Chapter three

3. Types of project monitoring

Monitoring is necessary, because it continuously generates the information needed to measure
progress towards results throughout implementation and enables timely decision-making.
Monitoring helps decision makers be anticipatory and proactive, rather than reactive, in
situations that may become challenging to control. It can bring key elements of strategic
foresight to interventions.
Monitoring as an established practice of internal oversight that provides management with an
early indication of progress, or lack thereof, in the achievement of results, in both operational
and financial activities. Monitoring can take various shapes, vary in the frequency of its conduct
and be tailored to a specific context, which is usually dependent on the intervention‟s objectives.
A project/programme usually monitors a variety of things according to its specific informational
needs. These monitoring types often occur simultaneously as part of an overall monitoring
system commonly found in a project/programme monitoring system.

3.1. Monitoring helps whether

Planned activities are actually taking place (within the given time frame);
There are gaps in the implementation;
Resources have been/are being used efficiently;
The intervention‟s operating context has changed.

Monitoring is undertaken on an ongoing basis during the implementation of an intervention.

Where possible, it is essential to ask relevant “monitoring questions” regularly.

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M Monitoring Questions
While implementing activities: When measuring results:
• What activities are being implemented? • Are results being achieved?
• Are they being implemented as planned? • Is progress shown against indicators?
• What is the current budget burn rate? • Are targets being met?
• Have any new risks been identified? • Are target groups satisfied with the services?
• Are intended target groups being reached? mm

m m

3.2. Common types of monitoring

 Results monitoring: Tracks effects and impacts to determine if the project/programme

is on target towards its intended results (inputs, activity, outputs, outcomes, impact,
assumptions/risks monitoring) and whether there may be any unintended impact
(positive or negative
 Process (activity) monitoring : Tracks the use of inputs and resources, the progress of
activities, how activities are delivered – the efficiency in time and resources and the
delivery of outputs
 Compliance monitoring: Ensures compliance with, say, donor regulations and
expected results, grant and contract requirements, local governmental regulations and
laws, and ethical standards.
 Context (situation) monitoring: Tracks the setting in which the project/programme
operates, especially as it affects identified risks and assumptions, and any unexpected
considerations that may arise, including the larger political, institutional, funding, and
policy context that affect the project/programme.
 Beneficiary monitoring: Tracks beneficiary perceptions of a project/programme. It
includes beneficiary satisfaction or complaints with the project/programme, including
their participation, treatment, access to resources and their overall experience of change.

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  Financial monitoring: Accounts for costs by input and activity within predefined
categories of expenditure, to ensure implementation is according to the budget and time
frame.
 Organizational monitoring: Tracks the sustainability, institutional development and
capacity building in the project/programme and with its partners

Monitoring Questions and the LogFrame

3.3. Baseline Data

3.3.1. WHAT ARE BASELINE STUDIES AND BASELINE DATA?

A baseline is qualitative or quantitative information that provides data at the beginning of, or just
prior to, the implementation of an intervention or an initial information on program activities
collected prior to the program intervention
A baseline study is data collection and analysis that defines the “pre-operation exposure”
condition for the set of indicators that will be used to assess achievement of the outcomes and

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 impact expressed in the programme‟s logical framework Baseline data (or simply baseline) is
data that measures conditions before the project starts for later comparison. In other words
baseline provides the historical point of reference for the next steps of project monitoring and
evaluation.
A baseline study is the analysis and description of a situation prior to an operation/ programme,
against which change can be assessed or comparisons made. The baseline study provides a
benchmark (a snapshot of the current situation) for operation objectives, focusing mainly on the
variables that the operation is intended to affect – food security, nutritional status, asset
ownership, access to schooling, etc. – which are summarized by the indicators contained in the
logframe. The baseline provides the basis for monitoring and evaluation, with a follow-up study
at a later point (typically at mid-term or completion of the operation) to facilitate measurement of
the outcomes and impact of an operation. The baseline study is therefore a vital tool for Results-
Based Management – without baseline data, it is difficult if not impossible to determine what
difference the operation has made.

Baseline and follow-up studies in the project cycle

Planning Implementation Evaluation

Baseline study Monitoring Follow-up study
What is the Are we on track What has been
situation prior to towards achieving achieved?
start-up? our objectives
a

3.3.2. There are a number of principles to be applied in relation to baseline studies:

Baseline data is always required for every type of operation. Without baseline data and
some form of follow-up study, results cannot be determined with any confidence.
Secondary sources should always be the first point of reference when assembling
baseline data. If possible, baseline data should be collected from existing sources –
baseline studies can be expensive and time consuming, and there are many examples of
studies that provided late, incomplete or unreliable data.
Plans for baseline data collection should include provision for a follow-up study, which

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would use the same methods and study the same sample or sites in order to generate comparative
data.
The baseline data should ideally be collected before the start of project implementation. If this is
the case, then baseline data can assist in the planning process, enabling planners to fine-tune the
operation design. If baseline data are collected after the start of implementation (as is often the
case with emergency operations), this may not be a problem provided that the data reflect the
situation prior to the commencement of the operation‟s main activities.

3.3.3. There are three common problems with baseline studies:

 They attempt to collect too much data, giving rise to difficulties in analysing all of the
data,(with implications for cost-effectiveness and for the timeliness of reporting) and in
making full use of the analysis that results. It is therefore essential to be rigorous in
determining what baseline data are required.
 Baselines are often executed after the operation has started. While this may not
necessarily be of concern if no activities have yet got underway, it is preferable to ensure
that the baseline has been organised in advance and possibly even included as a step in
the approval process.
 Baselines are conducted without a plan or budget for the necessary follow-up study.
While baseline data are useful for planning purposes, they also play a major role in
evaluation for which some form of follow-up study is required to compare the before and
after situations. For comparability of data, there must be consistency in the methods and
tools used. It is important, therefore, that the baseline study clearly records how the data
were collected and analysed. It is quite likely that staff will have changed in the two to
three years since the baseline was conducted, and they need good reference material in
order to be able to reconstruct a comparable data set

WHAT IS THE ROLE OF BASELINE DATA IN A PROJECT?

Baseline data helps to:

 set realistic goals and to measure the progress towards them;
 maintain accountability, informing what difference the project is making;
 inform and motivate stakeholders to pay attention to certain issues and increase their
participation;

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  provide justification for policy makers and donors for a project intervention;
 Shape expectations and communication strategies (IFRC, Baseline Basics, 2013).

Generally speaking, baselines allow practitioners to establish whether change at the outcome
level has occurred or not.

3.4. Project Information Management

Detailed planning is critical to the development of usable, high quality information deliverables that meet
the needs of internal and external information users. The project team needs to discuss the content and
structure of the overall project information plan. In this plan, the team will analyze the purpose, audience,
design issues, media and technology constraints, and development environment for the project. The
overall project information plan also includes an initial specification for each individual information
output.
The Project Information Management Plan is a document that defines the actions and
responsibilities to manage project information. Developing a plan is an essential step in
determining the effort and time that will be required to collect and distribute project information.
Management of information is a critical component in the overall management of a project. A
project‟s ability to provide accurate, timely information to a variety of audiences may
significantly affect the relationship the project has with its staff, management, beneficiaries of
the project and outside funding agencies. In addition, the quality and accuracy of information
reported to donors and other governmental entities can affect a project‟s funding, a project‟s
credibility and the public‟s perception of a project.

A project information management strategy should be developed which will specify how
information is created or collected, maintained, reported and stored. This strategy and the
project‟s information management system should be designed to provide answers to two basic
questions:

 Is information being collected, processed and stored?

 Is information being reported and distributed appropriately?

All projects have an information management system; it may be informal and undocumented or formal
and documented.

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Management of project information should be incorporated into the project‟s comprehensive information
management system which includes all of a project‟s information needs. A project‟s information
management system should address the use of both technological and human resources.

Information Management Plan A successful PMIS usually requires creation of a formal,

documented information management plan. Elements of such a plan describe:

Information Requirements - What information must be available and to whom?

Information Collection - How will information be collected?
Information Analysis - How will the information be edited, tested and analyzed?
Reporting Information - How will the information be disseminated?
Historical Information - How will historical information be maintained?
Access to Information - How will information be secured from unauthorized access?
Personnel - The roles, responsibilities, qualifications and training of the personnel
necessary to implement the plan
Technology - The technology necessary to support the plan's goals and objectives
Internal Controls - The internal controls necessary to ensure the plan is working

Establishing a written plan can help a project maintain control over its information management
system. It provides a framework that can be useful to a project in the process of achieving its
goals.

Project Monitoring and Collection Data

Data is a term given to raw facts or figures, which alone are of little value. These can be anything from a
date or number, to a name or event. We are so used to associating facts that it is often difficult to
comprehend data at its lowest level. It may become clearer if you consider the following example. We
might have two pieces of data, Nairobi (a name) and 652467 (a number). Each item on its own is purely
data and means little to us. However, together, Nairobi 652467 is more useful as it associates the two
items and with a little deduction we can assume that it is a telephone number in Kenya. This would be of
more use to us if we also had data concerning the address and who lived there. Without these data this
information has very little value – information is data that is useful because it has relevance and meaning,
which results from processing.

The project's information management plan should address the following:

 How will information be collected?
 Who is responsible for the collection of information?

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 When will information be collected?
 In what format will information be collected?
The method for collection depends on the type of information and how it will be utilized. The
plan should assign collection responsibilities to specific staff members to ensure that
expectations are clearly understood and that duplication of effort is reduced. The plan should
incorporate reporting deadlines when appropriate and establish time frames for all collection
tasks. It should clarify which time frames include due dates that are fixed and those that are
simply target dates. For collection activities that require data to be collected or reported in
specific formats, the plan should either specify the format or refer to the source documents that
provide the information. A project may use a variety of documents to address these issues.
Timelines, charts, checklists and information flow diagrams are a few examples of documents
that may be useful. Some of these documents require frequent or periodic updating. For example,
a timeline that includes major project events will be replaced with a new timeline each year.

3.5. Monitoring Activities and Outputs

Monitoring outputs are obtained by converting inputs and resources through activities. Projects
are normally of a simple nature, thus the achievement of planned outputs is straightforward once
the planned activities are implemented. The primary responsibility for producing outputs lies
with the project‟s main CP. Outputs must be achieved within the project lifetime. M&E of
project outputs can be done on a six-monthly basis. However, if there is a delay in launching the
project, the first M&E progress report can be postponed until the end of the first year.
Monitoring of outputs involves:
a. Analysis of the extent to which outputs have been produced. This is done by comparing the
„actual‟ against the „target‟ of each listed output indicator;
b. Verification if outputs assumptions have been realized;
c. Analysis of the implementation arrangements in order to highlight important issues and
lessons that can be learned

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3.5.1. Outcome monitoring
An outcome is achieved through the generation of outputs. Therefore, monitoring an outcome
requires a clear understanding of all contributory outputs. Due to their specificity (often of short
term duration and little volume of funds), outcome monitoring of projects should take into
account the likelihood that the expected change will happen after the project is closed. In other
words, it is generally not expected that the outcome will be achieved by the end of the project.
Monitoring a project outcome implies ascertaining if the expected outcome is likely to be
achieved or whether it will evolve into something else. This is done by tracking any sign,
indication or evidence in line with the indicators. It is also necessary to regularly check whether
the assumptions related to the outcome have materialized, and therefore, to analyse the context
of the project in order to identify lessons to be learned