XVII.4.4.3 Third Party Monitoring for Activity Quality Assurance

 

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Introduction

10.          The progress of an operational response within a graded emergency is monitored and evaluated to track performance against targets, standards and thresholds.

20.          When access is limited, or operations are too numerous for WHO employees to assess, the emergency response can be put to an increased level of risk (programmatic and fiduciary). Third-party monitoring (TPM) can offer proxy verification and assurance in these cases.

30.          Third-party monitoring verification and assurance has a two-fold purpose:

1. to ensure the operational response during the graded emergency is implemented in accordance with agreements signed with donors and implementing partners and that funds are used for the intended purpose; and
   
2. to effectively mainstream and operationalize crosscutting Inter-Agency Standing Committee (IASC) policies, such as Accountability to Affected Populations (AAP), through evidence- and performance-based programming.

50.          Third-party monitoring performs the external M&E activities: it provides additional oversight and gathers feedback on response effectiveness in remote and safe-to-access locations. The primary role of the TPM is to monitor and verify whether the operational response within the graded emergency is implemented in adherence but not limited to the following:

• WHO policies and procedures;
• WHO standards related to quality of care and quality of services;
• targets defined within frameworks of response (specifically, the Humanitarian Response Plan and Strategic Response Plan);
• donor agreements financing the operational response; and
• operational partnerships signed with non-State actors for the scope of the operational response.

60.          Third-party monitoring strengthens accountability towards affected populations by allowing recipients to share feedback, data and information in a safe, secure and dignified manner. TPM also facilitates lessons learned and objective feedback by identifying challenges and recommending corrective actions to address needs appropriately and efficiently.

70.          Third-party monitoring does not replace donor-specific monitoring requirements by traditional and non-traditional donors. Instead, TPM constitutes an additional measure to enhance accountability and performance of the operational response; moreover, the TPM contributes to strengthening the IMT capacity as related to risk management.

Activating third-party monitoring

80.          Standard Terms of Reference (ToRs) are outlined below. The ToRs can be adjusted and expanded for graded emergencies, depending on the specific operational response needs and requirements. Linked to this, TPM-based Verification and Assurance is implemented through an adherence-to-procedures method, using standardized and results-based tools, such as checklists.

90.          The Incident Manager appoints the WHO staff, who will liaise with the TPM service provider and be responsible for all requirements related to planning and coordination with TPM. The designated WHO staff leads the clearance of the TPM reports (monthly data and quarterly reports) and communicates the TPM findings and recommendations with other WHO technical and programme officers, as well as implementing partners and health counterparts. For requirements related to contract management, including payments, the Management and Administration team coordinates with the TPM service provider as per the Incident Management structure.

100.        The competitive selection of the TPM follows the eManual procurement processes for emergencies (XVII.8.2 Emergency Procurement – Services) by the competitive bidding thresholds and solicitation methods. The IMT can use existing Long-Term Agreements (LTA) if available.

110.        The contract duration of the TPM is event-specific. Based on recent experience with the COVID-19 pandemic, the IMT can extend the TPM contract beyond six months.

120.        Voluntary contributions are the primary source of financing to cover the TPM costs; the IMT secures the funding to activate and sustain the TPM as part of the resource mobilization efforts.

The contracting of the TPM complements the Quality Assurance, Monitoring and Assurance Activities of the FIN.SOP.XVI.001 (Direct Financial Cooperation), FIN.SOP.XVI.002 (Direct Implementation) and FIN.SOP.XVI.003 (Grant Letters of Agreement).

 

Standard terms of reference

Scope of third-party monitoring

130.        To monitor and verify the effectiveness of the IMT-led operational response to graded emergencies.  

Specific objectives of third-party monitoring

140.        The role of third-party monitoring is to fulfill the following specific objectives:

• Design and implement the monitoring plan per methodology developed during the inception phase in coordination and consultation with the IMT.
• Conduct monitoring visits to the locations where the IMT delivers its operational response in coordination with national health counterparts and implementing partners. To carry out the visits, the TPM uses data collection and verification tools discussed, agreed and approved with the IMT.
• If not available from the IMT, jointly develop the environmental and social safeguarding framework.
• Monitor and verify the operational response in terms of availability, utilization and quality, including beneficiaries' feedback.
• Prepare and submit monthly data collection to the IMT for trends analysis related to the availability, utilization and quality of the operational response.
  
• Prepare and consolidate quarterly activity reports for submission to the IMT as per reporting requirements agreed upon with the IMT during the scoping phase.
• Through monthly data and quarterly progress reports, identify and present issues to the IMT in a timely manner for corrective action, using the classification system agreed upon with IMT, in coordination and consultation with counterparts and implementing partners.
• Develop a tracker system to follow up on the progress of the findings and corrective actions agreed upon with the IMT in coordination and consultation with counterparts and implementing partners.
• Coordinate with the IMT to review data collection and verification tools based on lessons learned during the previous rounds of monitoring and verification.

Main activities of third-party monitoring

150.        The main activities the third-party monitoring team should fulfill in the inception phase and through the regular and routine plan of work are outlined in the table below.

Inception phase

Regular and routine plan of work

Have inception phase meeting(s) with the responsible IMT technical officer(s) for orientation on objectives, expectations and overall plan of work.   Develop working methodology, including sampling modality. Based on the agreed-upon methodology, develop and finalize monitoring indicators, checklists, data collection tools and reporting formats that align with the operational response's technical requirements. Hire field monitors and train them to undertake field monitoring and spot checks of the IMT-led operational response.   Organize training sessions for field monitors on sector-specific and component interventions to ensure conceptual clarity. Coordinate with all concerned stakeholders to collect information on activities, using prescribed checklists/tools for reporting to the IMT and conducting field verification. Note: For timely delivery of the TPM work, it is recommended that the inception phase is completed within the first three weeks of the start of the TPM contract.

Verify actual implementation based on agreements between WHO and implementing partners (IPs), and report on key achievements by the IPs and health counterparts (where applicable) during the operational response. Document and report any identified gaps observed during the field visits, including end-user feedback on access, use, quality and relevance. Document and report any identified gaps, including the effectiveness of the operational response from the view of the end-user, including gender and protection of affected communities. Verify, to the extent possible, whether goods and support (if relevant) and non-consulting and consulting services contracted were supplied/completed according to the required specifications and technical standards. Verify the status of delivery and distribution of medical and non-medical supplies. Verify and document programme delivery performance of implementing partners and document issues about safeguarding. Verify adequacy of implementation and compliance with environmental safeguards (as defined in the environmental social management framework), where applicable. Hold regular coordination and de-briefing sessions with WHO and relevant field offices to present and discuss the field-monitoring report and follow up with WHO as per the agreed schedule and format on the implementation status of TPM findings. Monitor, document and report on security-related incidents and other impediments to humanitarian activities/access.

 

Minimum TPM team composition requirements

160.        The following list of minimum TPM team composition requirements is not exhaustive and is only provided for guidance. The list can be adjusted depending on the specific operational response and graded emergency. Some requirements to consider include size, scale of funding, and level of actual and residual risk associated with the operational response:

• One full-time coordinator/manager responsible for overall supervision, coordination, quality control and submission of monitoring reports and analysis.
• One data manager/analyst.
• Theme/area specialists: it is recommended there is one specialist for each main programme to be verified and monitored. Examples of themes/areas include primary and secondary care in emergencies; hospital management; infection prevention and control (IPC); water, sanitation and hygiene (WASH); supply chain management; gender-based violence; protection from prevention and response to sexual exploitation, abuse and harassment (PRSEAH); and social and environmental safeguarding.
• Assurance specialists and finance officers: the number depends on the budget scale and size of the operational response to the graded emergency and the type of activities and associated level of financial and fiduciary risk.
• Field coordinators: the number depends on the specific emergency context.
• Field monitors: the number and composition of the field monitoring teams are based on the specific emergency context and monitoring needs.

Expected deliverables and reporting requirements

170.        The following are the expected deliverables and reporting requirements of the third-party monitors:

• Monthly data collection from all WHO operational responses from the field-monitoring visits, based on the tools used.
• Periodic quarterly reports of the field-monitoring visits will be submitted with concrete and applicable recommendations.

TPM recommendations and findings tracker (format and modality of access to be determined between IMT and the TPM team).

Essential requirements of a field-monitoring visit

180.        A field-monitoring visit requires a team of field monitors (male and female staff) to spend adequate time at the site and at a suitable level of intervention to verify the status of the operational response to a graded emergency.

190.        The time allocated to a field visit depends on several context-specific factors, including but not limited to access to the visit's location, type of location, and size and scale of the operational response. The average time ranges from one to ten days.

200.        One visit is equal to one location (for example, a health facility). In each location, the TPM is expected to apply the data collection and verification tools agreed upon with the IMT.
 
Third-party company data collection and verification tools