project steering committee willalso make suggestions to improve the district annual budget and workplans for the project.

A small project coordinating office (PCO), composed of a coordina-tor, a deputy coordinator, a qualified accountant, and a small supportstaff, will be based in the social services sector of the Ministry ofFinance, Planning, and Economic Development and will take responsi-bility for the day-to-day coordination of project activities at the nation-al level.

District. An existing multisectoral committee—the district coordinatingcommittee (DCC)—will be identified by the Chief Administrative Officer(CAO) to take on the responsibility of coordinating the project at the dis-trict level. The CAO will identify a focal person from among the govern-ment officers who will coordinate NGO-related and other activities in theproject. The lead NGO will be included as a member of the DCC. In dis-tricts where no NGO with adequate or appropriate capacity and skillbase can be identified or strengthened to take over as the lead NGO, theimplementation will be through the district administration.

Subcounty. An existing sectoral committee similar to the one at the dis-trict level will be responsible for coordinating the project activities at thesubcounty level. This subcountry coordination committee will also facil-itate linkages between existing structures and those of the project, andalong with the lead NGO for the district, approve the subcountyNGO/CBOs’ (Community-Based Organizations) annual work plans andfunding requirements for the project in the subcounty.



VIII. Project Impact Evaluation

The government of Uganda is interested in assessing the impact of vari-ous aspects of the project in order to ascertain its effectiveness and toguide the design of further NECD projects. Moreover, as the World Bankconsiders this project to potentially inform other countries regardingNECD services, it has included the project in a three-country evaluationof ECD programs and will provide technical assistance on a grant basisto the PCO to assist specific research activities. In particular, two studiesto evaluate the impact of specific project interventions will be undertak-en as part of the overall project:

• Parish Child Health Day Study for assessing the coverage ofanthelmintic treatments given at parish-level child health days andtheir impact on the weight gain of children under age six by using arandomized experimental design.

• Survey research using baseline and resurvey methodology for assess-ing (a) the impact of anthelmintic treatments and of overall projectactivities on the cognitive development, health, and nutrition of chil-dren under six years of age; (b) the impact of the caregiver educationcomponent and mass media communication campaign in the knowl-edge, attitude, and child-rearing practices of the principal caregivers;and (c) the impact of grass-roots management training, income-gener-ating activities and credit savings group formation, and provision ofcommunity grants in household and community welfare.

The selected firm will provide technical and logistical support for theabove studies and will be invited to participate as local research imple-menters in the design, data collection, and analysis necessary to completethe two studies of impact assessment. This firm will be the primary coun-terpart of the PCO, local researchers, and the researchers from the WorldBank and the University of Oxford who will be undertaking the impactassessment.

IX. Overview of Studies

Study One: Impact of Deworming at Parish Child Days. There havebeen a number of studies indicating the impact of treating school-agedchildren with anthelmintic medicine. However, there is only one large-scale, randomized trial that shows a large effect on weight gain for pre-school-aged children. This has raised the question of whether such aneffect could be achieved in African children. Thus, the NECD project willinclude a randomized study of the impact of providing the deworming



agent, anthelminth albendazole, to young children in 25 selected parish-es in the course of parish-based child days and to measure the effect ofevery-six-months treatments on weight gain. Data will be collected fromthese parishes as well as 25 control groups that will also organize childhealth days but will not administer albendazole on a routine basis. If theanthelmintic treatments are delivered successfully and are shown to havebeneficial effects on Ugandan children, then the program of anthelmintictreatment may be recommended for all districts.

Because this is a scientific controlled trial, the selection of parishes thatwill be asked to administer albendazole will be undertaken by the PCOfrom a list of parishes where child days will be organized (this list will beprovided by the NGOs working in the districts). The PCO will also selectparishes that will serve as the control group. This experimental design iskey to a successful evaluation.

The firm will ensure that the local NGOs responsible for the organiza-tion of the child health days in the parishes are aware of the rationale forthe experimental design and that they comply with the strategy. Eachchild aged 12 months or older and under 6 who attends the fair in the 25designated parishes will be given a single 400-milligram tablet of chew-able, proprietary albendazole. The albendazole will be administeredevery six months; in the event that the NGOs choose to organize childdays on a more frequent basis, the anthelmintic will still be administeredon a six-month schedule and not more often.

Children in parishes where albendazole is administered as well as chil-dren in the 25 designated control parishes will be weighed at each childday, and their weights will be recorded both on their own health card andon the community register. Children who are too small to stand on thescale unaided will be weighed in their mother’s arms after the scale hasbeen set to zero with the mother standing alone on the scale. Theseweights will be recorded to the nearest tenth (0.1) of a kilogram. The dataon the community registers are the responsibility of the local NGOs,although the firm will work with the NGOs to ensure that the data col-lection system is compatible with the full range of objectives of the study.

The firm consultant will transcribe these weights on a pro forma to bedesigned in collaboration with technical advisors from the World Bankand the University of Oxford. This data transcription will be undertakenevery six months after the child day in the project area. In addition to thechild’s ID (a unique combination of the parish ID, the village ID, and theindividual ID recorded on both the child’s own card and the communityregister), the data on the pro forma will include the child’s gender; thedate of birth of the child taken from the child’s health card or, if that is notavailable, the age of the child taken from the parish register; the date ofthe child fair at which the weights were recorded; and whether or not the



child took a dose of albendazole. These data will be entered in a comput-erized record in Kampala. The individual ID will provide the basis formerging the data from different periods, and thus the ID must be record-ed each time the data are transcribed and must remain constant for achild over the entire project.

The local circumstances and conditions at each child day that maydeter mothers from attending will also be recorded. These include dataon the state of the harvest and the weather conditions, both of which maydeter mothers from attending. Any special methods and opportunitiesused to advertise each child day will be recorded because different formsof advertising may affect attendance. The record should also include anestimate of the number of children who visited the child day from otherparishes and who did not have ID numbers obtained from the organizersof the child day.

The experiment will last two years. Thus, the firm consultant willrecord the data five times for each parish. That is, the firm consultant willcollect the data at the beginning of the project and at 6, 12, 18, and 24months after project initiation.

A complete copy of the data will be sent to the PCO every six months.These copies of the data will be considered the deliverable services of thefirst study of the project. Preliminary analysis will be undertaken at theUniversity of Oxford on a semiannual basis. However, the firm is request-ed to nominate a representative who will participate in the main analysisto be performed at the end of two years. This representative will be pro-vided travel and living expenses to work on the analysis at Oxford. Thefunds for this travel are budgeted in a separate line item and thereforeneed not be included in the contract covered by the request for proposals.

Study Two: Overall Impact of NECD Interventions. Household surveysand community surveys will collect baseline and follow-up informationneeded to evaluate the impact of the various project activities. The sur-veys will have several modules, which will measure:

• Cognitive development and growth of children under six years of ageresulting from anthelmintic treatments and of overall project activi-ties—Study Two will assess longitudinal growth and psychosocial andcognitive development outcomes in a cohort of children in communi-ties participating in the project (with and without anthelmintic treat-ment) compared with a cohort of children in nonparticipating com-munities. Both cohorts will be followed for two or more years. Thestudy will therefore complement the study of deworming at the parishlevel by allowing a greater understanding of the decision to take chil-dren to child days and to measure whether, over time, participation



leads to an increase in measures of cognitive development. Moreover,by including communities that do not receive any ECD services, thestudy will assess whether the package of services leads to improve-ments in nutritional status and cognitive development.

• Changes in knowledge, attitude, and child-rearing practices of thecaregivers resulting from project parental education and the massmedia campaign.

• Improvement of the health and nutrition of children under six years ofage resulting from growth-monitoring activities, preventive healthand nutrition education, anthelmintic treatments, and overall projectactivities.

• Household welfare resulting from community grants, grass-rootsmanagement training, income-generating activities, and credit savingsgroup formation.

• Community characteristics and changes resulting from the projectinterventions (or otherwise) that could have an impact on child well-being during the duration of the project.

Sample Selection. The basis for this study will be a baseline survey col-lected at the time services are first delivered to the communities and a follow-up survey collected from the same households two years after theinitial survey. One-third of the sample will be drawn from the same 25parishes in the treatment (anthelmintic) group and another third from thecontrol groups studied in Study One. In addition, one-third of the samplewill come from villages in 25 parishes in the same districts as the treat-ment groups but that are not expected to receive services from the NECDproject. Thirty households will be selected from each parish. This implies750 households per strata (2,250 total) in the initial survey. Given expect-ed sample attrition, 5–10 percent fewer households are expected in theresurvey.

To collect the sample in the treatment and control parishes, all house-holds in each parish (there are approximately 700 households in a parishon average) will be listed, possibly by a resident of the community. Thislist will contain the name of the household head, an indication of the loca-tion of the household, and the number of children under age six in thehousehold. This list will serve two purposes. First, a sample of 30 house-holds containing at least one child under the age of six per parish will beselected by a random draw. Second, the total number of children undersix will serve as an estimate of the potential coverage of children in childdays and thus assist in determining the rate of attendance.

Because the NECD project will have less contact with the communitiesthat have no current NECD activity, the selection of households thatreceive no ECD service should use cluster sampling to reduce the costs of



sample listing. In particular, one subcounty that is not in the projectshould be selected for every subcounty that is in the treatment group,preferably one that is adjacent to it. All parishes in these subcountiesshould be listed and a random draw of 25 parishes from the total list willbe selected. Two villages from each parish selected will then be chosen,again using a list of all the villages in the parish. This step reduces thenumber of villages where a census will need to be conducted. The cen-sus—similar to the one used in the treatment and control parishes—willform the list of households used to draw the sample of 30 households perparish. This will be the third stratum of the survey.

The initial baseline survey should be undertaken in mid-1999. Thistiming is based on the need to know the subcounties and parishes inwhich the NGOs will be operating in order to employ the suggested sam-ple design. This timing is also based on the assumption that the selectionand training of lead NGOs will not be completed until late 1998.

The development and pretesting of the questionnaire, however, shouldbe undertaken much earlier than this (early 1999) in order to be ready toimplement the survey as soon as the NGOs have identified the parishes inwhich they will be working. As the baseline needs to be fielded before thefirst deworming, the ideal time for the baseline survey is concurrent withthe initial community organization that will lead to a child day. Because thesample of 30 families in each parish is small relative to the total population,it is unlikely that the survey data collection will disrupt other activities oroverburden the communities. The data collection in the control groups(those with NGO activity but no deworming and those with neither)should be simultaneous with the data collection in the treatment group.

Survey Instruments. The basic questionnaires to be used for the surveyproject are household questionnaires (which gather data at the level ofthe household and individuals) and community questionnaires.

X. Household Survey

Household data will be collected by using a precoded schedule. This willbe drafted on the model of the Living Standards Surveys used in morethan 30 countries. A first draft will be provided by researchers from theWorld Bank. However, the instrument will be both abridged to accom-modate the particular needs of the project and adapted to local conditionsby using focus groups and a pretest procedure undertaken by the firm.The household questionnaire will contain modules to collect data on:

1. Sociodemographic characteristics: A roster of individuals residing inthe household in the past 12 months, their age and gender, as well astheir schooling and type of employment (if any). The coding format



will indicate the parents of all children, if present—if not present,whether the parents are still living. A detailed list of assets will be col-lected to serve as an indicator of socioeconomic status.

2. Knowledge, attitude, and practices: The questionnaire will also collectinformation on the knowledge, attitudes, and child-rearing practicesof the principal caregivers.

3. Anthropometric data: Weights will be recorded to the nearest tenth(0.1) of a kilogram for all children under the age of six by using digitalscales that are to be provided. In addition, heights will be collected forall children between the ages of two and six. The pretest will be usedto determine whether it is feasible to collect the weights of the moth-ers of these children (if living in the households) as well.

4. Cognitive assessment: The firm will work with other local and interna-tional research consultants to the PCO to integrate tests of child cogni-tive development into the overall field data collection. In the baselinesurvey an internationally recognized test of cognitive development willbe administered to children aged 4.0–5.99 years. This test will also beadministered to the same age group in the second round of the survey,allowing a comparison of cohorts. In addition, a subset of children aged6–7.99 years at the time of the second round will be administered thistest. (Annex table 2.1 summarizes this strategy.)

In addition, knowledge assessments based on specific content fromthe program and a dynamic assessment may be developed for the sec-ond round of the survey. The inclusion of these measures will be eval-uated during the course of the project. Finally, a school performancemeasure will be developed for assessing knowledge acquired in thefirst year of school and administered to a subset of older children inthe resurvey. Existing tests might be adapted.

5. Child health: Morbidity data (including number and kind of symp-toms, levels of severity, length in time), patterns of access to and uti-lization of health services, sanitation, and so forth.

6. Household economy: The best approach to collecting this informationwill be extensively explored in the pretest phase and assessed jointlywith advisors from the PCO prior to finalizing the questionnaire. Thevariables may include food expenditures; agropastoral activities; con-sumption of home production; nonfood expenditures; housing charac-teristics; inventory of durable goods; employment; economic activities;income; land; crops and animals; income from project activities; house-hold enterprises; asset ownership; credit and savings information onamount of money and goods lent and borrowed, if money and goodshave been borrowed in the past 12 months; savings and net debt theday of the interview; information on loans, including the schedule,reason for borrowing, and number of loans from the same source; and



location of savings, if any, including bank, housing savings bank, ruralsavings bank, and so forth. This information will be part of the base-line and final surveys only.

XI. Community Survey

Community questionnaires will be used to gather information on localconditions that are common to all households in the area. The bestapproach to collecting this information will be extensively explored in thepretest phase and assessed jointly with advisors from the PCO prior tofinalizing the questionnaire. The variables may include:

1. Demographic information: number of households, total population,population under six, ethnic groups, and religions;

2. Economic information, including principal economic activities andpatterns of migration for jobs;

3. Infrastructure: access to roads, electricity, pipe water, market, bank,and public transport. Condition of local infrastructure, such as roads,sources of fuel and water, availability of electricity, and means of com-munication;

4. Local agricultural conditions and practices: type of crops grown in thecommunity, how often and when they are planted and harvested, howthe harvest is generally sold, and qualitative data on rainfall, climateconditions, and seasonality;

5. Education: number and types of preschools, formal and informal ECDarrangements, distance to schools, number of classes, enrollment rates(gross and by gender), attendance, grade progression, health andnutrition services provided at school (for example, school health pro-grams, school lunch);

6. Health: type of health facility and distance and travel time to the near-est of each of several types of health facilities (hospital, pharmacy,health post, and so forth). Distance and travel time to the nearest ofeach of several types of health workers (doctor, nurse, pharmacist,midwife, community health worker, and so forth); and

7. Other: number and type of active local NGOs/CBOs, other child relat-ed projects or interventions (for example, government vaccinationcampaigns), and other community development projects.

Suggested Survey Staff. The survey staff should be constituted as fol-lows:

• Core survey staff: composed of the survey manager, the field manag-er, the data manager, and the data entry staff who will be responsible



for overall field supervision, coordination, and monitoring of data col-lection and data entry and data management activities.

• Field survey staff: the field operations will be conducted by teamscomposed of a supervisor, two (or three) interviewers responsible forthe main questionnaire and the anthropometric measurements, and adriver. A similar number of specialists who will participate in admin-istering tests of cognitive development to the children will be selectedand trained in collaboration with local and international experts.

• Coordinator for the randomized trial: the coordinator will assist in thedevelopment of the data collection instruments, training of localNGOs responsible for the organization of the child days in the parish-es on the experimental design, data collection, and data transcription.He or she will oversee data entry and management of the study dataset and will participate in the main analysis to be performed at the endof the study.

Organization of Fieldwork. The firm will participate in the drafting ofthe field instruments prior to the pretesting of the survey and will haveprimary responsibility for the pretest. After the pretest the questionnairewill be redesigned (in partnership with researchers from the World Bank)and then translated into local languages.

The firm will work with other local and international research consul-tants selected by the PCO to integrate tests of child cognitive develop-ment into the overall field data collection. The local ECD researcher,assisted by international consultants, will select and adapt the principalcognitive test to be used and will train the testers.

The following organization of fieldwork is suggested. This is based oninternational experience and designed to ensure quality control. Somevariation of this approach might be agreed upon in consultation withresearchers from the World Bank based on the experience of the firm andother advisors to the PCO and information gained during the pretest.

The fieldwork will be organized into small teams consisting of a super-visor, two (or three) interviewers responsible for the main questionnaireand the anthropometric measurements, and a similar number of special-ists in administering tests of cognitive development to the children. Thesestaff will be trained in Kampala by the local ECD researcher in coordina-tion with international advisors on psychological testing. The trainingwill include a discussion of the research objectives, a review of each stepof the interview, practice training in the office, a dry run in the field, anda recap of experience after this dry run.

Once teams are trained they should be retained for the entire round ofthe survey, if possible. However, because a few staff may prove to beunsuitable during the fieldwork, it is advisable to train a few extra staff. It



is not advisable to hire staff to work for a few days only in one parish andthen new staff in the next parish because this results in inexperienced staff.All staff should receive new training at the beginning of the resurvey.

During the administration of the cognitive test, children should, to thedegree possible, be alone with the interviewer. In no case should anotherperson (adult or child) respond to the questions asked of the child.However, during the resurvey the test for the subset of eight-year-oldsmay be administered in a group format if it proves convenient.

The supervisor will be responsible for ensuring that the interviewersundertake the survey in the households chosen for the sample withoutsubstitution and that all children in the appropriate age groups areadministered the tests of cognitive development. In addition, the super-visor will review each questionnaire after completion (prior to the teammoving to a new parish) to ensure that there are no gaps in the question-naire and to see that seemingly inconsistent information is verified.

The firm will enter all survey data as soon after collection as possible.Copies of the household- and child-specific data and rating scales alongwith the documentation necessary to access the data will be provided tothe PCO in a computerized format at the end of the baseline survey. Theoriginal questionnaires should be retained by the firm because the orig-inal data will generally need to be accessed during the course of theanalysis.

The child-level data must contain accurate identification codes thatcan be matched with the household survey codes. Although the uniqueindividual and household codes provided to the PCO need not containthe names of the households or their exact location, this informationmust be stored by the firm in a manner that makes it possible to revisitthe household at a later date. Because one step in the analysis will linkindividuals in the resurvey with their test results from the baseline, allindividual and household codes must be held constant over the threesurveys.

XII. Specific Tasks for Survey Specialists

The firm will participate in the following activities in collaboration withthe PCO, local researchers, and researchers from the World Bank and theUniversity of Oxford and implementing NGOs:

• Revision of work programs.• Development and adaptation of the data collection instruments and

support documentation, including listing materials, questionnaires,coding guides, interviewer and supervisor manuals, manual of opera-tions, data entry manual, and field procedures.



• Revision of various drafts of documents, layout, translation, back-translation, and field testing. Provide hard copies and electronic ver-sions of all documentation to PCO. Forward questionnaires to the WorldBank researchers for their review and revision prior to the pilot test.

• Dwelling listing and cartographic updating. The responsibilities forlisting of households and dwellings in each selected parish includeobtaining base maps, preparing listing materials, contacting local offi-cials to inform them about the listing operation, identifying bound-aries, drawing maps, listing households in a systematic manner,obtaining preliminary information on households, including name ofthe household head, an indication of the location of the household,and the number of children under age six in the household; docu-menting procedures at the time of the sample design, at the end of thefieldwork, and at the completion of the data file.

• Preparation of sampling framework (with sampling specialist), train-ing of staff to implement the designed sample, supervision of theimplementation stage to ensure the quality of the sample selected, andprovision of a detailed report outlining all the steps involved in thedesign and implementation of the sample.

• In consultancy with the World Bank, participation in determining anappropriate strategy for identifying comparison groups (that is, non-project parishes).

• Selection and training of field workers. This activity consists of all thework necessary to develop training materials and manuals for all per-sons involved in fieldwork. Training will be required for interviewers,supervisors of interviewers, supervisors of teams, data entry person-nel, and anthropometric personnel.

• Field operation, including logistical arrangements for data collectionand obtaining household and individual consent; keeping a studyhousehold register.

• Production of progress reports: The firm will prepare fieldworkprogress reports (at six-month intervals) copied to the PCO and theWorld Bank. The firm should also prepare a basic description of thesurvey. This should include the survey content, the sample plan and itsimplementation, and the fieldwork techniques used. A full question-naire and basic documentation should be included as appendixes.

• Development of a data entry program using software that can checkfor ranges and consistency of the data and generate reports indicatingmissing data, data outside of the accepted ranges, and inconsistentanswers.

• Data cleaning, data entry, database management, and tabulationplans, including development of data entry program, data entry man-ual, data entry operator training, data quality checks, and guidelines



for using the data. Also, coding open-ended questions, verification ofthe data, checking anthropometric data against standard referencetables.

• Enforcing data use policy agreement: The firm and researchersinvolved in the process of data collection and analysis will sign a mem-orandum of understanding with the PCO that will explicitly state thepolicy regarding issues such as access to data, intended users, proce-dures for obtaining copies of the data sets and documentation, andpublication and authorship rules.

• Conducting data analysis: The firm will conduct exploratory dataanalyses (for example, frequencies, percentage tabulations, and cross-tabulations) of key survey variables and their correlates. The firm willconduct modern statistical modeling of impacts after rounds 2 and 3 todetermine overall progress in social indicators (for example, nutrition,health, incomes, and community development) and the factors thataccount for the changes or lack of changes.

• Producing analyses reports: The firm will report on the findings afterrounds 2 and 3 of the surveys based on the analyses of the social indi-cators and the covariates. The firm will coordinate with the PCO andthe World Bank on the Parish Child Health Day Study and on the col-lection of impact on cognitive development but will not be responsiblefor the final reports on the result of these studies.

Specific tasks for the community survey include the following:

• Work with advisers from the PCO in the development of the commu-nity questionnaire and extensively explore in the pretest phase the bestapproach to collecting this information;

• Work closely with the implementing agencies (lead and local NGOs) inthe collection of the community data;

• Contact local officials and community leaders to explain the projectimpact evaluation approach and obtain communal consent for surveyresearch and the child health day study;

• Interview key informers and obtain maps, lists, and other communityrecords;

• Obtain lists of health and education facilities (pre- and primaryschools), including geographic location, catchment area, and type ofestablishment (for example, private or public);

• Obtain community demographic information, including number ofhouseholds and population by gender and age; and

• Obtain other data required in the community questionnaires.

Specific tasks for the child day study include the following:



• Participation in the development of the study protocol,• Development of data collection instruments,• Training of local NGOs responsible for the organization of the child

days in the parishes for the experimental design,• Supervision of data collected during child day,• Data transcription,• Data entry and management, and• Participation in the main analysis to be performed at the end of the

study.

Annex Table 2.1 Proposed Sample Sizes for Impact Evaluationof Nutrition and Early Child Development Project, Uganda

Category Deworming No deworming No deworming and parent and parent and no parent education education education

No. of parishes 25 25 25 TotalTime Baseline Second Baseline Second Baseline Second

rounda round roundNo. of households 750 700 750 700 750 700 2250No. of children weighted at child daysb 5000 5000 5000 5000 20000No. of children aged 0–5.99 with anthropometry in the home (mean two per family)c 1500 1395 1500 1395 1500 1395 11580No. of children given cognitive tests: test all children aged 4.0–5.99 in house-holds 500d 465e 500 465 500 465 2895No. of children aged 6.0–7.99 given cognitive test and anthro-pometry subsetf — subset — subset subset


(Table continues on the following page.)


School enrollment rates 25 25 25 25 25 25

commu- commu- commu- commu- commu- commu-nities nities nities nities nities nities

a. Assuming a small loss to attrition of 8 percent in two years.b. Assuming that about 200 children will attend each child day.c. Two children per family are assumed, but families will be recruited if they

have any children under six. Family refers here to a pair that consists of a mother(or substitute) and child.

d. This is a maximum; the actual number can vary according to the number offour- to five-year-old children encountered.

e. Assuming the same loss of 8 percent over two years; only children whoseparents were interviewed will be tested.

f. Number will be a subset of the children in the age range whose parents wereinterviewed. They will be linked with the earlier score. Even though the numberof children tested increases in the second round, the time for the interviews maydecrease because much information will not need to be assessed again. It is alsopossible that the size of this group will be reduced.

Source: World Bank Project Document.

Validity Study. In addition to the above, one small longitudinal studywill be added to examine the predictive validity of the preschool measurefor school performance at the end of the first year of school. In the base-line survey, two children per community aged 6.0 to 6.9 (not yet inschool) will be tested, for N = 150. These children will be located at theposttest and given a school performance test two years later, at ages 8.0to 8.99.

Task Schedule. The tentative timetable for the task schedule is as follows:

Month 1. Begin the process of constructing indicators of cognitivedevelopment in conjunction with international consultant and in accordwith terms of reference. This process may take up to six months.

Month 2. Initial pretest and revision of the questionnaire.Month 5. Begin listing of households for sample selection. This step is

dependent on the selection of the lead and local NGOs. It cannot be doneuntil the PCO and NGOs choose the parishes where child days will beorganized and then select the sites for the initial deworming program. At


Annex Table 2.1 (continued)

Category Deworming No deworming No deworming and parent and parent and no parent education education education

02-Evaluating Impacts 5/23/00 5:42 AM 6

the same time the questionnaire should be translated and field testedagain.

Month 7. Begin collection of data at child fairs for the dewormingstudy. Data will be collected at these fairs at six-month intervals. Asabove, the timing of this step is dependent on the selection of the lead andlocal NGOs.

Month 8. Training of field staff for household survey and initiation ofsurvey. The survey should take approximately three to four monthsdepending on the number of teams employed. Data entry should be con-current with data collection.

Month 14. Initial analysis of baseline data. This will be an ongoingprocess.

Month 20. Staff from the firm visit the University of Oxford to partici-pate in analysis of initial data.

Months 20–36. Collection of data for round 2 for deworming study.Midterm and final household surveys will be conducted two and four

years after baseline.

Support to Firm

No specific support will be given to the firm to carry out assignments.Firms are advised to include all requirements for effective carrying out ofthe assignment in their proposals.



Example II: Rural Roads Impact Evaluation:Vietnam 1997 Baseline*

Terms of Reference: Baseline Survey for Rural RoadsImpact Study

I. Background

The study aims to assess the impact on living standards of the WorldBank–financed Vietnam rural transport project that were implemented in15 poor provinces over three to five years starting in 1997. The study’soverall focus will be on how the determinants of living standards arechanging over time in communes that have road project interventionscompared with ones that do not. This requires the collection of preprojectbaseline data for both project (“treatment”) areas and nontreatment con-trol areas and a number of further data collection rounds of postinter-vention data at two-year intervals. A detailed commune level databasewill be created in part by drawing on annually collected records at thecommune level. The latter will be augmented by the collection of retro-spective commune-level data and the collection of various other key sup-plementary data. A short district-level survey will help put the commune-level data in context. Finally, 10 to 15 households will be ran-domly sampled from commune-level household lists and a short house-hold questionnaire will be administered. The study will be conducted in6 provinces out of the 15 that will benefit from the project. The 6provinces will be representative of the 6 geographical regions of Vietnam.A random sample of about 200 or so project and nonproject communeswill be drawn. Six teams will be set up to simultaneously survey eachprovince. The survey should begin in April and finish about August. Datashould be available about October or November.

II. Survey Design

Sampling. Sampling will be done in three levels:

1. Provinces: The 15 project provinces are located in Vietnam’s six geo-graphical regions. Criteria for selection of survey provinces will be the


* These terms of reference were prepared by Dominique van de Walle.


following: (a) one province will be selected in each geographical region;and (b) when there is more than one possible project province in eachregion, a random selection will be made.

2. Communes: The aim is to survey 200 or more communes, which arerandomly selected. About half or less (not more) should be communeswith road link projects, the rest controls. A list will be drawn of nonpro-ject communes in the six provinces (or alternatively one list for eachprovince) and a random sample will be drawn. Similarly, a list will bedrawn of all communes benefiting from road projects in the sixprovinces (or by province). This may be more than one commune perroad link; all will be included in the sampling frame. From these a ran-dom sample will also be drawn. The sample will not necessarily includeboth communes linked by a road project. If access to certain sampledcommunes is impossible, it will be replaced with another commune inthe district that is similar.

3. Households: In each sampled commune, a household survey will beadministered to 15 households. These (plus perhaps a few replacementhouseholds) will be randomly selected from the commune householdlists. After selection, the commune authorities will be asked about wherethe households fall in the very poor, poor, average, not poor, and richclassifications.

III. Survey Process

Six survey experts will be hired to conduct the surveys in the sixprovinces. After their training and the field testing of the questionnaire,they will begin surveying simultaneously in each province. In the dis-tricts, surveyors will need at least one local staff from the district projectmanagement unit to help with contacting local authorities and in somecases to help find suitable guides and interpreters in minority areas.Survey assistants or assistance from the provincial project managementunits will be hired as required.

Each surveyor will collect data from 35 communes on average, the dis-tricts they belong to, and 15 or so households per commune. Three to fourdays will be needed for each commune. The time spent in the field willbe about 100 to 140 days (four to five months). The total time will be sixmonths.

During the survey period, the supervisor will conduct field visits to allsix provinces to supervise data collection and ensure high quality.

The collected data will be cleaned and entered by using a data entryprogram.

Annex table 2.II.1 gives an estimated timetable for the study.



Annex Table 2.II.1 Timetable for Impact Evaluation Study,Vietnam

Jan. Feb. Mar. April May June July Aug. Sept.

Design question-naires **** ****

Field test survey ****

Revise question-naires ****

Adapt data entry program, translate and print question-naires ****

Hire and train surveyors ****

Survey in field **** **** **** **** ****

Check data **** ****Perform data

entry *****

IV. Other

Equipment. The equipment purchased under the project will belong tothe project as long as the study continues (through future rounds) butwhen not in use by the team it will be housed in the Project ManagementUnit for the team’s use.

Budget Disbursements. The budget for the study (excluding payments tothe main investigator, who will receive monthly installments) will be dis-bursed in three installments. The first, upon signing of the contract, will con-sist of 20 percent of total funds. The second installment, consisting of 50 per-cent of the total budget, will be disbursed once the commune, household,and district questionnaires have been finalized and approved by the WorldBank task manager. This is expected to be sometime in late March. The thirdand final installment will be disbursed in late July or halfway through datacollection. Estimated budget details are shown in annex table 2.II.2.



Annex Table 2.II.2 Estimated Study Budget

No. Time Amount (US$) Total (US$)

1. Main investigator 1 9 months 1,000 9,0002. Survey experts 6 6 months 400 14,4003. Travel allowance

for six surveyors, six local guides and interpreters 12 125 days 8 12,000

4. Car and other transport for six survey teams 6 125 days 40 30,000Car rental for main investigator 1 30 days 50 1,500

5. Air tickets Hanoi-Ho Chi Minh-Hanoi 6For surveyors (south provinces) 3 persons 200 1,200For main investigator 3 trips

6. Training of surveyors 12 1,338Payment 1 week 50Travel to field 3 days/ 3 cars 50Allowance 3 days 8

7. Field test of questionnaire (South and North communes) 1 2 weeks 2,000

8. Data cleaning and entry 2 2 months 200 800

9. Survey materials 2,00010. Communications

(fax, phone, email, Xerox) 2,00011. Equipment 5,000

Computer (PMU18) 1 1,700Printer (PMU18) 1 1,000Fax machine (study team) 1 500Laptop computer (study team) 1 1,800


(Table continues on the following page.)


Annex Table 2.II.2 (continued)

No. Time Amount (US$) Total (US$)

12. Translation (questionnaire, manuals, documentation) 200 pages 8/page 1,600

13. Printing, Xeroxing 80014. Contingencies 1,362Total 85,000

Terms of Reference: Survey Supervisor or Main Investigator

I. Job Description

The in-country survey supervisor or main investigator will be responsiblefor the study’s baseline survey work within Vietnam. Responsibilitiesinclude determining availability of information at the commune level; help-ing to revise and finalize the district-, commune-, and household-level ques-tionnaires; field testing the questionnaire; incorporating revisions to thequestionnaire; arranging for the questionnaire to be translated; hiring andtraining the assistants; planning the field work logistics; preparing surveyimplementation and questionnaire documentation; supervising surveyimplementation and ensuring quality control; and supervising the projectdatabase and arranging for data cleaning and entry. The person will also actas the liaison with the Ministry of Transport’s Project Management UnitPMU18, the World Bank resident mission, the Canadian InternationalDevelopment Agency representative in Hanoi, and the project task manag-er at the World Bank in Washington. The person will report directly to thetask manager. The person will start as soon as January 1997; the contract canbe processed for a period of nine months at a rate of $1,000 per month.

II. Specific Tasks.

Specific tasks include the following:

1. Assuming responsibility for hiring, drafting detailed terms of refer-ence, training and supervising six main assistants who will work with



local assistants (possibly from the local transport office) in the fieldand will be responsible for the collection of the district-, commune-,and household-level data;

2. Explorating of data availability at the commune level and workingclosely with the World Bank task manager to design the final versionsof the questionnaires;

3. Carrying out a field test of the questionnaires in both South and Northrural communes; reporting back on potential problems and necessaryrevisions; revising the questionnaires when needed;

4. Arranging for the questionnaires to be translated, printed, andXeroxed (the final versions of the questionnaires will be available inboth English and Vietnamese);

5. Choosing the six provinces to be included in the survey so that there is oneprovince to represent each geographical region—when there is more thanone such province, the sampled province is chosen randomly; drawing upa random sample of around 200 rural communes in the six provinces,including about half with projects and the rest without projects;

6. Planning all fieldwork logistics, including arranging for transport, drivers, travel allowances, the schedule of commune surveys, and alerting commune administrations of team arrivals and purpose;

7. Participating in survey implementation, alternating between theteams in a supervisory role; ensuring quality control; identifyingproblems affecting survey implementation, checking quality andcompleteness of data collected, suggesting ways to solve problems,and implementing them following consultation with the studyleader;

8. Ensuring that future survey rounds can replicate the baseline survey,which requires (a) preparing detailed documentation of all surveyimplementation design and logistics (how the sampling of provinces,communes, and household was done; how the survey teams weretrained and organized; how fieldwork was organized; what proce-dure was followed when a sampled site was not accessible or a sam-pled household not found; problems, issues raised, and solutionsfound); and (b) preparing a detailed manual on definitions of terms(for example, unemployment, income, primary occupation, child oradult, distance), units, currency amounts, codes used in the question-naires; how the questionnaires are to be administered and to whom;how prices were collected, and so forth; the former should ensure thatfuture rounds of the survey can reproduce the baseline’s organizationand logistical details, and the latter should be used in training of sur-veyors and for their work, as well as to aid future users of the data(there will be both English and Vietnamese versions);

9. Procuring the necessary equipment as itemized in the study budget;



10. Establishing good relations and ensuring close cooperation withPMU18. Keeping them abreast of the study and monitoring projectdevelopments; supervising the setting up of a database of project-specific data (the World Bank task manager will identify the data to beincluded);

11. Arranging and supervising data cleaning and entry by using the pro-vided data entry program; and

12. Acting as liaison and communicating often with the task manager.



Annex 3

A Sample Budget from an ImpactEvaluation of a School Feeding

Program

Phase I: July 1999–December 2000a

School Feeding Research Proposal—Baseline and Cross-SectionalEvaluation(July 1999–December 2000)Draft Budget—7/14/1999—US$

Staff weeks/Activity Source of funds/CostsFY2000 FY2001 BB RPO Other Total

World Bank staffEconomist 4 2 17,640Evaluation specialist 5 3 23,520Nutrition specialist 5 3 23,520Peer reviewer 0.2 0.2 1,948Peer reviewer 0.2 0.2 1,948

68,577FES staffStudy coordinator 4 4 12,000

12,000International

consultantsSituational

assessment (incl. travel) 7,000

Cognitive test development (incl. travel ) 6,000

Sampling specialist 2,000Cost-effectiveness

study 25,00040,000

Regional consulting firmb

Design, sampling, administration 42,000

195

(Budget continues on the following page.)


Fieldwork 25,000Data orocessing 3,500Analysis 30,000

100,500Travel to countryTrips 4 2 12,000

12,000ContingenciesCommunication 1,000Software 2,000Translation 2,000

5,000TOTALS 68,577 150,500 19,000 238,077

Total Requested from RAD: $150,500Total Requested from Bank budget: $68,577Total Provided by outside sources: $19,000

a. Budget estimates for phase II of the evaluation are not included in this proposal.b. A breakdown of these costs is provided on the next page.


Staff weeks/Activity Source of funds/CostsFY2000 FY2001 BB RPO Other Total


Estimated Budget—Local Data Collection and Analysis for Phase ISchool Feeding Impact Evaluation Costs in US$

# People # Staff weeks Weekly rate Total

ProfessionalsDirector 1 12 2,000 24,000Education specialist 1 8 1,500 12,000Nutrition specialist 1 8 1,500 12,000Statistician/sampling 1 12 750 9,000Fieldwork manager 1 8 750 6,000Programmer 1 10 300 3,000Data processing supervisor 1 8 300 2,400Assistant – surveys 1 10 100 1,000Assistant – anthropometrics 1 10 100 1,000Assistant – cognitive tests 1 10 100 1,000Data quality control 1 8 100 800Subtotal—Professional staff 72,200Fieldwork staff Supervisor 4 6 200 4,800Cognitive tester 4 6 120 2,880Anthropometrist 4 6 120 2,880Interviewer 4 6 120 2,880Driver 4 5 100 2,000Fieldwork equipment People/units Cost per week or unitVehicles (4 vehicles for

5 weeks) 4 5 350 7,000Gasoline (4 vehicles for

5 weeks) 4 5 80 1,600Scales; rulers (5 sets) 5 20 100Cognitive test equipment

(for 4 testers) 4 20 80Survey equipment

(for 4 interviewers) 4 20 80Subtotal – Fieldwork 24,300Data orocessing PeopleData coding 3 7 75 1,575Data entry 4 7 75 2,100Subtotal—data processing 3,675

Total 100,175

197A SAMPLE BUDGET FROM AN IMPACT EVALUATION


Annex 4

Impact Indicators—Evaluation ofBolivia Social Investment Fund

Developed November 1997

I. Formal Education—Schools Type “A” and “B” (multigrade and regular)

1. Final Impact IndicatorsAchievement in Mathematics and Language testsa

Repetition rateDropout rateEnrollmentInstruction levelDemand for education (percent of students rejected from

school)a

2. Intermediate Impact IndicatorsRegularity in student attendanceRegularity in teacher attendanceStudents’ time allocation/hours spent studyingClassroom teaching methoda

Turnover in teaching staffa

3. Intervention IndicatorsInfrastructure

Ratio students/classroomNumber of classrooms in “good shape”Number of missing classroomsAvailability of multifunctional areaAvailability of basic services

– Electricity– Source of main water supply– Type of sanitation service; condition of the sanita-

tion serviceFurniture

Ratio students/deskRatio teacher’s tables/classroomRatio teacher’s chairs/classroom

198


Ratio “adequate blackboards”/classroomRatio shelves/classroomsTexts and didactic materialRatio texts/studentQuality of mathematics, language, social studies, and

natural sciences textsAvailability of teachers’ textsAvailability and condition of maps and chartsDidactic games by school cycle (prebasic, basic, and

intermediate)Availability of an abacus

Education Reform Indicatorsb

4. Factors Affecting Outcomes Not Linked to the SIF Project (Exogenous)NutritionAvailability of school breakfast programCost of the schoolTeachers’ characteristicsEducational backgroundYears of serviceTraining receivedMethods applied in teaching (in a period of classes)Training received, by topic and courseStudent evaluation practices (frequency of homework and its

correction)Evaluation of the teachers by the studentsRationale for dropping outStudents rejected by the schoolDistance between the house and the schoolRatio students/teacher

5. Identification IndicatorsWhether school was prioritized by the Education ReformProgrammed cost by project component Actual expenditures by project component

II. Health

1. Final Impact Indicatorsc

Infant mortality rateChildhood mortality rate

199IMPACT INDICATORS—EVALUATION OF BOLIVIA SOCIAL INVESTMENT FUND


Rates of incidence and prevalence of main diseases Prevalence of malnutrition (general, slight, moderate,

and severe)

2. Intermediate Impact IndicatorsUse of government health centersPrevalence of tetanus vaccination

Place where vaccine was receivedPrevalence of prenatal control

Number of prenatal controlsQuality of control

Prevalence of births attended in health centersQuality of attention

Prevalence of home births attended by medical personnelHeight at birthWeight at birthAnthropometric assessments

Place where assessment is heldAge when first assessment is made

Incidence of disease and prevalence of immunization by number of doses received

PolioDiptheria-tetanus-pertussis (DPT)MeaslesTuberculosis vaccine (TB)

Knowledge of places to go for immunizationIncidence and treatment for coughingIncidence and treatment for diarrheaPrevalence of the knowledge and use of oral rehydration

packetsClinics’ knowledge of prevalence of pregnancyAttendance of high-risk pregnanciesPrevalence of good hygiene habits and use of waterDuration of lactation

3. Intervention Indicatorsd

Quality of infrastructure by type of health centerAvailability of basic services in the health center (drink-

ing water, sewage system, and electricity)Adequacy of infrastructure based on established norms

by type of health centerAdequacy of equipment based on established norms by

type of health center



Number of beds in the health centerAvailability of essential medicines by type of health centerAvailability of essential medical instruments by type of

health centerAvailability of essential furniture by type of health center

4. Factors Affecting Outcomes Not Linked to the SIF Project (Exogenous)Characteristics of the household

Quality of householdType of household

Basic Services in the householdElectricitySource of waterType of sanitary service

Accessibility to basic servicesDistance between the household and the closest

health centerDistance between the sanitary service and the

source of waterDistance between the household and the main

source of waterHours of availability of water per daySufficiency of amount of water per dayAvailability of water throughout the yearCost of consultation in the health centerHousehold head’s perception of the quality of:

“Service” in the health center attended by the household

“Infrastructure” of the health center attended by the household

“Availability of medicines” in the health center attended by the household

Household expensesPersonal characteristics of the members of the household

AgeLanguageEducation levelOccupation

Geographic characteristicsHealth districtHealth areaHealth sector



ProvinceLocality

Human resources in the health center (doctors, odontol-ogist, nutritionists, nurses, nurses’ assistants, techni-cians, administrative staff)

Population under the influence area of the health center by age groups

Cost of consultation in the health centerHealth interventions not financed by the SIF

5. Identification IndicatorsProgrammed cost by project component Actual expenditures by project component

III. Water

1. Final Impact Indicatorse

Infant mortality rateChildhood mortality rateRates of incidence and prevalence of diarrhea in house-

holdsPrevalence of malnutrition (general, slight, moderate,

and severe)

2. Intermediate Impact IndicatorsIncidence and treatment for diarrhea in health centersPrevalence of use and knowledge of use of oral rehydra-

tion packetsPrevalence of good hygiene habits and use of water

3. Intervention Indicators (of Input)Prevalence of training in health topicsAccessibility to basic services

Main source of waterExistence of and type of sanitary serviceDistance between the sanitary service and the

source of waterDistance between the household and the main

source of waterHours of availability of water per daySufficiency of amount of water per dayAvailability of water throughout the year

Quantity of water consumed by the householda



Quality of watera

4. Factors Affecting Outcomes Not Linked to the SIF Project (Exogenous)Use of government (MSSP) health centersSize at birthWeight at birthDuration of lactationCharacteristics of the household

Quality of householdType of household

Accessibility to basic servicesDistance between the household and the closest

health centerCost of consultation in the health centerHousehold’s expenses

Personal characteristics of the household’s membersAgeLanguageEducation levelOccupation

5. Identification IndicatorsProgrammed cost by project component Actual expenditures by project component


a. Not considered in baseline.b. To be developed in coordination with Education Reform staff; will be consid-ered exongenous to the intervention unless the SIF Education Reform interven-tions are considered jointly. c. General mortality rate, birthrate, global fertility rate, adult mortality, and lifeexpectancy at birth deleted.d. Training in health topics deleted.e. General mortality rate, birthrate, global fertility rate, adult mortality (male andfemale), life expectancy at birth, prevalence of acute respiratory infections, andtreatment of coughing deleted.


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etti

ng th

e pr

ojec

tob

ject

ive,

see

“D

o’s

and

Don

’ts f

or S

etti

ng a

Pro

ject

Dev

elop

men

t Obj

ecti

ve”

(cal

l x37

065

or e

-mai

lM

&E

Hel

p@w

orld

bank

.org

for

a co

py).

Ou

tcom

e / I

mp

act

Ind

icat

ors:

1. O

utco

me

ind

icat

ors

rela

teto

the

resu

lts

to b

e ac

hiev

edby

the

end

of

proj

ect i

mpl

e-m

enta

tion

, whi

le im

pact

may

not

be

fully

ach

ieve

dun

til f

ive

or m

ore

year

s af

ter

proj

ect i

mpl

emen

tati

on h

asbe

en c

ompl

eted

.2.

Ind

icat

ors

at th

e ou

tcom

e(P

DO

-lev

el)

are

not a

rest

atem

ent o

f th

ose

at th

eou

tput

leve

l.3.

Col

lect

ion

of d

ata

for

mea

sure

men

t of

thes

e in

di-

cato

rs is

gen

eral

ly f

und

edby

the

proj

ect.

Pro

ject

Rep

orts

:1.

Thi

s co

lum

n id

enti

fies

whe

re th

e in

form

atio

n fo

rve

rify

ing

each

ind

icat

or w

illbe

fou

nd, a

nd th

e pr

oces

sin

volv

ed.

2. I

ndic

ator

s ac

com

pany

ing

the

proj

ect d

evel

opm

ent

obje

ctiv

e ar

e ge

nera

lly m

oni-

tore

d a

nd e

valu

ated

via

var

i-ou

s pr

ojec

t rep

orts

, sup

ervi

-si

on m

issi

on r

epor

ts, a

ndev

alua

tion

(m

idte

rm a

ndfi

nal)

rep

orts

.3.

Whe

n d

ata

colle

ctio

n is

requ

ired

, spe

cifi

c m

enti

onsh

ould

be

mad

e of

met

hod

san

d r

espo

nsib

iliti

es, w

hich

may

incl

ude

inqu

irie

s fr

ombe

nefi

ciar

ies.

proj

ect a

nd o

utsi

de

of th

ese

ctor

.

(Fro

m P

roje

ct D

evel

opm

ent

Ob

ject

ive

to S

ecto

r-R

elat

edC

AS

Goa

l)•

Ass

umin

g th

at th

e pr

ojec

td

evel

opm

ent o

bjec

tive

isac

hiev

ed, l

ist a

ny a

dd

itio

nal

assu

mpt

ions

nee

ded

to ju

sti-

fy th

e pr

ojec

t’s c

ontr

ibut

ion

to th

e st

ated

goa

l.•

The

se a

ssum

ptio

ns r

efer

toth

e co

ntri

buti

on(s

) of

ad

di-

tion

al p

roje

cts,

ad

dit

iona

lin

puts

, or

add

itio

nal

resp

onse

s fr

om b

enef

icia

rygr

oups

and

inst

itut

ions

that

are

crit

ical

to th

e ac

hiev

e-m

ent o

f th

e st

ated

goa

l.

(Ann

ex 5

con

tinu

es o

n th

e fo

llow

ing

page

.)


206

(Fro

m O

utp

uts

to

Pro

ject

Dev

elop

men

t O

bje

ctiv

e)•

Ass

umin

g th

at th

e ou

tput

slis

ted

in th

e fa

r le

ft b

ox a

reac

hiev

ed b

y th

e en

d o

f th

epr

ojec

t, lis

t any

ad

dit

iona

las

sum

ptio

ns n

eed

ed to

achi

eve

the

proj

ect o

bjec

tive

.•

The

se a

ssum

ptio

ns m

ayen

caps

ulat

e co

ndit

ions

, pol

i-cy

cha

nges

, or

expe

cted

beha

vior

s of

ben

efic

iary

grou

ps o

r in

stit

utio

ns th

atar

e ne

cess

ary

for

proj

ect s

uc-

cess

.•

The

se a

ssum

ptio

ns a

recr

itic

al to

the

achi

evem

ent o

fth

e st

ated

pro

ject

obj

ecti

vebu

t are

out

sid

e th

e d

irec

tco

ntro

l of

the

proj

ect.

Pro

ject

Rep

orts

:1.

Out

put i

ndic

ator

s ar

e ge

n-er

ally

mon

itor

ed a

nd e

valu

at-

ed v

ia v

ario

us p

roje

ct r

epor

ts,

supe

rvis

ion

mis

sion

rep

orts

,an

d e

valu

atio

n (m

idte

rm a

ndfi

nal)

rep

orts

.2.

Sou

rces

of

dat

a fo

r m

oni-

tori

ng a

nd e

valu

atin

g th

ese

ind

icat

ors

typi

cally

incl

ude

adm

inis

trat

ive

and

man

age-

men

t rec

ord

-kee

ping

sys

tem

san

d s

umm

ary

repo

rts

gene

r-at

ed b

y th

e pr

ojec

t.

Ou

tpu

t In

dic

ator

s:1.

Out

put i

ndic

ator

s ha

vequ

anti

ty, q

ualit

y, a

nd ti

me

attr

ibut

es. I

f ti

me

is n

ot s

tat-

ed, t

he e

nd o

f pr

ojec

t is

assu

med

.2.

Out

put i

ndic

ator

s ge

nera

l-ly

incl

ude

mea

sure

s of

cos

t-ef

fici

ency

.3.

Col

lect

ion

of d

ata

for

mea

-su

rem

ent o

f ou

tput

ind

ica-

tors

is f

und

ed b

y th

e pr

ojec

t.4.

For

com

plex

pro

ject

s, a

sepa

rate

tabl

e (p

erha

ps a

nad

den

dum

to a

nnex

1)

may

be u

sed

to p

rovi

de

a m

ore

det

aile

d li

stin

g of

out

put

ind

icat

ors.

5. I

t is

bett

er to

hav

e on

ly a

few

mea

ning

ful a

nd e

asily

mea

sure

d o

utpu

t ind

icat

ors

than

an

abun

dan

ce o

f in

di-

cato

rs f

or w

hich

dat

a co

llec-

tion

is p

robl

emat

ic.

Ou

tpu

t fr

om e

ach

Com

pon

ent:

1. S

tate

her

e (i

n th

e pa

stte

nse)

the

valu

e ad

ded

by

the

com

plet

ion

of e

ach

com

-po

nent

.2.

Aco

rrec

t sta

tem

ent o

fou

tput

val

ue a

dd

ed w

ill b

eea

sy to

mea

sure

(as

ref

lect

-ed

in th

e in

dic

ator

s to

the

righ

t).

3. F

or s

impl

icit

y an

d c

lari

tyof

the

logi

c, th

ere

shou

ld b

eon

e ou

tput

sta

tem

ent f

orea

ch c

orre

spon

din

g pr

ojec

tco

mpo

nent

.4.

Eac

h ou

tput

sho

uld

cor

re-

spon

d in

num

ber

to it

sre

spec

tive

com

pone

nt.

5. T

he p

roje

ct te

am is

gen

er-

ally

res

pons

ible

for

ens

urin

gth

e d

eliv

ery

of th

e ou

tput

sas

par

t of

good

pro

ject

des

ign

and

goo

d im

plem

en-

tati

on, p

lann

ing,

and

del

iv-

ery.

An

nex

5 (c

onti

nued

)


207

Pro

ject

Com

pon

ents

/S

ub

com

-pon

ents

:1.

Aco

mpo

nent

is a

clu

ster

of s

ubco

mpo

nent

s or

act

ivi-

ties

that

are

des

igne

d to

pro

-d

uce

a si

ngle

pro

ject

out

put.

2. L

ist e

ach

proj

ect c

ompo

-ne

nt a

s a

mai

n he

adin

g, f

ol-

low

ed b

y th

e m

ajor

sub

com

-po

nent

s, if

any

, tha

t are

fund

ed a

s a

part

of

it.

6. T

he o

utpu

t ind

icat

ors

are

agre

ed o

n w

ith

the

borr

ower

dur

ing

PCD

sta

ge (

as to

the

avai

labi

lity

of d

ata

and

eas

eof

col

lect

ion)

, and

a b

asel

ine

is o

btai

ned

pri

or to

app

rais

al.

Pro

ject

In

pu

ts (

bu

dge

t fo

rea

ch c

omp

onen

t):

1. L

ist c

ompo

nent

inpu

ts in

term

s of

the

tota

l cos

t of

each

com

pone

nt in

clud

ing

cont

in-

genc

ies

(for

exa

mpl

e,U

S$__

_).

2. F

or la

rge

or c

ompl

ex p

ro-

ject

s, th

e co

sts

for

subc

ompo

-ne

nts

may

als

o be

sho

wn

(ind

ente

d, t

o se

para

te th

emfr

om th

e co

mpo

nent

cos

ts).

Pro

ject

Rep

orts

:1.

Inp

uts

are

gene

rally

mon

i-to

red

via

pro

gres

s re

port

san

d d

isbu

rsem

ent r

epor

ts(b

oth

quar

terl

y).

2. I

nput

s ar

e ge

nera

lly e

valu

-at

ed v

ia s

uper

visi

on m

issi

onre

port

s (s

emia

nnua

l) a

ndau

dit

rep

orts

(an

nual

).

(Fro

m P

roje

ct C

omp

onen

tsto

Pro

ject

Ou

tpu

ts)

• A

ssum

ing

that

the

com

po-

nent

s an

d a

ctiv

itie

s lis

ted

inth

e fa

r le

ft b

ox a

re im

ple-

men

ted

suc

cess

fully

, lis

t any

add

itio

nal a

ssum

ptio

nsne

eded

to a

chie

ve th

e st

ated

outp

uts.

• T

hese

ass

umpt

ions

are

cond

itio

ns o

utsi

de

the

dir

ect

cont

rol o

f th

e pr

ojec

t and

are

requ

ired

if th

e st

ated

pro

ject

outp

uts

are

to b

e ac

hiev

ed.

• T

he p

roje

ct it

self

sho

uld

not b

e sp

end

ing

mon

ey to

achi

eve

any

of th

ese

cond

i-ti

ons

(sin

ce s

uch

assu

mp-

tion

s ar

e in

clud

ed in

the

com

pone

nts

them

selv

es).

Sour

ce:O

pera

tion

al C

ore

Serv

ices

Dep

artm

ent,

Wor

ld B

ank.

For

com

plet

ed e

xam

ples

of

this

ann

ex, v

isit

the

M&

E H

elp

Des

k on

the

Ban

k’s

inte

rnal

Web

at h

ttp:

//

Lnt

s012

/he

lpd

esk.

nsf.


Ann

ex 6

Mat

rix

of A

naly

sis

Nic

arag

ua

Em

erge

ncy

Soc

ial

Inve

stm

ent

Fun

d I

mp

act

Eva

luat

ion

— 1

998

A. P

over

ty T

arge

tin

gIs

sues

Gen

eral

Ind

icat

ors

Met

hodo

logi

esC

omm

ents

Sour

ce o

f dat

a

208

Pove

rty

leve

ls o

f SF

com

mun

itie

s/d

istr

icts

•P

erce

nt o

f ho

use

-ho

lds

in c

omm

uni

tyor

dis

tric

t be

low

pov

erty

line

or

con-

sum

pti

on le

vels

of

extr

eme

poo

r

•M

ean

cons

umpt

ion

leve

l in

soci

al f

und

part

icip

ant c

omm

uni-

ties

ver

sus

cons

ump-

tion

leve

l in

coun

try

•Po

vert

y m

ap in

dex

(as

used

by

SF)

Req

uire

s ho

useh

old

inco

me

and

con

sum

ptio

nsu

rvey

and

iden

tifi

cati

onof

SF

acti

viti

es b

y co

m-

mun

ity

and

dis

tric

t

Req

uire

s ho

useh

old

inco

me

and

con

sum

ptio

nsu

rvey

and

iden

tifi

cati

onof

SF

acti

viti

es b

y co

m-

mun

ity

and

dis

tric

t

Map

s us

ually

use

pro

xym

easu

res,

like

a c

ompo

s-

To c

ompa

re a

cros

s co

un-

trie

s, n

eed

sim

ilar

def

in-

itio

ns o

f po

vert

y lin

es

Dis

adva

ntag

es a

re th

at it

arbi

trar

ily c

hoos

es in

di-

Ove

rsam

plin

g na

tion

alho

useh

old

sur

vey

(LSM

S) in

SF

com

mun

i-ti

es—

only

for

ed

uca-

tion

, hea

lth,

wat

er, a

ndsa

nita

tion

pro

ject

s

Ove

rsam

plin

g na

tion

alho

useh

old

sur

vey

(LSM

S) in

SF

com

mun

i-ti

es—

only

for

ed

uca-

tion

, hea

lth,

wat

er, a

ndsa

nita

tion

pro

ject

s

SF u

ses

pove

rty

map

base

d o

n L

SMS9

3 d

ata


209

Pove

rty

leve

ls o

f SF

bene

fici

arie

s (h

ouse

-ho

ld le

vel)

•Pe

rcen

t of

bene

fici

a-ri

es b

elow

pov

erty

line

or in

ext

rem

epo

vert

y

•M

ean

cons

umpt

ion

leve

l of

bene

fici

ary

hous

ehol

ds

vers

usna

tion

al a

vera

ge f

orsi

mila

r ho

useh

old

spe

r pr

ojec

t typ

e (f

orex

ampl

e, w

ith

chil-

dre

n in

pri

mar

ysc

hool

, wit

h ac

cess

topi

ped

wat

er, w

ho u

sela

trin

es)

ite

pove

rty

ind

ex b

ased

on m

ix o

f va

riab

les

Inco

me

and

con

sum

p-

tion

su

rvey

tha

t p

icks

up

SF

bene

fici

arie

sei

ther

by

size

of

SF o

r by

over

sam

pli

ng in

SF

com

-m

uni

ties

Inco

me

and

con

sum

ptio

nsu

rvey

that

pic

ks u

p SF

bene

fici

arie

s ei

ther

by

virt

ue o

f si

ze o

f SF

or

byov

ersa

mpl

ing

in S

F co

m-

mun

itie

s; c

an a

lso

over

-sa

mpl

e in

“m

atch

” co

m-

mun

itie

s w

itho

ut S

Fin

terv

enti

ons

cato

rs a

nd w

eigh

ts, a

ndea

ch c

ount

ry h

as d

iffer

-en

t ind

ex. A

dva

ntag

e is

that

it o

ften

pro

vid

esm

ore

geog

raph

ical

dis

-ag

greg

atio

n th

an in

com

ean

d c

onsu

mpt

ion

sur-

veys

—th

e tw

o ca

n be

linke

d to

der

ive

pred

ict-

ed c

onsu

mpt

ion

leve

ls a

td

issa

greg

gate

d le

vels

May

var

y w

idel

y by

SF

proj

ect t

ype

usin

g co

mpo

site

pov

er-

ty in

dex

; will

upd

ate

usin

g L

SMS9

8 an

dC

ensu

s d

ata

to p

red

ict

cons

umpt

ion

at s

ubna

-ti

onal

leve

ls

Ove

rsam

plin

g na

tion

alho

useh

old

sur

vey

(LSM

S) in

SF

com

mun

i-ti

es

Ove

rsam

plin

g na

tion

alho

useh

old

sur

vey

(LSM

S) in

SF

com

mun

i-ti

es

(Mat

rix

cont

inue

s on

the

follo

win

g pa

ge.)


210

Dis

trib

utio

n of

SF

reso

urce

s

Inst

itut

iona

l des

ign

feat

ures

that

aff

ect

SF ta

rget

ing

perf

or-

man

ce

Oth

er f

acto

rs a

ffec

t-in

g ta

rget

ing

perf

or-

man

ce

•Pe

rcen

t of

SF p

roje

cts

and

res

ourc

es in

bot

-to

m q

uint

ile o

f d

is-

tric

ts

•U

se o

f po

vert

y m

ap•

Prom

otio

nal e

ffor

ts•

Dir

ect a

cces

s by

ben

e-fi

ciar

y gr

oups

•Sh

are

of p

roje

cts

byre

ques

ting

age

ncy

•D

ecen

tral

ized

off

ices

•Ta

rget

res

ourc

e al

loca

-ti

ons

•Su

bpro

ject

men

u

•A

ge o

f SF

•“S

ocia

l cap

ital

” of

com

mun

ity

•D

ista

nce

to S

F he

ad-

quar

ters

•H

ighe

st e

duc

atio

nle

vel o

f be

nefi

ciar

ies

•Pr

esen

ce o

f go

vern

-m

ent o

r N

GO

inte

r-ve

ntio

ns

Nee

d c

onsi

sten

t ran

king

met

hod

olog

y ac

ross

coun

trie

s

Dev

elop

sta

ndar

d in

stit

u-ti

onal

var

iabl

es th

at c

anbe

use

d to

exp

lain

targ

et-

ing

outc

omes

—va

riab

les

easi

ly o

btai

ned

fro

m S

Fs

Als

o ne

ed s

tand

ard

def

i-ni

tion

s fo

r va

riab

les—

vari

able

s ob

tain

ed f

rom

SFs,

hou

seho

ld s

urve

ys(w

ith

iden

tifi

cati

on o

f SF

bene

fici

arie

s), a

nd n

atio

n-al

sur

veys

Nee

d to

rev

iew

ran

king

syst

em a

nd r

ecal

ibra

te

Info

rmat

ion

avai

labl

efr

om S

F

Onl

y in

dic

ator

in d

oubt

is th

e “s

ocia

l cap

ital

of

com

mun

ity”

Mat

rix

(con

tinu

ed)

Issu

esG

ener

al I

ndic

ator

sM

etho

dolo

gies

Com

men

tsSo

urce

of d

ata


211

Com

pari

son

of a

lter

-na

tive

s

Phys

ical

cap

ital

•D

egre

e of

cou

ntry

inco

me

ineq

ualit

y

•Pe

rcen

t of

SF p

roje

cts

and

res

ourc

es in

bot

-to

m q

uint

ile o

f d

is-

tric

ts v

ersu

s ot

her

com

para

ble

prog

ram

san

d d

eliv

ery

mec

ha-

nism

s

•E

xten

t to

whi

ch s

ub-

proj

ects

res

pond

toco

mm

unit

y pr

iori

ties

•B

enef

icia

ry p

erce

ptio

nof

ben

efit

leve

l and

impr

ovem

ents

to w

el-

fare

•Im

prov

emen

t in

acce

ssto

soc

ial a

nd e

cono

mic

Com

pare

targ

etin

g pe

r-fo

rman

ce b

ased

on

geo-

grap

hica

l loc

atio

n or

pove

rty

leve

ls o

f be

nefi

-ci

arie

s, d

epen

din

g on

surv

ey d

esig

n, s

cale

of

SFan

d o

ther

pro

gram

s

Com

mun

ity-

leve

l sur

vey,

bene

fici

ary

asse

ssm

ent,

or h

ouse

hold

sur

vey

wit

hov

ersa

mpl

es in

SF

area

s

Hou

seho

ld s

urve

y or

bene

fici

ary

asse

ssm

ent i

nSF

com

mun

itie

s

Hou

seho

ld s

urve

y of

SF

bene

fici

arie

s

Diff

icul

t to

find

via

ble

com

para

tors

; nee

d s

epa-

rate

info

rmat

ion

gath

er-

ing

from

com

para

tor

prog

ram

s

Nee

d to

hav

e ei

ther

base

line

or r

ecal

l que

s-

Plan

ned

for

cos

t-ef

fici

ency

ana

lysi

s

Cov

ered

in I

DB

-fi

nanc

ed B

enef

icia

ryA

sses

smen

t and

Faci

litie

s Su

rvey

Cov

ered

in h

ouse

hold

surv

ey a

nd I

DB

-fi

nanc

ed B

enef

icia

ryA

sses

smen

t

Som

e re

call

ques

tion

sin

hou

seho

ld s

urve

y,

B. B

enef

its

Dat

a so

urce

s/C

ase

Stud

y:Is

sues

Gen

eral

Ind

icat

ors

met

hodo

logi

esC

omm

ents

Nic

arag

ua

(Mat

rix

cont

inue

s on

the

follo

win

g pa

ge.)


212

Mat

rix

(con

tinu

ed)

Dat

a so

urce

s/C

ase

Stud

y:Is

sues

Gen

eral

Ind

icat

ors

met

hodo

logi

esC

omm

ents

Nic

arag

ua

infr

astr

uctu

re (

befo

rean

d a

fter

)

•Im

prov

emen

t in

acce

ssto

soc

ial a

nd e

cono

mic

infr

astr

uctu

re v

ersu

sco

mpa

rato

r pr

ojec

ts

•Im

prov

emen

t in

qual

i-ty

of

infr

astr

uctu

re a

ndse

rvic

es (

befo

re a

ndaf

ter)

•Im

prov

emen

t in

qual

i-ty

of

infr

astr

uctu

re a

ndse

rvic

es v

ersu

s co

m-

para

tor

proj

ects

Hou

seho

ld s

urve

y of

SF

and

com

para

tor

proj

ect

bene

fici

arie

s

Faci

litie

s su

rvey

and

hous

ehol

d s

urve

y, s

ome

cove

rage

fro

m b

enef

icia

-ry

ass

essm

ent

Faci

litie

s su

rvey

and

hous

ehol

d s

urve

y, s

ome

cove

rage

fro

m b

enef

icia

-ry

ass

essm

ent (

in S

F an

dco

mpa

rato

rs)

tion

s; n

eed

to d

evel

opse

para

te in

dic

ator

s pe

rty

pe o

f SF

pro

ject

Nee

d to

hav

e ei

ther

base

line

or r

ecal

l que

s-ti

ons;

nee

d to

dev

elop

sepa

rate

ind

icat

ors

per

type

of

SF p

roje

ct

Nee

d to

hav

e ei

ther

base

line

or r

ecal

l que

s-ti

ons;

nee

d to

dev

elop

sepa

rate

ind

icat

ors

per

type

of

SF p

roje

ct

Nee

d to

hav

e ei

ther

base

line

or r

ecal

l que

s-ti

ons;

nee

d to

dev

elop

sepa

rate

ind

icat

ors

per

type

of

SF p

roje

ct

also

pos

sibl

e ex

ant

efr

om p

revi

ous

LSM

S;ca

n co

mpa

re S

F be

nefi

-ci

ary

wit

h ch

arac

teri

s-ti

cs o

f na

tion

al p

opul

a-ti

on a

nd w

ith

mat

chco

mm

unit

ies

Can

com

pare

SF

bene

fi-

ciar

y w

ith

gene

ral c

har-

acte

rist

ics

of n

atio

nal

popu

lati

on a

s w

ell a

sm

atch

com

mun

itie

s

For

educ

atio

n, h

ealt

h,w

ater

and

san

itat

ion,

reca

ll pl

us h

isto

rica

lin

form

atio

n fr

om f

acili

-ti

es s

urve

y an

d S

F ex

ante

app

rais

al

For

educ

atio

n, h

ealt

h,w

ater

and

san

itat

ion,

SF a

nd n

on-S

F fa

cilit

ies

thro

ugh

hous

ehol

d a

ndfa

cilit

ies

surv

eys


213

Hum

an c

apit

al•

Impr

oved

ed

ucat

iona

lst

atus

: sch

ool a

tten

-d

ance

, yea

rs c

ompl

et-

ed, d

ropo

ut a

nd r

eten

-ti

on r

ates

(be

fore

and

afte

r an

d v

ersu

s co

m-

para

tors

)

•Im

prov

ed h

ealt

h st

a-tu

s: f

or e

xam

ple,

inci

-d

ence

of

dis

ease

, inf

ant

mor

talit

y, m

alnu

trit

ion,

incr

ease

d b

reas

tfee

din

g(b

efor

e an

d a

fter

and

vers

us c

ompa

rato

rs)

•Im

prov

ed e

cono

mic

stat

us: i

ncre

ased

inco

me,

red

uced

tim

esp

ent f

etch

ing

wat

er,

low

er c

ost o

f se

rvic

es,

incr

ease

d e

mpl

oym

ent

(bef

ore

and

aft

er a

ndve

rsus

com

para

tors

)

Hou

seho

ld s

urve

y an

din

form

atio

n fr

om s

choo

l

Hou

seho

ld s

urve

y w

ith

heal

th m

odul

e.A

nthr

opom

etri

c m

ea-

sure

s if

mal

nutr

itio

nin

clud

ed

Hou

seho

ld s

urve

y

Hou

seho

ld s

urve

y an

din

form

atio

n fr

omsc

hool

for

SF

and

non

-SF

sch

ools

and

hou

se-

hold

s

Hou

seho

ld s

urve

y an

din

form

atio

n fr

om h

ealt

hce

nter

for

SF

and

non

-SF

cen

ters

and

hou

se-

hold

s

Hou

seho

ld s

urve

y fo

rSF

-ben

efic

iary

and

non

-be

nefi

ciar

y m

atch

com

-m

unit

ies

(Mat

rix

cont

inue

s on

the

follo

win

g pa

ge.)


214

Soci

al c

apit

al

Sust

aina

bilit

y of

oper

atio

ns

•In

crea

sed

com

mun

ity

capa

city

to a

dd

ress

prob

lem

s (v

ersu

s co

m-

para

tors

)

•In

crea

sed

par

tici

pati

onra

tes

in c

omm

unit

y-in

itia

ted

cha

nges

(ve

r-su

s co

mpa

rato

rs)

•C

ond

itio

ns u

nder

whi

ch S

F pr

ojec

ts a

reop

erat

ing

afte

r SF

inte

r-ve

ntio

n (a

bsol

ute

sus-

tain

abili

ty)

•C

ond

itio

ns u

nder

whi

ch S

F pr

ojec

ts a

reop

erat

ing

afte

r SF

inte

r-ve

ntio

n ve

rsus

com

-pa

rato

r pr

ojec

ts (

rela

-ti

ve s

usta

inab

ility

)

Hou

seho

ld s

urve

y, c

om-

mun

ity

surv

ey, a

nd/

orbe

nefi

ciar

y as

sess

men

t

Hou

seho

ld s

urve

y, c

om-

mun

ity

surv

ey, o

r be

nefi

-ci

ary

asse

ssm

ent

Faci

litie

s su

rvey

Faci

litie

s su

rvey

Nee

d to

dev

elop

ind

ica-

tors

Can

get

som

e ad

dit

iona

lin

form

atio

n fr

om b

enef

i-ci

ary

asse

ssm

ent

Can

get

som

e ad

dit

iona

lin

form

atio

n fr

om b

enef

i-ci

ary

asse

ssm

ent

Not

ad

dre

ssed

Info

rmat

ion

in h

ouse

-ho

ld s

urve

y on

par

tici

-pa

tion

For

educ

atio

n an

dhe

alth

pro

ject

sur

veys

,ha

ve b

oth

SF a

nd n

on-

SF For

educ

atio

n an

dhe

alth

pro

ject

sur

veys

,ha

ve b

oth

SF a

nd n

on-

SF

Mat

rix

(con

tinu

ed)

Dat

a so

urce

s/C

ase

Stud

y:Is

sues

Gen

eral

Ind

icat

ors

met

hodo

logi

esC

omm

ents

Nic

arag

ua

C. S

ust

ain

abil

ity

of B

enef

its

Dat

a so

urce

s/C

ase

Stud

y:Is

sues

Gen

eral

Ind

icat

ors

met

hodo

logi

esC

omm

ents

Nic

arag

ua


215

Can

get

som

e ad

dit

iona

lin

form

atio

n fr

om b

enef

i-ci

ary

asse

ssm

ent

Can

get

som

e ad

dit

iona

lin

form

atio

n fr

om b

enef

i-ci

ary

asse

ssm

ent

Can

get

som

e ad

dit

iona

lin

form

atio

n fr

om b

enef

i-ci

ary

asse

ssm

ent

For

educ

atio

n an

dhe

alth

pro

ject

sur

veys

,ha

ve b

oth

SF a

nd n

on-

SF For

educ

atio

n an

dhe

alth

pro

ject

sur

veys

,ha

ve b

oth

SF a

nd n

on-

SF For

educ

atio

n an

dhe

alth

pro

ject

sur

veys

,ha

ve b

oth

SF a

nd n

on-

SF Wou

ld n

eed

ad

dit

iona

lw

ork

Incl

ude

in n

ext

bene

fi-

ciar

y as

sess

men

t;im

pact

eva

luat

ion

Faci

litie

s su

rvey

Faci

litie

s su

rvey

Faci

litie

s su

rvey

and

hous

ehol

d s

urve

y

SF d

atab

ase,

com

mun

ity

surv

ey, o

r be

nefi

ciar

yas

sess

men

t

Com

mun

ity

surv

ey,

hous

ehol

d s

urve

y, o

rbe

nefi

ciar

y as

sess

men

t

•M

aint

enan

ce o

f in

fra-

stru

ctur

e an

d s

ervi

ces

over

tim

e (a

bsol

ute)

•M

aint

enan

ce o

f in

fra-

stru

ctur

e an

d s

ervi

ces

over

tim

e ve

rsus

com

-pa

rato

r pr

ojec

ts (

rela

-ti

ve)

•Q

ualit

y an

d q

uant

ity

ofin

fras

truc

ture

and

ser

-vi

ces

over

tim

e

•Te

nden

cy o

f SF

com

mu-

niti

es to

sub

mit

oth

erpr

opos

als

(to

SF a

ndot

hers

) ov

er ti

me

•C

omm

unit

y pa

rtic

ipa-

tion

in s

ocia

l and

eco

-no

mic

infr

astr

uctu

rene

eds

over

tim

e

Sust

aina

bilit

y of

mai

nten

ance

Sust

aina

bilit

y of

impa

ct

Sust

aina

bilit

y of

com

mun

ity

effe

cts

(Mat

rix

cont

inue

s on

the

follo

win

g pa

ge.)


216

Mat

rix

(con

tinu

ed)

D. C

ost-

Eff

icie

ncy

Iss

ues

Dat

a so

urce

s/C

ase

Stud

y:Is

sues

Gen

eral

Ind

icat

ors

met

hodo

logi

esC

omm

ents

Nic

arag

ua

Cos

t-ef

fici

ency

of

subp

roje

cts

•A

vera

ge c

ost p

er n

ewsc

hool

, hea

lth

post

,w

ater

sys

tem

ver

sus

alte

rnat

ive

appr

oach

esve

rsus

com

para

tor

pro-

ject

s

•U

nit c

osts

: cos

t per

squa

re m

eter

of

con-

stru

ctio

n, p

er k

ilom

eter

of r

oad

, and

so

on, v

er-

sus

com

para

tor

proj

ects

•A

vera

ge c

ost p

er b

enef

i-ci

ary

per

SF p

roje

ct ty

peve

rsus

com

para

tors

•A

vera

ge c

ost o

f em

ploy

-m

ent g

ener

ated

ver

sus

com

para

tors

SF d

atab

ase

and

info

r-m

atio

n fr

om g

over

nmen

tm

inis

trie

s an

d m

unic

ipal

gove

rnm

ents

SF d

atab

ase

and

info

r-m

atio

n fr

om g

over

nmen

tm

inis

trie

s an

d m

unic

ipal

gove

rnm

ents

SF d

atab

ase

and

info

r-m

atio

n fr

om g

over

nmen

tm

inis

trie

s an

d m

unic

ipal

gove

rnm

ents

SF d

atab

ase

and

info

r-m

atio

n fr

om g

over

nmen

tm

inis

trie

s an

d m

unic

ipal

gove

rnm

ents

Cos

ts c

hang

e ov

er ti

me

and

com

para

tor

proj

ects

mus

t be

iden

tica

l

SF a

nd n

on-S

F d

ata

from

fac

iliti

es s

urve

y.N

on-S

F co

st e

stim

ates

may

not

be

relia

ble

Can

cal

cula

te S

F av

er-

ages

. Will

incl

ude

inco

st-e

ffic

ienc

y an

alys

is

Can

cal

cula

te S

F av

er-

ages

. Will

incl

ude

inco

st-e

ffic

ienc

y an

alys

is

Can

cal

cula

te S

F av

er-

ages

. Will

incl

ude

inco

st-e

ffic

ienc

y an

alys

is


217

Can

cal

cula

te S

F av

er-

ages

. Will

incl

ude

inco

st-e

ffic

ienc

y an

alys

is

Can

cal

cula

te S

F av

er-

ages

. Will

incl

ude

inco

st-e

ffic

ienc

y an

alys

is

Nee

d to

dev

elop

sta

n-d

ard

def

init

ions

of

inst

i-tu

tion

al c

osts

; spe

cify

tim

e pe

riod

SF d

atab

ase

and

info

r-m

atio

n fr

om g

over

n-m

ent m

inis

trie

s an

dm

unic

ipal

gov

ernm

ents

SF d

atab

ase

and

info

r-m

atio

n fr

om g

over

n-m

ent m

inis

trie

s an

dm

unic

ipal

gov

ernm

ents

•SF

inst

itut

iona

l cos

ts(i

nves

tmen

t and

ope

rat-

ing)

as

shar

e of

SF

pro-

ject

s ve

rsus

com

para

tor

proj

ects

•A

vera

ge c

ompl

etio

nti

me

vers

us c

ompa

rato

rpr

ojec

ts

Cos

t eff

icie

ncy

ofd

eliv

ery

mec

hani

sm


annex 2 sample terms of reference - world...

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