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ASSESSMENT OF THE FUNCTIONALITY OF THE MONITORING AND EVALUATION SYSTEM AND THE PERFORMANCE OF

THE PUBLIC SECTOR PROGRAM. A CASE STUDY

OF MASAKA DISTRICT LOCAL

GOVERNMENT

INTRODUCTION

1.1 Introduction

The chapter will focus on the background of the study, statement of the problem, purpose of study, specific objectives of the study, research questions, research hypotheses, conceptual framework, and scope of the study, significance, justification and operational definitions of key terms in the study.

1.2 Background to the Study

1.2.1 Historical Background

Evaluation has been an integral part of human existence since time immemorial, evolving alongside the progress of human civilization (Basheka, 2016). The roots of evaluation practices extend back to biblical times, as evidenced in the extensive account of creation found in Genesis (1:31). According to this biblical narrative, on the fifth day of creation, God observed the entirety of His creation and found it to be good. The influence of ancient Greek philosophers such as Socrates, Plato, and Aristotle, as well as mathematical thinkers like Pythagoras and Euclid, significantly shaped various fields, including evaluation (Zanakis, Theofanides, Kontaratos, and Tassios, 2003).

Scholarly records indicate that the Delphic oracle, operating from the ninth to the third centuries BC, served as the ancient world’s inaugural central intelligence database. Comprising around 90 priests considered the best-educated experts of their time, this interdisciplinary think tank engaged in collecting and evaluating information, offering counsel to both ordinary individuals and leaders, including figures like Alexander the Great (Theofanides et al., 2003). Notably, in the fourth century BC, substantial project management activities featured evaluation and monitoring as crucial components. Griffin (2005) highlights that the practice of management has deep historical roots, pointing to the construction of the great pyramids in 2900 B.C. as a classic example of effective management and coordination. The Egyptians applied management functions such as planning, organizing, and controlling in the realization of these monumental structures.

In the contemporary world, the international status of M&E research remains theoretically and methodologically influenced by the American tradition. The United States (US) is regarded as the motherland of the field in terms of its trends, number of authors and their academic and professional influence, degree of professionalization, focus of academic programs, legislation and institutionalization of evaluation, development of models and approaches for evaluation, evaluation capacity building initiatives, evaluation standards and guiding principles, number and attendees of evaluation conferences and workshops, publications and their impact factor, guides and evaluation handbooks (Basheka, 2016: 4). The American Evaluation Association (AEA) for example remains the most dominant evaluation society in the world with membership that has grown from just over 3000 members in 2001 to approximately 7000 by mid-2015 (Basheka & Byamugisha, 2015:76). Other countries however, equally have noticeable developments regarding evaluation. In Europe, professionalization of evaluation has progressed to different levels across countries with Sweden, the Netherlands, Great Britain, Germany, Denmark, Norway, France and Finland currently topping the list. Recent rankings further point to impressive developments of the field in Switzerland, Japan, Spain, Italy, Israel and Africa. In 2011, the International Organization for Cooperation in Evaluation (IOCE) identified 117 evaluation associations, 96 of which were national organizations located in 78 different countries. By 2013, the number had increased to 145 (IOCE 2013:2; BaTall 2009:7).

In Africa, the oldest evaluation association was established in 1997 in Ghana, while the African Evaluation association was itself established in 1999 with the heyday period of intense professional associations reported between 2000 and 2004 (Basheka & Byamugisha, 2015). Domestic and global forces played a role in this growth. Globally, Mertens and Russon (2000:275) proclaim that the emergence of many new regional and national organizations illustrated the growing worldwide recognition of the importance of evaluation. Before 1995 there existed only five regional and/or national evaluation organizations in the world but by 2000 there were more than 30 – a 500% increase in a 5-year period. Much of this growth was occurring in developing countries, particularly in Africa (p. 275). Malefetsane, Lungepi and Tembile (2014:5) observe that in Africa, evaluation has been on the increase; a trend predicted to continue especially with political recognition of the utility of evaluation to good governance. De Kool and Van Buuren (2004:173) conceded that the rise to New Public Management (NPM) which was constructed around key philosophies that emphasized outputs and outcomes, transparency and accountability, created a demand for M&E in Africa.

In Uganda, over the past two decades, considerable efforts have been made to establish a strong and robust basis for assessing both private and public spending. In achieving this, M&E was considered as a means of Government and NGOs measuring their development interventions. M&E was therefore enshrined in the National Development Plan and institutionalized in the governance systems and processes (National Development Plan,2010/11-2014/15).The Office of the Prime Minister (OPM) was given the constitutional mandate to oversee reforms and service delivery in all Government Ministries, Departments and Agencies and established an M&E function to support this role (National M&E Policy, 2013).

A National Integrated Monitoring and Evaluation Strategy of Government programmes was developed with the aim of enhancing M&E capacity as well as ensuring that sound evidence based data and information are available to inform decision making (NIMES, 2006). Significant effort went into introducing planning, results based budgets, monitoring systems and developing the institutional capacity to design ministry strategy and plans to implement M&E arrangements to monitor results and provide a basis for performance improvement as provided for in the National Development Plan (Annual Performance Assessment Report,2013/2014).

1.2.2 Theoretical Background

The study is grounded in the General Systems Theory developed by Bertalanffy (1934), as cited in Tama (1987). This theoretical framework provides an analytical lens through which to examine the factors influencing the utilization of evaluation data, specifically in the context of assessing the functionality of the monitoring and evaluation system and the performance of public sector programs.

According to Bertalanffy (1968), a system is conceptualized as an assemblage of interconnected elements forming a complex unity. It is comprised of various parts and sub-parts arranged in an orderly manner according to a scheme or plan. The key features of a system include the combination of parts, sub-parts, and sub-systems, each of which may have its own set of sub-components. Importantly, these parts are mutually dependent, with relationships existing both directly and indirectly. Any alteration in one part can potentially affect other parts, illustrating the interconnected nature of systems. Furthermore, a system is described as an interdependent framework where various parts are organized within a specific context, emphasizing the holistic perspective of systems (Tama, 1987).

One crucial function of a system, as outlined by Bertalanffy (1968), is the transformation of inputs into outputs. This process is vital for the survival of the system and involves three main aspects: inputs, mediator, and outputs. Inputs, drawn from the environment, undergo transformation into outputs, which are then returned to the environment. Inputs can take various forms such as information, money, materials, and human resources, while outputs manifest as goods and services. The entire process is termed the input-output process, and a system acts as a mediator in facilitating this transformation.

Applying these theoretical concepts to the study’s focus on assessing the functionality of the monitoring and evaluation system and the performance of public sector programs, the General Systems Theory provides a comprehensive framework. The monitoring and evaluation system can be seen as a subsystem within the broader system of public sector programs. The interconnectedness of different components, their mutual dependence, and the transformative nature of the system underscore the complexity inherent in evaluating the performance of public sector programs.

In conclusion, the General Systems Theory serves as a valuable theoretical foundation for understanding the dynamics of monitoring and evaluation systems within the broader context of public sector programs. By adopting this theoretical lens, the study aims to explore the interrelationships and dependencies that impact the utilization of evaluation data and contribute to a more comprehensive understanding of the functionality of the system and the performance of public sector programs.

1.2.3 Conceptual Background

Technical capacity, as defined by Byamugisha (2016), pertains to the capability of human resources within an organization to effectively handle evaluations. In the context of this study, technical capacity will be evaluated based on the qualifications, experience, and knowledge of staff members in utilizing Monitoring and Evaluation (M&E) systems.

Financial capacity, as outlined by USAID (2015), refers to the availability of funds to support and facilitate the monitoring and evaluation functions within an organization. In this study, financial capacity will be assessed by examining the adequacy of financial resources, the timely release of funds, and the proper accountability of these funds.

The quality of M&E systems, according to Mulandi (2013:12), is the degree to which M&E systems and activities adhere to specified requirements and standards. In the present study, the quality of M&E systems will be gauged by evaluating the extent to which these systems meet methodological and quality standards.

Assessment of Monitoring and Evaluation Information involves the practical application of monitoring and evaluation results. By using these findings for decision-making and project control, organizations establish a baseline for subsequent measurements (Mulandi, 2013). In this study, the utilization of M&E data will be measured by assessing the extent to which the data informs decision-making, enhances organizational processes, and contributes to organizational learning.

1.2.4 Contextual Background

Masaka District is likely to have its unique characteristics, such as demographics, economic activities, and cultural aspects. Understanding the local context is crucial for evaluating the effectiveness of any public sector program. Identify and describe the specific public sector programs being assessed. These could be related to health, education, infrastructure, agriculture, or other sectors. Understanding the nature and objectives of these programs is essential for evaluating their functionality.

The M&E system is a critical component of public sector management. Understanding the design, structure, and functioning of the M&E system in Masaka District is necessary. This includes the indicators used, data collection methods, reporting mechanisms, and feedback loops.

Performance Metrics and Criteria:

Define the criteria and metrics used to assess the performance of the public sector programs. This could involve measuring outcomes, outputs, and impacts. Consideration should be given to whether the selected metrics align with the goals and objectives of the programs.

Identify and analyze the involvement of various stakeholders in the M&E process and program implementation. This could include government officials, local communities, NGOs, and other partners. Assess the level of collaboration and coordination among these stakeholders.

Challenges and Opportunities: Explore the challenges faced by the M&E system and the public sector programs in Masaka District. This could include issues related to data quality, resource constraints, governance, and community engagement. Additionally, identify opportunities for improvement and innovation.

Examine the broader policy and regulatory environment that influences the functioning of the M&E system and public sector programs. Changes in policies, laws, or regulations may impact program implementation and evaluation.

1.3 Statement of the Problem

Findings from the M&E function ought to be used to inform decision making, planning and organizational learning (Basheka, 2016). However, at the public public sectorat level III and above in Ibanda, health information is not adequately used (Masaka district local government, 2017). In order to increase use of health information, the Ministry of Health has devoted significant human, technical and financial resources to the Monitoring and Evaluation function. Despite the significant investment in M&E, there is widespread concern that the utilization of evaluation findings in public public sectorin the district is low. According to the Annual Health Sector report (AHSPR) 2018/2019, Masaka district local government ranked 18^th in the whole country out of 128 districts, and in the AHSPR 2019/2020, it ranked 76^th. The AHSPR tracks performance of public sector in terms of coverage of education, administration and health services, and quality , as well as reporting for the public sector. The current study thus seeks to determine the assessment of the functionality of the monitoring and evaluation system and the performance of the public sector program.

1.4 Main objective

The study seeks to establish assessment of the functionality of the monitoring and evaluation system and the performance of the public sector program.

1.5 Specific objectives

1. To establish the relationship between technical capacity of M&E systems on performance of public sector program.
2. To assess the relationship between financial capacity on the functionality of M&E on performance of public sector program.

• To examine the relationship between the quality of M&E systems on performance of public sector program.

1.6 Study hypotheses

1. H₁. There is no relationship between technical capacity of M&E systems on performance of public sector program.

H_2: There is no relationship between financial capacity on the functionality of M&E on performance of public sector program.

1. H₃ : The is no significant effect of the quality of M&E systems on performance of public sector program.

.

1.7 Conceptual Framework

Independent Variables (Factors)          Dependent Variable  (performance )

Source: Adopted from Kasule (2016) and modified by the researcher

The conceptual framework above shows the factors affecting the utilization of M&E findings. The model assumes that utilization of M&E findings is enhanced by improved technical, financial and quality of M&E systems within organizations.

1.9 Significance of the Study

The study will provide information to the future scholars on the relationship between technical capacity on the utilization of M&E findings in the public level III and IV public sectorin Masaka district local government and this will enable them in drawing conclusions with the present situation and other times.

The study will provide to the government of Uganda and other policy makers information regarding the relationship between financial capacity and the utilization of M&E findings in the public level III and IV public sector in Masaka district local government, this will help the government in making key critical decisions that can help M & E findings be implemented in government health facilities.

The government will be able to determine the quality of monitoring and evaluation so to understand how to improve it for the better of implementing government programs and better utilize the M& E results.

1.10 Justification of the Study

It is critical that the factors that affect the utilization of M&E findings are thoroughly examined and understood by the public sector implementing Monitoring and Evaluation system. Without clear understanding of these factors, the public health sector may continue underutilizing evaluation findings. This may affect the performance of the sector and subsequent underperformance of the public health sector.

Recent health sector studies, as well as policies, strategies and plans, acknowledge that Human Resource for Health constraints are hampering health sector planning, service delivery and ultimately health outcomes in many African countries  and world at large. Human Resource for Health inequities showed that America has 14 % world population compare to sub-Saharan Africa with 11 % of world population but Sub-Saharan Africa carries 25 % of the global disease burden and Americans taking 10 % of global disease burden. Further, America has the global health workers of 42 % compared with Sub-Saharan Africa with only global health workers of only 3%. Equally, the Americans allocate 50 % their annual expenditure to health as compared to Sub-Saharan Africa with less than 1 % annual budgetary allocation to health (WHO, 2016), all these challenges therefore indicates that there is need for a strong commitment to examine the factors affecting utilization of monitoring and evaluation findings in public health facilities.

The world faces a global shortage of well-trained health workers, which is considered as one of the biggest barriers to quality health-care services for millions of people throughout the world (World Health Organization, 2018). It is estimated that there currently is a shortfall of approximately 7.2 million doctors, nurses and midwives and that this shortfall is likely to rise to at least 12.9 million in the coming decades (Sidibe and Campbell, 2017). Although the health workforce crisis affects virtually all countries worldwide – including the high-income countries – sub-Saharan Africa and parts of Asia are most affected, as these regions have the lowest health worker densities when compared globally and are also strongly affected by poor attraction and retention as well as high attrition of health professionals (Kabbash et al., 2021), this therefore warrants this study in establishing the relationship between technical capacity on the utilization of M&E findings in the public level III and IV public sectoras such recommendations is critical in improving the general quality of Health institutions.

1.11 Scope of the Study

1.11.1 Content Scope

The study will examine the factors affecting the utilization of M&E findings. The study will specifically focus on the effects of technical, technological and quality factors on the utilization of M&E findings in Masaka district local government.

1.11.2 Geographical scope

The study will be conducted in Masaka district local government which lies in central Uganda.

1.11.3 Time scope

The study will be carried out for a period of eight months

1.12. Definition of Key Terms and Concepts

Technological capacity refers to the capacity of the human resources/people to use M&E findings.

Technological capacity refers to the ability of the organizations to utilize technology to manage M&E activities

Quality of M&E Findings refers to the extent to which the evaluation findings meet the specified requirements and standards

Functionality of Monitoring and Evaluation Findings. This will refer to the application of Monitoring and Evaluation findings in decision-making, quality improvement and learning.