Learner Guide: US ID: 120304 NQF Level 5

SAQA ID: 120304 Learner Guide
Analyse, interpret and communicate information
US ID: 120304
NQF LEVEL 5
LEARNER GUIDE
Impact of legislative framework on local government 1

Field 03 - Business, Commerce and Management Studies

NQF Level 5
2nd Edition Nov 2012
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Table of Content
1.Introduction................................................................................................................6
2. About the programme..................................................................................................6
2.1 Unit standard overview.........................................................................................6
2.2 Learner Support....................................................................................................7
3. Assessment................................................................................................................. 7
3.1 Formative Assessment.........................................................................................7
3.2 Summative Assessment.......................................................................................7
4. Navigating the Learner Guide......................................................................................8
4.1 Use of Icons.........................................................................................................8
5. Learner Administration.................................................................................................9
5.1 Attendance Register.............................................................................................9
5.2 Learner Registration Form....................................................................................9
5.3 Programme Evaluation Form..............................................................................10
(US ID: 120304) Communicate information............................................................11
Introduction....................................................................................................................... 11
Environmental management plans................................................................................12
Minimise your impact.....................................................................................................12
Environmental licences.................................................................................................12
Environmental standards and labelling requirements....................................................12
Environmental reporting obligations..............................................................................12
1: Importance of using information in the work situation....................................13
AC1 An understanding of the importance of using information in the work situation.........13
Exploring the dimensions of information needs and information competencies.........14
Data analysis, results and discussion............................................................................19
General results.......................................................................................................... 19
Critical success factors of off-site supervision............................................................19
Work processes and information management process............................................20
The information needs identified................................................................................21
The competencies identified......................................................................................23
Conclusions................................................................................................................... 26
Types of information......................................................................................................26
Why are there different types of Information System?......................................................26

How do you identify the different types of information system in an organization?............27

How many different kinds of Information System are there?.............................................27
What are the most common types of information system in an organization?...................29
A comparison of different kinds of Information Systems...................................................29
1. Transaction Processing Systems...........................................................................29
What is a Transaction Processing System?...............................................................29
Functions of a TPS....................................................................................................29
Some examples of TPS.............................................................................................30
The role of TPS......................................................................................................... 30
2. Management Information Systems.........................................................................30
What is a Management Information System?............................................................30
Functions of a MIS.....................................................................................................30
Some examples of MIS..............................................................................................30
The role of MIS.......................................................................................................... 31
3. Decision Support Systems.....................................................................................31
What is a Decision Support System?.........................................................................31
Functions of a DSS....................................................................................................31
Some examples of DSS.............................................................................................31
The role of DSS......................................................................................................... 31
4. Executive Information Systems..............................................................................32
What is an EIS?......................................................................................................... 32
Functions of an EIS...................................................................................................32
Some examples of EIS..............................................................................................32
The role of EIS........................................................................................................... 32
Information source........................................................................................................ 33
INTRODUCTION TO SYNTHESES..............................................................................35
TWO TYPES OF SYNTHESES.................................................................................36
STANDARDS FOR SYNTHESIS ESSAYS................................................................36
HOW TO WRITE SYNTHESIS ESSAYS...................................................................37
TECHNIQUES FOR DEVELOPING SYNTHESIS ESSAYS......................................38
Collect data from a user in a workflow...........................................................................40
1.2 AC2 Information is collected, organised and summarised from a variety of sources
during daily working activities...........................................................................................62
1.1 AC3 Responses to information collected are appropriate........................................68
Resources: 74

3 Collect information from a variety of sources by recognising/reading and/or

using sensory cues..................................................................................................77
3.1 AC1 An understanding of the importance of using information in the work situation is
demonstrated.................................................................................................................... 77
Resources: 79
Acknowledgements.......................................................................................................79
Self Assessment............................................................................................................... 83

Introduction
1. Introduction
Welcome to Learning Unit Standard 120304. This Unit Standard will be useful for elected
political leaders and public sector officials involved with the service delivery activities that
require use of public assets to render services to communities. This Unit Standard will also
be useful for South Africa's public officials and political executives, strategic executive
managers and other role-players. The qualifying learner will be able to apply communication
knowledge, skills and values which will contribute to the improvement in service delivery to
communities.
The qualifying learner is capable of:
 Collating and categorising information.

 Analysing information.
 Developing conclusions and recommendations.
 Communicating conclusions and recommendations according to organisational and

legislative requirements.
2. About the programme
2.1 Unit standard overview
Analyse, interpret and communicate information

SAQA US UNIT STANDARD TITLE
ID
120304 Analyse, interpret and communicate information
ORIGINATOR ORIGINATING PROVIDER
SGB Administration
QUALITY ASSURING BODY
-
FIELD SUBFIELD
Field 03 - Business, Commerce and Management Studies Public Administration
ABET UNIT PRE-2009 NQF NQF LEVEL CREDITS
BAND STANDARD LEVEL
TYPE
Undefined Regular- Level 5 New Level Assignment 9
Fundamental Pend.
REGISTRATION STATUS REGISTRATION REGISTRATION SAQA DECISION
START DATE END DATE NUMBER
Reregistered 2012-07-01 2015-06-30 SAQA 0695/12

LAST DATE FOR LAST DATE FOR ACHIEVEMENT

ENROLMENT
2016-06-30 2019-06-30
2.2 Learner Support

Please remember that as the programme is outcomes based – this implies the following:
 You are responsible for your own learning – make sure you manage your study,
practical, workplace and portfolio time responsibly.
 Learning activities are learner driven – make sure you use the Learner Guide and
Portfolio Guide in the manner intended, and are familiar with the Portfolio requirements.
 The Facilitator is there to reasonably assist you during contact, practical and workplace
time of this programme – make sure that you have his/her contact details.
3. Assessment
Learning Outcomes:
Please refer to the beginning of each module for the learning outcomes that
will be covered per module.
3.1 Formative Assessment

In each Learner Guide, several activities are spaced within the content to assist you in
understanding the material through application. Please make sure that you complete ALL
activities in the Learner Guide, whether it was done during the contact session, or not!
3.2 Summative Assessment

You will be required to complete a Portfolio of Evidence for summative assessment
purposes. A portfolio is a collection of different types of evidence relating to the work being
assessed. It can include a variety of work samples.
The Portfolio Guide will assist you in identifying the portfolio and evidence requirements for
final assessment purposes. You will be required to complete Portfolio activities on your own
time, using real life projects in your workplace environment in preparing evidence towards
your portfolio.
Portfolio Activity:
DO NOT WAIT until the end – the programme is designed to assist you in
evidence preparation as you go along – make use of the opportunity!
Remember:

If it is not documented, it did not happen!
In some evidence, the process you followed is more important than actual
outcome / end-product.
Therefore …
Please make sure all steps for the Portfolio Activities are shown where
required.
4. Navigating the Learner Guide
4.1 Use of Icons

Throughout the learning programme icons are used to focus your attention on important
aspects of the learning programme. The following icons are used in this learning programme
to direct your attention in using at as a reference guide.
Group Activity / Pair Activity:

You will be required to complete an activity in your group or in pairs with
fellow colleagues / programme participants, and provide feedback to the
participants in a report back or presentation session.
Individual Activity:
You will be required to complete an activity on your own that relates to the
outcomes covered in the module.
Portfolio Activity:
Complete the assessment activity that will be assessed as part of your
Portfolio of Evidence for the particular module.
Self Reflection:
Reflect on the question(s) asked to identify the relevance of learning
outcomes in your own working environment.
Learner Tip:
A useful tip or essential element regarding the concept under discussion is
given as a basis to further discussion.

Resources:
Possible sources for further research and study is listed under this icon.
Resources may include additional reading, handouts, web-sites, multimedia
Facilitators Note:
Content matter that is critical to the understanding of the module. The
learner must pay careful attention to this section.
Mentored Discussion:
Refer to your Mentor or Workplace Supervisor to assist in this activity, as
they will conduct the assessment or sign off of the activity once completed.
Learning Outcomes:
Please refer to the beginning of each module for the learning outcomes that
will be covered per module.
Self Assessment:
You have come to the end of this module – please take the time to review
what you have learnt to date, and conduct a self assessment against the
learning outcomes of this module
4. Learner Administration
Learner Tip:
The following Learner Administration is critical in assisting your provider in
managing this programme effectively.
Please take a moment to familiarize yourself with the requirements.
4.1 Attendance Register

You are required to sign the Attendance Register every day of attendance. Please make
sure you sign daily!
4.2 Learner Registration Form

Pease refer to the end of the Learner Guide for the Learner Registration Form. Make sure
you complete it using the Key Document, and submit to your Facilitator before the end of the
contact session with a copy of your ID document.
Learner Tip/Truths:
Without the Learner Registration and ID Documents we will not be able to
register you with LGSETA for certification purposes.
4.3 Programme Evaluation Form

At the end of the Learning Guide is a Learning programme Evaluation Form. Please
complete the form before the end of the contact sessions, as this will assist us in improving
our service and programme material. Your assistance is highly appreciated!

(US ID: 120304) Communicate information

Learning Outcomes:
The following learning outcomes are covered in this module.
1. Explain and discuss the importance of using information in the work

situation
2. Collect information from a variety of sources by recognising/reading
and/or using sensory cues
3. Organise, summarise and respond to information collected during

the course of work activities
Introduction
Introduction. The goal of information sharing is to change a person's image of the world
and to develop a shared working understanding. It is an essential component of
collaboration. This paper examines barriers to sharing information effectively in dynamic
group work situations.
Method. Three types of battlefield training simulations were observed and open-ended
interviews with military personnel were conducted.
Analysis. Observation notes and interview transcripts were analysed to identify incidents
when group members erroneously believed they had shared information effectively and were
collaborating successfully, i.e., a deceptively false shared understanding had emerged.
These incidents were analysed to discover what led to these unsuspected breakdowns in
information sharing.
Results. Unsuspected breakdowns in information sharing emerged when: differences in

implementations of shared symbols were not recognized; implications of relevant information
were not shared; differences in the role and expression of emotions when sharing
information was not understood; and, the need to re-establish trust was not recognized.
Conclusion. The challenges in information sharing identified here may extend to other high
stress, unique and complex situations, such as natural disasters. Recommendations for
more effective information behaviour techniques in dynamic group work situations are
presented.
Managing your impact on the environment and complying with your legal responsibilities
ensures your growing business is competitive, environmentally friendly and able to realise
possible financial benefits.

Environmental management plans
Incorporating environmental management strategies into your existing business plan or

developing an environmental management plan can help you introduce effective 'green'
practices in your business. As part of your planning, you can perform an environmental audit
to help you assess which areas of your business impact on the environment, and to what
extent. An environmental management system can also help you manage your impacts by
integrating environmental management into your daily operations.
Minimise your impact
Using sustainable resources and employing proper recycling and waste reduction measures
can not only have a positive effect on the environment, but can also improve your profitability
and your reputation with customers.
Environmental licences
To ensure your business and the environment is protected, you need to know if your
business activities fall under environmental legislation and licensing.
South African, state and territory environment legislation applies to certain business activities
and is administered by both state and local governments in the form of licences and permits.
Environmental standards and labelling requirements
Certain goods or appliances manufactured or imported into South Africa may need to comply
with environmental standards before they can be sold. Each standard sets out a rating and
labelling system to inform consumers on how efficiently a product uses an environmental
resource, and has the added benefit of promoting suppliers with high rating products.
Environmental reporting obligations
Before you can reduce your impact on the environment, you need to know which areas of
your business are causing the most impact. Some common reports that can help you
measure your impact include greenhouse and energy reporting, corporate sustainability
reporting or triple bottom line reporting, and natural resource management monitoring.
For most businesses, environmental reporting is voluntary but there are some mandatory
industry reporting requirements that may apply to your business.

1: Importance of using information in the work situation

The goal of sharing information is to provide information to others, either proactively or upon
request, such that the information has an impact on another person's (or persons') image of
the world, i.e., it changes the person's image of the world, and creates a shared, or mutually
compatible working, understanding of the world (Berger and Luckmann 1967.) Information
sharing includes providing information, confirming the information has been received, and
confirming that the information is jointly understood. Information sharing is an important
component of information behaviour. It is an essential activity in all collaborative work, and
helps to bind groups and communities together (e.g., Davenport & Hall 2002.) When working
together group, or team, members must continually provide information to others and to
some degree mutually understand and use information others provide. When information is
not effectively shared, collaborative group work fails.
AC1 An understanding of the importance of using information in the work situation
Recent research in information sharing has focused on identifying types of and motivations
for sharing information (e.g., Talja 2002; Davenport & Hall 2002), use of technology in
sharing information (e.g., Walsh et al. 2000), and the process or stages of information
acquisition for subsequent sharing (e.g., Rioux 2005.)[1] In comparison, this paper
investigates challenges in sharing information effectively in group work contexts. How and
why do group members fail to effectively develop a shared understanding of information they
provide to one another? To explore these issues, I examined information sharing in the
context of command and control (command and control) at the battalion level in the military.
command and control is an example of a dynamic work context, in which decisions are made
and tasks completed under stringent time constraints in order to manage changing
emergency situations. In command and control, team members are well aware of their need
to provide useful information to others and their need to use information provided by others.
This is part of command and control training and practice. Yet during the command and
control process, problems sharing information effectively occur - sometimes with devastating
consequences.
Information need is defined as a state or process started when one perceives that there is a
gap between the information and knowledge available to solve a problem and the actual
solution of the problem. Information competencies are defined as the capabilities developed
to reach the solution of a problem by searching for new information or knowledge that could
fill the perceived gap.
In this article we assume that information need and information competency can be identified
on three dimensions: cognitive (knowledge); affective (attitudes); and situational (abilities).
They correspond to knowing, know how and know how to act in work situations when one is
dealing with information problems that need solving on a daily basis.
It is defended that information parameters which information science researchers can use
are: the information cycle and technology and contexts of information communication. The
information cycle encompasses the phases of information work that include: collection,
storage, distribution, retrieval and use. Information technology can be defined as the
technology that influences the architecture of recorded knowledge (media, format, content

and type). In the information age this technology involves telecommunication systems,
computers and software. They help to organize, transmit, store and use great volumes of
data and information at low cost and high-speed, making possible several applications.
Information contexts are contexts in which the information cycle takes place. By influencing
the information flow and its characteristics, one can differentiate types of information such as
technological information, businesses information and scientific information.
In our theoretical definition, we consider that information need and information competency
share similar dimensions. Both can be understood in three main dimensions: cognitive
(knowledge), affective (attitudes, knowing how to act) and situational (abilities or know-how).
in other words, they have similarities that can be shared by the same theoretical approach,
opening the possibility for a united framework to study both themes. A proposed theoretical
correspondence is represented in Figure 1. It defines and links the dimensions of information
need and information competency in the cognitive (knowledge), situational (ability) and
affective (attitude) dimension. These dimensions and their similarities are explored in the
following section.
Figure 1: Relating information needs and information competencies (Source, Miranda

2007)
Exploring the dimensions of information needs and information competencies.
Knowledge, on an individual basis, is located in the relationship between the subject and
the object. It also corresponds to a set of information that is recognized and integrated by an
individual in his or her memory, causing impact on behaviour and composing the knowledge
accumulated throughout life. Knowledge, besides individual, also results from actions and
collective reflections produced by the information practices of people's groups. This process
can create shared interpretations about the environment, new products and new capacities.
It also makes it possible to select courses of action to reach objectives and commit
resources and capacities. Organizational knowledge is based on the individuals' professional
knowledge and on the knowledge of the groups that compose the organization. It is also
composed of three parts: an explicit part composed by norms, rules, manuals etc.; a tacit
part that people make an effort to express and a cultural part usually included in the current
behavioural system (Varela 1991; Hessen 2003; Carbone et al. 2005; and Choo 2006). The
nature of the needs and the structure of the knowledge states are variables that should be
investigated to identify information competencies.
A cognitive dimension refers to both individual points of view and groups' (or
organizations') point of view, expressing: history, structures and cognitive styles of
information users. The cognitive approach, suggests that people are mediated, in their

interactions, by states of knowledge about themselves, about those whom they interact with
and/or about the problematic situations they face. Cognitive styles and individual
preferences can influence the searching, processing and using of information. Cognitive
consensus can be developed inside organizations. This makes possible a reasonable
degree of common understanding and collective action, although individualized behaviour
continues to exist. Organizational culture (a group of shared premises) can provide a
structure for cognitive, behavioural and emotional answers. Organizations can also provide
guidelines for individuals to deal with their cognitive limitations and directions for the
attention flow that fills out gaps of information and removes discrepancies in one's
understanding (stereotypes; typologies of attitudes, sets of intentions and consequences;
characterizations; scripts; memories; communication outlines). This framework provides
sense making and an increased possibility of satisfactory actions (Belkin 1980, 1982; March
1994; Dervin 1998 and Choo 2006).
Abilities can be related to the productive application of knowledge or, in other words, to the
capability to search for the information gained in a previous experience to examine and to
solve a problem (or to use stored knowledge in actions). They are the know-how:
experiences acquired in practice, empirical procedures (recipes and work tricks) that cannot
be standardized. Professional contexts and professional situations determine the
development of abilities (Stroobants 2004; Carbone et al. 2005).
The situational dimension refers to the beliefs and suppositions that are part of the
individual's culture and of his or her environment. It is a set of characteristics, opportunities
and difficulties caused by the environment, structures of the existing problems and beliefs
about what constitutes the solution of a problem. Among the factors that can influence the
perception of in are: the roles played by the individual in the work environment; and the
complexity of the problems, tasks and the environment itself. The more complex one's task
is the larger the amount of information used to deal with the exceptions and with the media
richness. Furthermore, the more complex the situation is, the greater the uncertainty of being
able to solve a problem. The information value, in a certain environment, depends on the
requirements, norms and expectations of the user's work and the organizational context.
This can influence the nature and intensity of information needs, the construction of
information and access to it and the capability to analyse the environment. The information
use environment (geographical, organizational, social, intellectual and cultural) is a set of
elements that affects the flow and the use of the messages, defines entities or groups of
customers and determines the criteria by which the value of the information messages will
be judged. The analysis of information use inside the environment needs to be translated
into information terms; especially in organizations, where it is necessary to monitor, to
interpret and to adapt the external information (Taylor 1986; Choo 2006). The value added
to the information remains exact in this translation process, which is situational.
Attitudes refer to social and emotional aspects, to preferences and interests, to the effort
and the demand control conditions to express or to adopt some kind of behaviour. They are
related to feelings or predispositions that determine the behaviour of one person in relation
to other persons and also to the work or to the situation that people face. It is the person, his
or her biography and socialization that determine how to act. The culture supplies the
professional with a 'box of symbolic tools' with which s/he can model the outlines of adaptive
behaviour. Knowing how to act includes personal qualities, social knowledge and common
sense: these appear in cases where a problem is not explicit. Attitudes set a group of
information that may influence individuals' and groups' actions (Brandão 1999; Le Boterf
2003; Bastos 2004; Stroobants 2004; Carbone et al. 2005).
The affective dimension is related to the individual and organizational history, in terms of
the progression of thoughts, feelings and perceptions experienced in moments of confusion,

uncertainty, anxiety, expectation, accessibility and objectivity. This history drives the
strategies and the decisions to search and use information. Although the emotional states
are felt at an intra-personal level, it is in the socialization process that one learns in which
contexts some feelings should be expressed or inhibited. The relationship between reason
and emotion is that of interdependence. The emotional factors give quality to human
relationships in the work environment. Besides the fact that feelings are a subjective
experience, implicit and explicit emotional rules are established and transmitted within our
ethnic groups, families, religions and workplaces. They express, in a certain way, the value
system and the language that a person carries with them. The information process is
systemic and even behaviour based on rules is threatened by uncertainty, ambiguity and
inconsistency. This can generate stress, inducing feelings that can interfere in the decision
to search for information. The process that transforms information into meanings involves
not only thought and action, but also feelings ranging from confusion to frustration, from
clarity to optimism. To search for information to formulate meanings in any subject, inside of
a referential structure, is bound to be uncertain. Everything depends on the result of the
assimilation of new information to the reference chart used to extend the knowledge on a
subject (Kuhlthau 1991 1993; Wilson 1996 1999; Fineman 2001 and Gondim & Siqueira
2004).
In short, accumulated knowledge is linked to the previous structure of one individual mind as
the basis for the evolution of thoughts, which are his or her cognitive domain. The
connection between know-how and the situational conditions exists in the measure that the
work situation establishes forms to develop the search for and use of information and
influences competency construction to deal with information. To know-how-to-act and the
affective conditions are linked because the environment engenders the elements that
influence the action of the professionals and the formation of their competencies. Attitudes
connect emotional memories to paths once chosen when solving a problem. The theoretical
proposition to analyse the research problem is: one's visualized solutions to attend one's
information needs probably corresponds to one's information competencies development to
solve the problem, or to deal with knowledge gaps and/or with the sense of emptiness
experienced when the environment changes.
As increasingly powerful informatics systems are designed, developed, and implemented,

they inevitably affect larger, more heterogeneous groups of people and more organizational
areas. In turn, the major challenges to system success are often more behavioral than
technical. Successfully introducing such systems into complex health care organizations
requires an effective blend of good technical and good organizational skills. People who
have low psychological ownership in a system and who vigorously resist its implementation
can bring a “technically best” system to its knees. However, effective leadership can sharply
reduce the behavioral resistance to change—including to new technologies—to achieve a
more rapid and productive introduction of informatics technology. This paper looks at four
major areas—why information system failures occur, the core theories supporting change
management, the practical applications of change management, and the change
management efforts in informatics.

It's not the progress I mind, it's the change I don't like.—Mark Twain
Along with the inevitable failures, medical informatics has had many successes—probably
more than should have been expected, given the challenges of the hardware, software, and
infrastructure that faced us in the past. However, many of the successful systems were
implemented as stand-alone systems that involved a modest number of people.
Furthermore, the systems were often implemented in specific, limited areas that could see
potential direct benefits from the systems. Typically, there were local champions, who made
major and personal commitments to the success of the systems, and the enthusiasm of
these champions was readily transmitted to the people with whom they worked directly. In
turn, most of the people working on these systems felt like pioneers, and the literature of
medical informatics is filled with their accomplishments.
When we embark today on designing, developing, and implementing more complex systems
that have wider impact, a new set of challenges looms even larger. Certainly, technical
challenges still exist; they always will. However, as our new systems affect larger, more
heterogeneous groups of people and more organizational areas, the major challenges to
systems success often become more behavioral than technical.
It has become apparent in recent years that successfully introducing major information
systems into complex health care organizations requires an effective blend of good technical
and good organizational skills. A “technically best” system can be brought to its knees by
people who have low psychological ownership in the system and who vigorously resist its
implementation. The leader who knows how to manage the organizational impact of
information systems can sharply reduce the behavioral resistance to change, including to
new technology, to achieve a more rapid and productive introduction of information
technology.
Knowledge of the significance of people and organizational issues is not new. One of our
informatics pioneers, Octo Barnett, identified political and organizational factors as being
important 30 years ago.1 However, given the realities of that era, they were “well down the
list.” By 1998, Reed Gardner, another definite pioneer, stated in his Davies Lecture2:
In my opinion, the success of a project is perhaps 80 percent dependent on the

development of the social and political interaction skills of the developer and 20
percent or less on the implementation of the hardware and software technology!
We are seeing a shift in the balance of the people and organizational issues as opposed to
the technical issues. An effective medical informatics change strategy can help convert what
health care organizations are experiencing today—technology-centered tension—into
welcomed opportunities that will lead to improvement in all phases of the health care
process.
The content that supports both the intellectual content and strategy for this cornerstone
comes from multiple disciplines, e.g. psychology, sociology, management, and anthropology.
This paper discusses four major topics—why information system failures occur, the core
theories supporting change management, the practical applications of change management,
and the change management efforts in informatics.
Why Do Information System Failures Occur?

If only it weren't for the people, those awful people, always getting tangled up with the
systems. If it weren't for them, the health care area would be an informatician's
paradise.*
Complex problems rarely have simple solutions. During the many stages of the solution
process, there are numerous opportunities to go wrong, whether the solution tends to be a
technical one or not. As we delve into increasingly complex medical informatics problems,
we will increasingly face this challenge. In reviewing information system failures cited in the
literature as well as drawing on our personal observations and experiences, we have seen
the rising importance of the human issues that are often referred to as people and
organizational issues.
A case study was conducted to study information needs and competencies of the off-site
supervision of financial institutions professionals in Brazil, using a united theoretical basis:
the research construct expressed mainly by Figure 1. Information parameters (or information
science parameters) were also used.
The object of study was the Central Bank of Brazil. The focus of the study was the activity of
off-site supervision, responsible for the monitoring of the Brazilian financial system. The
professional group considered in the research was composed of the decision-making group
(eight people) and other professionals linked to the off-site supervision tasks (forty-seven
people).
The data collection was conducted according to the following group of procedures:
information needs mapping followed Le Coadic's (1998 )propositions; and information
competencies mapping followed the procedures suggested by Zarifian (2003). A
combination of research techniques was used, making possible a slowly deepening
understanding of the supervisors' sense-making as information users and of the
development of their competencies. The research was conducted in four successive and
interactive phases, ending up in a final theoretical construction:
1. in the first phase, document research was used. The objective was to define the
activity to be studied; to characterize the organization and the organizational unit that
executed the tasks and to define the population and the professional group of the
research;
2. in the second phase, interviewing was the chosen technique. People in decision-
making positions were consulted to identify the Critical Success Factors of the
activity. They were those people whose position would allow them to have
information about the organization, its strategy and the essential factors that have
influence on its operational aspects. The method tries to identify the characteristics,
conditions, or variables that should be managed and properly monitored. These
factors could be used to define information needs and the essential characteristics of
an activity or organization. The technique, proposed by Rockart (1979), contemplates
interviews in two or three separate sessions: in the first session, the executives'
goals are listed and the success factors identified are discussed; a second session is
held to review the information generated and a third session is held to obtain a final
result;
3. in the third phase of the research, participant observation was used to map
processes, tasks, problems and problematic situations, documents and information
frequently used, information products and services, information technology used in
the environment, factors that would drive people to search for information, knowledge
and abilities developed in daily tasks and professionals' attitudes to the workplace.

The influence of the organizational structure and hierarchy was also observed in the
professionals' daily work life;
4. in the last phase, for evaluation of all the information obtained and final data
triangulation, focus groups were used. It was possible to compare all the data and
information gathered during the entire research process and to confirm the
researchers' analyses vis-à-vis the opinion of the professionals studied.
The data recording techniques were the researcher's field notes and a tape recorder. The
instruments of data collection were six question discussion tables, prepared in different
phases of the research and the instrument 'Completing the sentences'. Content analysis was
used to analyse the interviews and the field notes (thematic analysis by category) and
discourse analysis was used to analyse the instrument 'completing the sentences'.
Data analysis, results and discussion.
General results.
Data collection has generated several sets of information besides the identification of the
critical success factors and work processes developed: the information process, cycle and
contexts; the sense-making process, decision processes and knowledge construction
processes. All this information was analysed to describe how the professionals identify their
information needs and develop their competencies in the work environment.
Off-site supervision of financial institutions is related to the collection, organization and

distribution of value-added information about the Brazilian financial system. Today, the
chosen operational strategy is to monitor the risks incurred by the financial institutions
through specific work processes, with specific groups of highly specialized professionals,
with very advanced technological tools. There is the belief that, in this way, the safety and
soundness of the financial system will be assured. Thus, each type of risk is detailed and
specified. The complexity of the problems is reduced, in a way and the safety and extension
of the monitoring process is increased. Extensive use of information technology makes it
possible for analysts to concentrate on the problems detected by the tools for each type of
risk. Automated processes transfer information and basic knowledge of supervision
technology to tools based on computer programs. The phases of the information cycle
(collection, selection, treatment and storage) are automated and common explicit knowledge
in each process is provided as a basis for analysis.
The main products of the activity are reports that express the analysis of the information
collected and information products for decision-making. Most of the products and services
are destined for internal customers. The customers of the off-site supervision are on-site
supervision (who can have previous reports before driving to an institution to inspect it), the
decision making people (who can lean on consolidated and timely information to make
decisions and formulate policies), other organizational units interested in the available
information products and services, and the external public interested in value-added
information about the Brazilian financial system. The tools used by off-site supervision are
information systems designed to answer to necessary data collection and analysis on the
formats and types needed. The methodologies, the criteria and the indicators used in the
supervisors' analyses are built specifically for the monitoring they perform.
Critical success factors of off-site supervision.
The identified success factors for off-site supervision are listed in Table 1, grouped under
three main identified themes: activity, information and people.

Themes Critical Success Factors
Capacity for aggregation, integration and comparison.
Capacity for permanent and concomitant monitoring of the

financial system as a whole.
Capacity for optimization and rationalization.

Activity
Capacity for synergy and communication with other areas
of the organization.
To possess legal and regulated bases for action.
Capacity to retain trained people (human resources).
To acquire and supply quality, timely information.
Integrated, accessible information, from autonomous

sources and available by security levels.
Information
Appropriate technological basis.
Visible products and services.
Right qualifications and profile and adapted training.
Motivation.
People
Capacity for creativity and innovation.
Capacity for communication and cooperation.
Table 1 – The Critical Success Factors of off-site supervision in

Brazil. (Source, Miranda 2007)

The critical resources to accomplish the activity goals involve the capacity to generate value
added information (aggregated, integrated and comparative) to monitor the financial
institutions constantly and soundly. The optimization of resources (technology and
personnel) and rationalization of work processes are also important. Off-site supervision
effectiveness depends on the synergy, cooperation and constant communication with other
areas of the organization and with their information suppliers. The information resources
coming from external sources need to be verified for truthfulness and reliability. An
appropriate technological basis is essential because they have to work with huge amounts of
information, diverse in format, technology and contents.
It is operationally critical to have an appropriate technological basis to work with the

information in the necessary format and quality. Without the appropriate technology it would
be impossible to accomplish the monitoring in a satisfactory way. The activity imposes
certain situational factors that have a strong influence on professional needs. Given the
profile of the activity and the intensive use of information and information technology, the
professional profile is marked by the diversity and specificity of the necessary information to
accomplish the tasks and for the use of specialized information systems in every work
process.
Work processes and information management process.
One of the first findings of the research was the perception that the activity would be better
understood from the point of view of its work processes. Participant observation was used to
consider the work processes. Five different processes were observed. They were developed
for the monitoring of different types of risks faced by the financial system. Each process
presented specific information needs, related to the type of the monitoring accomplished,
indicating also some specific competencies to satisfy those needs. The activity was new to
the organizational environment and in the area of supervision and it was still being structured
and improved. Each process had a different level of development and also a different level of
information technology use. The work processes were analysed with regard to the
information technology and the information context.
The information needs identified.
To identify information needs, one must discover how the users choose, formulate and
express their basic questions (problems or subjects) regarding their activity. This is important
to describe how their knowledge systems work (cognitively, emotionally and socially).
Off-site supervision activity is divided according to the types of risks to monitor. The
supervisors' main issues are linked to the analysis of the problems identified with the
assistance of their tools. The main point is the risk that each situation identified represents
for the financial institution and for the financial system. The tools are endowed with
methodologies, criteria and indicators for treating the available information and present a
problem to the supervisor. To answer each question in each process, the supervisors search
for additional information in: organizational information systems, media reports (internet,
intranet, newspapers, specialized news etc.) and perhaps try to communicate with other
colleagues or other areas of the organization to clarify problems and exchange ideas. The
goal is to solve the problem and decide on the alert sign to be sent to the head of the unit,
managing director and/or to the on-site supervision, according to the case.
The supervisor's information needs were identified in three dimensions (situational,

emotional, and cognitive factors) and with the help of three parameters (cycle and
technology of information and information contexts). As for the cognitive factors related to
the information cycle, it was found that part of the information necessary to the supervisors

was transferred to the work tools. The strategy was to automate everything that was
possible. Methodologies, indicators, criteria and previous knowledge for the final analysis
were included in computer programs. The information cycle was automated from collecting
and organizing to storing. The retrieval and analysis was the analyst's main job. Distribution
of the analysis results was also an automated step. This does not mean that the supervisors
do not need diversified knowledge and, at the same time, a specialized profile. The
automation saves time regarding searching and organizing the basic material for analysis,
offers agility and makes timeliness possible. In spite of this, the supervisors are not excused
from the basic knowledge about the business. The more experienced and knowledgeable
the analyst, the better the analysis. As for the use of information technology, the supervisors
are intensively linked to the electronic channels and the use of the several resources offered
by information and communication technologies. The intense use of technology brings, in
addition, new knowledge requirements related to the very use of the technology. As for the
use of the informational contexts, the supervisors are usually within the context of business
information.
As for the situational factors linked to the information cycle, the analysts receive defined
information according to established rules relating to needs, access levels and functions.
Actually, the analysts receive previous indications from work tools. This way, they can
analyse the extension and importance of the problems, in agreement with established
criteria for the work processes. These criteria are based on previous knowledge and
experience accumulated from and by the supervisory activity itself. Drawing from this
knowledge background, the analyst adds the information available on the systems and
decides whether to alert the on-site supervisor or other customers.
As for the use of the information contexts, the supervisor decides on the use of different
types of information according to the problem to solve. Usually, the analyst uses the
information supplied by the systems and joins what is available on the intranet or internet.
He looks for additional information about the businesses of the financial institutions.
Technological and organizational information are usually already included in tools. The
technology includes workstations (computers), automated information systems and
communication systems integrated with the information systems. Most of the work is
accomplished with computer assistance, telephones and electronic communication systems.
The documents used are mostly organizational documents (texts and tables) such as
reports, work notes, regulations and balance sheets. The information medium is almost
always electronic (computer files) containing text or numeric tables.
As for the emotional factors linked to the work with the information cycle, it was found that
the automation of a great part of the cycle has reduced, in a way, the uncertainty and the
stress. The current technology brings the possibility of using several information contexts
simply by making them available. It was an up-grade from the previous situation, since
before the modern technologies this possibility was quite small. With the use of intranet and
Internet, for instance, the use of several information contexts became possible. The
preferences for electronic media can be explained because they are faster and more
diversified, reducing the stress of the tasks. The problem is that they also increase the
standardization and repetition of certain tasks, affecting the motivation to work.
Considering all the factors together—speed, greater diversity of information, increased

analysis resources and greater safety in the processes—the affective dimension seems to
have its importance softened (at least within the factors considered in the research model).
Due to the intervening variables and the activating mechanisms in the environment, the
financial system and, therefore, the environment of the supervision of financial institutions is
characteristically dynamic. So, the activity as a whole is marked by uncertainty and stress.
Fortunately, that factor is manageable since most of the variables were already considered

in the methodologies, tools and indicators that capture the environmental information. It is
necessary to have an appropriate professional profile for the job. However, there are some
occasional problems regarding the recruitment, selection and retention of personnel. This
can occasionally be a stress factor.
As for the role played by the professionals, the history of the off-site supervision activity adds
one stress factor to the management problem. The fight for space in the organizational
arena adds one emotional factor to the off-site supervisors' situation. The interviews
revealed that this activity was not considered a supervisory activity in a strict way within the
organization. This situation could be explained, partially, because the division between off-
site and on-site supervisors happened only in the year 2000, when the two activities were
separated. The off-site supervisors' organizational situation and the recognition of their
importance and role, did not seem to have yet been perfectly established. This variable
could be controlled if off-site supervision was better defined as a specific function and had its
role clearly established inside the organization.
As activation mechanisms, the risk/reward perception differentiates the choice of additional

sources of information to provide the decision to send (or not) an alert on possible problems.
The concept of effectiveness was based on the return obtained by the off-site supervisors
through the results of their work. This could be a stress factor if the return was not offered
and the supervisor did not get the evaluation of his/her effectiveness. Moreover, the
evaluation obtained could be used to improve future job performance, if the information sent
was used to address future analysis and decisions.
From the point of view of the work groups joined by work processes, it can be added that
differences of concepts and perceptions existed among groups. They were characterized by
differences in the tasks and by the development and automation levels of the work
processes. The information need is clearer and more specific in more developed processes
(more stabilized in terms of technologies, tools and methodologies). In processes that are
still in development, most appropriate technologies, methodologies and tools are still also in
development. In consequence, the information need was masked for different kinds of needs
like those related to the development of the work process itself.
Some important points could be stressed regarding the chosen operational strategy for the
activity, concerning the intensive use of the information technology and the predominance of
internal information. The choice of a technological path of development should perhaps be
part of a shorter period plan. Future plans for renewal and continuous development should
be included to attend to work processes and staff development. In this way, an excessive
use of automation would not make the work uninteresting and/or demotivating. As for the
predominant use of internal information sources, this is a factor that can generate hermetic
information behaviour, following the analysis presented by Chatman (1999). This kind of
behaviour could perpetuate accepted practices and sources and/or establish barriers to
change.
The competencies identified.
What differentiates off-site supervision from other similar activities is the use of large
amounts of diversified information on an integrated basis and an ongoing monitoring of the
financial system as a whole. On-site supervision, for instance, is a similar and complementary
activity that monitors the financial institutions individually, deeply and in a programmed and
punctual timeline. Therefore, the core competency of off-site supervision was described as
the capacity to use aggregated and integrated information to accomplish ongoing systematic
monitoring of the financial system. Together, these two activities accomplish a larger goal,

that is, supervision of the Brazilian financial system. Table 2 presents the competencies for
each mapped work process of off-site supervision, described as the expected behaviour in the
workplace.
Description of the
Problems that drive the
Work competency
information needs
Process that could address the
in each work process
information needs
Capacity to analyse economic

What is the significance and and financial situation of
Work
relevance of an asset or financial institution to detect
Process
liability variation on a specific significant and relevant
1
financial institution? variations in the evolution of
their assets and liabilities.
What is the coherence Capacity to analyse the

Work between the accounts records consistency of assets and
Process of a financial institution and the liabilities of one financial
2 operations reported by the institution and the record of its
market? operations in the market.
What is the associated risk to Capacity to evaluate the

Work the estimated need of liquidity liquidity situation of a financial
Process of a financial institution (for institution to pinpoint
3 itself and as a future irregularities and future
tendency)? tendencies.
Why a given operation

Capacity to analyse the
accomplished by some
atypical operations of one
Work financial institution (identified
financial institution on the
Process for the work tool) was not
market of Government Bonds
4 executed obeying the
to point irregularities and
negotiation parameters of the
future tendencies.
market?
Capacity to analyse and

What is the risk situation of a
Work attribute quantitative notes
given financial institution
Process that classify a financial
regarding the whole risk of its
5 institution regarding the risks
market?
in its market.
Table 2 – The competencies that attend the information needs of

off-site supervisors in Brazil. (Source, Miranda 2007).
The analysis of the competency dimensions was made starting from the work processes
considering the information parameters. In the knowledge dimension of the information

cycle, it was found that some automated tasks allowed the supervisors to concentrate their
knowledge on their main task: risk monitoring. As the cycle was largely automated, the
knowledge related to the information sources, for instance, can be concentrated in
complementary information sources. The basic sources are already included on the work
tools. On the other hand, the knowledge that encompasses the supervision technology
includes, nowadays, the learning of information technology tools used in the work processes.
As for information contexts, the experience in the activity provides knowledge of a larger and
diversified number of sources and usable types of information to solve problems. Previous
knowledge of the very existence of these contexts and/or their possibilities is what influences
most of the behaviour of supervisors. As for information technology, the supervisor should
acknowledge that the tools, methodologies, indicators and criteria used in the activity must
be well known. It does not matter if they are included in the automated systems or are
related to the final risk analysis, which is a human activity. It is all part of the job profile.
In the know-how (abilities) dimension of the information cycle, it is important for off-site
supervisors to possess the ability to use the functionalities included in their tools and to
evaluate the effectiveness of their results. Those abilities can only be acquired with the
experience of using the tools, methodologies, indicators and criteria. In this way, the know-
how would be part of the daily work life. The supervisor should understand the information
as raw material and learn to work with the media, formats, contents, types, sources and
technologies. As for the use of the information contexts, the know-how is linked to the
activating mechanisms and the intervening variables. They drive the information use from
certain contexts. The information types used to solve problems are linked to the situational
requirements of each work process: for example, analysis type, type and size of financial
institution and type of information product to be offered. As for the use of information
technology, the supervisor's ability is acquired in agreement with the work process in which
s/he works. Each work process has its own computerized tools, methodologies, criteria and
specific indicators related to the needs of the process.
In the know-how-to-act (attitudes) dimension, the work with the information cycle is linked
to the supervisors' preferences and to the level of development of the work process. The usual
preference is electronic media. If the process is not sufficiently developed and/or automated,
the preferences are driven to printed information sources not available in the information
systems, to information held by people and to the choice of new methodologies. This can
reduce the use of certain types of information. The more automated the process, the more
diverse are the supervisor's options for additional sources. The work experience, the
knowledge of the importance of the job and the atmosphere of cooperation and friendship of
the group are also influences on supervisors' attitudes. The use of different information
contexts is part of the daily practice in the measure of: the supervisors' previous knowledge
about them and the need for different contexts to solve specific problems. Each work process
demands the use of certain information that can be considered according to preferences and
professional experiences. As for the use of information technology, there is an understanding
that the off-site supervisors should adapt themselves to the intensive use of information
technology. The activity is intrinsically linked to the technology. The competencies linked
specifically to the information process are described in Table 3.
Behaviour Knowledge Abilities Attitudes
It is recognized Knowledge Development of Availability to work

that the about the capacity to with the

information is a information deal with the information in the

raw material for contexts and existent mass of extensive model of
work and the their documents and communication.
information peculiarities to identify new
analysis must be and about the information
in agreement possibilities of needs.
with a specific application for
technology. the available
information
technology.
The information Knowledge Development of Disposition to learn

is organized about the the ability to and to diversify
according to the technology of transform the knowledge and to
objectives of the off-site technology of intermediate
tasks, which are supervision and the off-site between the
elaborate of its supervision with amount of
information connection with the use of documents and
products and the information information their usage
services. technology. technology possibilities.
tools.
Several Knowledge Development of Disposition to

information about the the ability to exchange
contexts are available recognize new information and
used to information information knowledge.
complement the systems and of needs on new
preliminary their contexts.
information possibilities.
analysis
accomplished by
the work tool.
Information Knowledge Development of Disposition to be

technology is about the the ability to inquisitive and
used to gain possibilities to negotiate open to the
effectiveness in use information spaces of possibilities of
daily information technology for information change and
work. supervision. technology use improvement of the
at the existent
environment. technological level.
Table 3 – Information competencies of the off-site supervisors in

Brazil and their dimensions. (Source, Miranda 2007).
The observation of the work processes allowed the evaluation of information competencies
in daily practice, given that those competencies are important regarding to the very success
of the daily tasks. It is of fundamental importance for the off-site supervisor's profile: the
conscious use of information as raw material and the certainty that appropriate and efficient

organization of the information leads to efficiency and effectiveness of work processes. The
belief that the use of information technology is indispensable for the effectiveness of the
tasks on the scale requested by the Brazilian financial system is also a basic aspect of that
profile.
An important point regarding the competencies concerns information orientation. Assuming a

perspective of the predominance of the technological path, maladjustment in the harmonic
development of the competencies dimensions can occur. The competency is related to
people and their development as a whole. The emphasis on technology and automation can
provoke deviations (distortions) in the individual competencies and, maybe, a future rigidity
regarding the development and maintenance of the core competence of the activity.
According to Leonard-Barton (1995), a competency can be transformed into a rigidity and
establish as a barrier to the future development of the organization. Another interesting point
to be stressed is the contradiction between the need for a diversified professional profile and
the industrial use of information technologies (leading only to the automation of processes).
This can contribute not only to a lack of work motivation but also, as emphasized by
Ehrlinger and Dunning (2003), hinder the development of necessary meta-cognitive abilities
for self-evaluation regarding the competency.
Conclusions.
The purpose of this research was to study how information needs and information
competencies of off-site supervisors of financial institutions in Brazil could be identified using
information science parameters. The data collection provided information to identify how
these professionals see their work needs and how they search and use information to solve
problems. It was also possible to identify how they develop the competencies related to their
need for information in the work environment.
The analysis of critical success factors of off-site supervision and the observation of the work
processes performed by its professionals confirmed that the activity is information intensive
and is based on information technologies and on the information cycle (collecting,
processing, distributing and using information).
The importance of analysing the activity from the point of view of information parameters
was stressed. As used in the research models, information parameters provided important
insights to the better understanding of the research subject and problem.
Types of information
Why are there different types of Information System?
In the early days of computing, each time an information system was needed it was 'tailor
made' - built as a one-off solution for a particular problem. However, it soon became
apparent that many of the problems information systems set out to solve shared certain
characteristics. Consequently, people attempted to try to build a single system that would
solve a whole range of similar problems. However, they soon realized that in order to do this,
it was first necessary to be able to define how and where the information system would be
used and why it was needed. It was then that the search for a way to classify information
systems accurately began.
How do you identify the different types of information system in an organization?
The different types of information system that can be found are identified through a process
of classification. Classification is simply a method by which things can be categorized or

classified together so that they can be treated as if they were a single unit. There is a long
history of classification of things in the natural world such as plants or animals, however,
Information systems are not part of the 'natural' world; they are created and acquired by man
to deal with particular tasks and problems. The classification of information systems into
different types is a useful technique for designing systems and discussing their application; it
not however a fixed definition governed by some natural law. A 'type' or category of
information system is simply a concept, an abstraction, which has been created as a way to
simplify a complex problem through identifying areas of commonality between different
things. One of the oldest and most widely used systems for classifying information systems
is known as the pyramid model; this is described in more detail below.
How many different kinds of Information System are there?
As can be seen above, there is not a simple answer to this. Depending on how you create
your classification, you can find almost any number of different types of information system.
However, it is important to remember that different kinds of systems found in organizations
exist to deal with the particular problems and tasks that are found in organizations.
Consequently, most attempts to classify Information systems into different types rely on the
way in which task and responsibilities are divided within an organization. As most
organizations are hierarchical, the way in which the different classes of information systems
are categorized tends to follow the hierarchy. This is often described as "the pyramid model"
because the way in which the systems are arranged mirrors the nature of the tasks found at
various different levels in the organization.
For example, this is a three level pyramid model based on the type of decisions taken at
different levels in the organization.
Three level pyramid model based on the type of decisions taken at different levels in the
organization
Similarly, by changing our criteria to the differnt types of date / information / knowledge that
are processed at different levels in the organization, we can create a five level model.

Five level pyramid model based on the processing requirement of different levels in the
organization
What are the most common types of information system in an organization?
While there are several different versions of the pyramid model, the most common is
probably a four level model based on the people who use the systems. Basing the
classification on the people who use the information system means that many of the other
characteristics such as the nature of the task and informational requirements, are taken into
account more or less automatically.

Four level pyramid model based on the different levels of hierarchy in the organization
A comparison of different kinds of Information Systems
Using the four level pyramid model above, we can now compare how the information
systems in our model differ from each other.
1. Transaction Processing Systems
What is a Transaction Processing System?
Transaction Processing System are operational-level systems at the bottom of the

pyramid. They are usually operated directly by shop floor workers or front line staff,
which provide the key data required to support the management of operations. This
data is usually obtained through the automated or semi-automated tracking of low-
level activities and basic transactions.
Functions of a TPS
TPS are ultimately little more than simple data processing systems.
Functions of a TPS in terms of data processing requirements
Inputs Processing Outputs
Validation
Sorting Lists
Transactions Listing Detail reports
Events Merging Action reports
Updating Summary reports?
Calculation
Some examples of TPS
o Payroll systems
o Order processing systems
o Reservation systems
o Stock control systems
o Systems for payments and funds transfers
The role of TPS
o Produce information for other systems

o Cross boundaries (internal and external)
o Used by operational personnel + supervisory levels
o Efficiency oriented

2. Management Information Systems
What is a Management Information System?
For historical reasons, many of the different types of Information Systems found in
commercial organizations are referred to as "Management Information Systems".
However, within our pyramid model, Management Information Systems are
management-level systems that are used by middle managers to help ensure the
smooth running of the organization in the short to medium term. The highly structured
information provided by these systems allows managers to evaluate an
organization's performance by comparing current with previous outputs.
Functions of a MIS
MIS are built on the data provided by the TPS
Functions of a MIS in terms of data processing requirements
Internal Transactions Sorting Summary reports

Internal Files Merging Action reports
Structured data Summarizing Detailed reports
Some examples of MIS
o Sales management systems

o Inventory control systems
o Budgeting systems
o Management Reporting Systems (MRS)
o Personnel (HRM) systems
The role of MIS
o Based on internal information flows

o Support relatively structured decisions
o Inflexible and have little analytical capacity
o Used by lower and middle managerial levels
o Deals with the past and present rather than the future
o Efficiency oriented?

3. Decision Support Systems
What is a Decision Support System?
A Decision Support System can be seen as a knowledge based system, used by

senior managers, which facilitates the creation of knowledge and allow its integration
into the organization. These systems are often used to analyze existing structured
information and allow managers to project the potential effects of their decisions into
the future. Such systems are usually interactive and are used to solve ill structured
problems. They offer access to databases, analytical tools, allow "what if"
simulations, and may support the exchange of information within the organization.
Functions of a DSS
DSS manipulate and build upon the information from a MIS and/or TPS to generate
insights and new information.
Functions of a DSS in terms of data processing requirements
Modelling
Internal Transactions Summary reports
Simulation
Internal Files Forecasts
Analysis
External Information? Graphs / Plots
Summarizing
Some examples of DSS
o Group Decision Support Systems (GDSS)

o Computer Supported Co-operative work (CSCW)
o Logistics systems
o Financial Planning systems
o Spreadsheet Models?
The role of DSS
o Support ill- structured or semi-structured decisions

o Have analytical and/or modelling capacity
o Used by more senior managerial levels
o Are concerned with predicting the future
o Are effectiveness oriented?

4. Executive Information Systems
What is an EIS?
Executive Information Systems are strategic-level information systems that are found
at the top of the Pyramid. They help executives and senior managers analyze the
environment in which the organization operates, to identify long-term trends, and to
plan appropriate courses of action. The information in such systems is often weakly
structured and comes from both internal and external sources. Executive Information
System are designed to be operated directly by executives without the need for
intermediaries and easily tailored to the preferences of the individual using them.
Functions of an EIS
EIS organizes and presents data and information from both external data sources and
internal MIS or TPS in order to support and extend the inherent capabilities of senior
executives.
Functions of a EIS in terms of data processing requirements
External Data Summarizing Summary reports

Internal Files Simulation Forecasts
Pre-defined models "Drilling Down" Graphs / Plots
Some examples of EIS
Executive Information Systems tend to be highly individualized and are often custom
made for a particular client group; however, a number of off-the-shelf EIS packages
do exist and many enterprise level systems offer a customizable EIS module.
The role of EIS
o Are concerned with ease of use

o Are concerned with predicting the future
o Are effectiveness oriented
o Are highly flexible
o Support unstructured decisions
o Use internal and external data sources
o Used only at the most senior management levels

Information source
Types of Information Sources - Primary, Secondary, Tertiary & Refereed Journals
Primary Sources
There are a number of different definitions for primary, secondary and tertiary literature.
These can vary according to academic discipline (ie. science or humanities). In brief:
These are original materials which have not been filtered through interpretation,
condensation, or, often, even evaluation by a second party; for example journal
articles, monographs, reports, patents, theses, diaries, letters, photographs, poems.
For further information see Primary, Secondary & Tertiary Sources.
Secondary Sources
A secondary source is information about primary, or original, information, which usually

has been modified, selected, or rearranged for a specific purpose or audience. It is not
always easy to discern the difference between primary and secondary sources.
Examples include biographies, histories, monographs, review articles, textbooks, and
any index or bibliography used to locate primary sources. For further information see
Primary, Secondary & Tertiary Sources.
Tertiary Sources
These consist of information, which is a distillation and collection of primary and

secondary sources. Twice removed from the original, they include encyclopedias, fact
books and almanacs, guides and handbooks. Some secondary sources such as
indexing and abstracting tools can also be considered tertiary sources. For further
information see Primary, Secondary & Tertiary Sources.
Examples of Primary & Secondary Sources
Some examples of primary and secondary sources are:
Discipline Primary Source Secondary Source
Art Original artwork Article critiquing the piece of art
Engineering Patent Derwent Patents index
History Explorer's Diary Book about exploration
Literature Poem Treatise on a particular genre of

poetry
Science Original journal article Biological Abstracts
Theatre Videotape of a performance Biography of a playwright

Refereed & Peer Reviewed Articles
Refereed articles are normally assumed to be substantial works of scholarship, which

have gone through a peer-reviewing process before being published in a scholarly
journal for a scholarly audience. Peer-reviewing means that the paper is submitted to
experts in the field for assessment (much like a thesis) before being accepted for
publication, or rejected. Remember that not all articles published in refereed journals
are themselves refereed. Examples of articles which are most likely to have been peer-
reviewed include:
 Commentaries and communications of original research

 Critical scholarly texts
 Reviews of a field of research
Examples of articles unlikely to have been peer-reviewed include non-scholarly, non-

research articles, brief communications, editorials, letters to the editor; book, art,
concert, theatre, cinema etc reviews. Articles in newspapers and popular magazines
are rarely refereed.
Identifying a Refereed Journal
There are a number of criteria for identifying refereed journals. The most useful are:
 Journal is listed in an ISI index such as Current Contents Connect

 The journal is classified as refereed in Ulrich's International Periodicals Directory
 There is a statement (usually hard to find) in the journal (or on the website) that
papers are refereed
 Journal has a list of editorial board members
 Article has a "Submitted" and "Accepted" date shown
 Journal is included in Expanded Academic ASAP International database as

"refereed"
 Journal is included in Proquest database as "peer reviewed publication"
 Journal is included in CSA Illumina as “peer reviewed journal”
If all else fails, check with your lecturer or tutor. They may accept other criteria - eg. a
substantial article with a bibliography in a journal published by a major university press,
a major research society or organisation or a publisher known to produce primarily
scholarly titles (eg. Blackwell, Academic Press Elsevier, Wiley etc).

INTRODUCTION TO SYNTHESES
WHAT IS A SYNTHESIS?
A synthesis is a written discussion that draws on one or more sources. It follows that your
ability to write syntheses depends on your ability to infer relationships among sources -
essays, articles, fiction, and also nonwritten sources, such as lectures, interviews,
observations. This process is nothing new for you, since you infer relationships all the time -
say, between something you've read in the newspaper and something you've seen for
yourself, or between the teaching styles of your favorite and least favorite instructors. In fact,
if you've written research papers, you've already written syntheses. In an academic
synthesis, you make explicit the relationships that you have inferred among separate
sources.
The skills you've already been practicing in this course will be vital in writing syntheses.
Clearly, before you're in a position to draw relationships between two or more sources, you
must understand what those sources say; in other words, you must be able to summarize
these sources. It will frequently be helpful for your readers if you provide at least partial
summaries of sources in your synthesis essays. At the same time, you must go beyond
summary to make judgments - judgments based, of course, on your critical reading of your
sources - as you have practiced in your reading responses and in class discussions. You
should already have drawn some conclusions about the quality and validity of these sources;
and you should know how much you agree or disagree with the points made in your sources
and the reasons for your agreement or disagreement.
Further, you must go beyond the critique of individual sources to determine the relationship
among them. Is the information in source B, for example, an extended illustration of the
generalizations in source A? Would it be useful to compare and contrast source C with
source B? Having read and considered sources A, B, and C, can you infer something else -
D (not a source, but your own idea)?
Because a synthesis is based on two or more sources, you will need to be selective when
choosing information from each. It would be neither possible nor desirable, for instance, to
discuss in a ten-page paper on the battle of Wounded Knee every point that the authors of
two books make about their subject. What you as a writer must do is select the ideas and
information from each source that best allow you to achieve your purpose.
PURPOSE
Your purpose in reading source materials and then in drawing upon them to write your own
material is often reflected in the wording of an assignment. For example, your assignment
may ask that you evaluate a text, argue a position on a topic, explain cause and effect
relationships, or compare and contrast items. While you might use the same sources in
writing an argumentative essay as your classmate uses in writing a comparison/contrast
essay, you will make different uses of those sources based on the different purposes of the
assignments. What you find worthy of detailed analysis in Source A may be mentioned only
in passing by your classmate.
USING YOUR SOURCES
Your purpose determines not only what parts of your sources you will use but also how you
will relate them to one another. Since the very essence of synthesis is the combining of

information and ideas, you must have some basis on which to combine them. Some
relationships among the material in you sources must make them worth sythesizing. It
follows that the better able you are to discover such relationships, the better able you will be
to use your sources in writing syntheses. Your purpose in writing (based on your
assignment) will determine how you relate your source materials to one another. Your
purpose in writing determines which sources you use, which parts of them you use, at which
points in your essay you use them, and in what manner you relate them to one another.
TWO TYPES OF SYNTHESES
THE EXPLANATORY SYNTHESIS: An explanatory synthesis helps readers to understand

a topic. Writers explain when they divide a subject into its component parts and present
them to the reader in a clear and orderly fashion. Explanations may entail descriptions that
re-create in words some object, place, event, sequence of events, or state of affairs. The
purpose in writing an explanatory essay is not to argue a particular point, but rather to
present the facts in a reasonably objective manner. The explanatory synthesis does not go
much beyond what is obvious from a careful reading of the sources. You will not be writing
explanatory synthesis essays in this course. However, at times your argumentative synthesis
essays will include sections that are explanatory in nature.
THE ARGUMENT SYNTHESIS: The purpose of an argument synthesis is for you to present
your own point of view - supported, of course, by relevant facts, drawn from sources, and
presented in a logical manner. The thesis of an argumentative essay is debatable. It makes
a proposition about which reasonable people could disagree, and any two writers working
with the same source materials could conceive of and support other, opposite theses.
STANDARDS FOR SYNTHESIS ESSAYS
1. Remember that you are using your sources to support your ideas and claims, not the
other way around.
2. Keep in mind that original thought and insightful analysis are required for a 4.0, 3.5, or 3.0
paper; 2.5 and below evaluations tend not to present original ideas.
3. A 4.0, 3.5, or 3.0 paper will create a "dialogue" between the essay author's ideas and her
sources, and also among the sources themselves. 2.5 and below evaluations will often
summarize one point at a time, with the essay author's idea stated at the end. If you imagine
a synthesis essay as a room in which the synthesis writer is joined by the authors of her/his
sources, the 4.0, 3.5, or 3.0 essay has everyone engaged in conversation or debate, with
everyone commenting on (or arguing against) each other's ideas directly. In the 2.5 and
below essay, each person in the room stands up in turn, gives a speech, and sits down, with
little or no question and answer period in between or afterward.
4. Take special care to address your audience in an appropriate manner. Make sure you
establish your credibility on the subject and that you provide sufficient information to make
your argument (thesis) convincing.
5. Organize your paper logically:

A. State your thesis clearly and make sure that it reflects the focus of your essay.
B. Make sure your main points are clearly stated (use topic sentences), and connect
each point to your thesis as explicitly as possible.
C. Divide paragraphs logically.
D. Provide appropriate transitions both within and between paragraphs.
6. Develop each main idea thoroughly. Use specific examples and source materials
appropriately as support. Be sure to integrate source materials smoothly into your own
writing using attribution phrases and transitions. Also be sure to avoid unnecessary
repetition (repetition is often an organization problem).
7. Select words precisely. When in doubt, use a dictionary!
8. Make sure sentences are clear and unambiguous. Avoid passive voice. Double-check to
see that sentences are adequately varied in length and style, and that there are no
fragments or run-ons. Also proofread carefully to correct any other sentence errors.
9. Proofread carefully to identify and correct mechanical errors, such as errors in plurals or
possessives, subject-verb agreement, shifts in verb tense or person ("you"), comma errors,
spelling errors, and so on.
10. Quadruple check your MLA documentation. Are your parenthetical citations correct? Is
your Works Cited list correct according to MLA style, and does it include all sources cited in
your essay?
11. Be sure to give your essay a descriptive and attention-getting title (NOT "Synthesis," for
goodness sake!!!).
12. Make sure your essay is formatted correctly and posted to your web site correctly.
HOW TO WRITE SYNTHESIS ESSAYS
1. Consider your purpose in writing. Read the topic assignment carefully. What are you
trying to accomplish in your essay? How will this purpose shape the way you
approach your sources?
2. Select and carefully read your sources, according to your purpose. Re-read the
sources, mentally summarizing each. Identify those aspects or parts of your sources
that will help you in fulfilling your purpose. When rereading, label or underline the
passages for main ideas, key terms, and any details you want to use in the synthesis.
3. Formulate a thesis. Your thesis is the main idea that you want to present in your
synthesis. It must be expressed as a complete sentence and include a statement of
the topic and your assertion about that topic. Sometimes the thesis is the first
sentence, but more often it is the final sentence of the first paragraph.
4. Decide how you will use your source material and take notes. How will the
information and the ideas in your sources help you to fulfill your purpose? Re-read

your sources and write down the information from your sources that will best develop
and support your thesis.
5. Develop and organizational plan, according to your thesis. How will you arrange your
material? It is not necessary to prepare a formal outline, but you should have some
plan in mind that will indicate the order in which you will present your material and
that will indicate the relationships among your sources.
6. Write the first draft of your synthesis, following your organizational plan. Be flexible
with your plan, however, and allow yourself room to incorporate new ideas you
discover as you write. As you discover and incorporate new ideas, re-read your work
frequently to ensure that your thesis still accounts for what follows and that what
follows still logically supports your thesis.
7. Document your sources. Use MLA-style in-text citations and a Works Cited list to
credit your sources for all material you quote, paraphrase, or summarize. For
example, if I wanted to note in my essay the difference between name-calling and
argumentum ad hominem as personal forms of attack, I would credit the article on
"Politics: The Art of Bamboozling" from WARAC by offering a citation that includes
the author's last name and the exact page number where she discussed this notion
(Cross 302). At the end of the essay, I would have a complete bibliographic citation
for the "Politics" article.
8. Revise your synthesis. Insert transitional words and phrases where necessary.
Integrate all quotations so they flow smoothly within your own sentences. Use
attribution phrases to distinguish between your sources' ideas and your own ideas.
Make sure the essay reads smoothly, logically, and clearly from beginning to end.
Check for grammatical correctness, punctuation, and spelling.
TECHNIQUES FOR DEVELOPING SYNTHESIS ESSAYS
SUMMARY: The simplest - and least sophisticated - way of organizing a synthesis essay is
to summarize your most relevant sources, one after the other, but generally with the most
important source(s) last. The problem with this approach is that it reveals little or no
independent thought on your part. Its main virtue is that it at least grounds your paper in
relevant and specific evidence.
Summary can be useful - and sophisticated - if handled judiciously, selectively, and in

combination with other techniques. At some time you may need to summarize a crucial
source in some detail. At another point, you may wish to summarize a key section or
paragraph of a source in a single sentence. Try to anticipate what your reader needs to
know at any given point of your paper in order to comprehend or appreciate fully the point
you are making.
EXAMPLE OR ILLUSTRATION: At one or more points in your paper, you may wish to refer
to a particularly illuminating example or illustration from your source material. You might
paraphrase this example (i.e., recount it, in some detail, in your own words), summarize it, or
quote it directly from your source. In all these cases, of course, you would properly credit
your source.
TWO (OR MORE) REASONS: The "two reasons" approach can be an extremely effective
method of development. You simply state your thesis, then offer reasons why the statement

is true, supported by evidence from your sources. You can advance as many reasons for the
truth of your thesis as needed; but save the most important reason(s) for last, because the
end of the paper is what will remain most clearly in the reader's mind.
STRAWMAN: When you use the strawman technique, you present an argument against
your thesis, but immediately afterward you show that this argument is weak or flawed. The
advantage of this technique is that you demonstrate your awareness of the other side of the
argument and show that you are prepared to answer it. The strawman argument first
presents an introduction and thesis, then the main opposing argument, a refutation of the
opposing argument, and finally a positive argument.
CONCESSION: Like the strawman, the concession technique presents the opposing
viewpoint, but it does not proceed to demolish the opposition. Instead, it concedes that the
opposition has a valid point but that, even so, the positive argument is the stronger one. This
method is particularly valuable when you know your reader holds the opposing view.
COMPARISON AND CONTRAST: Comparison and contrast techniques enable you to

examine two subjects (or sources) in terms of one another. When you compare, you
consider similarities. When you contrast, you consider differences. By comparing and
contrasting, you perform a multifaceted analysis that often suggests subtleties that otherwise
might not have come to your attention.
To organize a comparison/contrast analysis, you must carefully read sources in order to

discover significant criteria for analysis. A criterion is a specific point to which both of your
authors refer and about which they may agree or disagree. The best criteria are those that
allow you not only to account for obvious similarities and differences between sources but
also to plumb deeper, to more subtle and significant similarities and differences. There are
two basic formulas for comparison/contrast analysis:
BY SOURCE BY CRITERIA
I. Introduce essay, state thesis I. Introduce essay, state thesis
II. Summarize passage A II. Introduce Criterion 1
A. View on Criterion I A. Passage A's viewpoint
B. View on Criterion 2 B. Passage B's viewpoint
III. Summarize passage B III. Introduce Criterion 2
A. View on Criterion 1 A. Passage A's viewpoint
B. View on Criterion 2 B. Passage B's viewpoint

IV. Discussion and conclusion IV. Discussion and conclusion

Collect data from a user in a workflow
When you design a workflow, you often want to collect information from a participant in the
workflow, and then use that information for making further decisions. For example, you might
want a workflow to ask a participant to review a document, and then have the workflow
perform different actions depending on whether the reviewer approves or rejects the
document.
To accomplish this, you add the Collect Data from a User action to your workflow. This
action assigns a task to the participant, prompting them to provide the needed information in
a custom task form. The information from the custom task form is stored in an item in the
Tasks list. At a decision point in a later step, the workflow retrieves the stored information
and evaluates it to decide which branch to run.

An Overview of Gathering, Managing and Communicating Information
6.1.1 Knowing the Journey Data Will Take
Data travel. On this journey they are gradually collated and analysed as the data move from
field sites or different project staff and partner organisations to be centrally available for
management decisions and reports. The journey involves a transformation from data to
information and knowledge that is the basis of decisions. Data are the raw material that has
no meaning yet. Information involves adding meaning by synthesising and analysing it.
Knowledge emerges when the information is related back to a concrete situation in order to
establish explanations and lessons for decisions. Many rural development projects have
much data lying around, less information, little knowledge and hence very little use of the
original data for decision making.To avoid this problem, plan not only how you will gather
data but also how you will transform the data into valuable knowledge.
Box 6-1. Data and yet no information in Uganda
In one project in Uganda, field extension staff had kept monthly records for
seven years on their work with farmers to establish sustainable livelihood
activities, such as planting woodlots, beekeeping, using fuel-efficient
stoves and implementing soil conservation measures. There was literally a
room full of monthly reports. However, no system had been developed for
collating this information and turning it into insights about adoption rates,
reasons for differences between villages or differing success rates of
particular extension staff. When analysis of the data was attempted, it
proved to be impossible because the data was unreliable and very difficult
to compare and collate between different project areas. This problem
typically arises when the focus is on data collection rather than knowledge
generation.
Figure 6-1 shows how data travel. Table 6-1 lists questions that need to be considered for
each part of the journey. For each performance question and indicator, the journey will be
different in terms of the choice of methods, frequency and responsibilities. Irrespective of the
journey, be sure that the information you are collecting is helping you answer your
performance questions.
Figure 6-1. The journey data take

Table 6-1. Preparing the journey for your data
Steps Key Questions to Answer
Data sampleWill a sample be necessary? If yes, how will it be taken in

selection order to be representative of the project’s primary
stakeholders? If no, where can you get the information?
Data collection How are you going to find your information: by measuring,
interviewing individuals, group discussions, observing?
Data recording Who will use which formats to write, visualise, photograph
or take video of data and impressions?
Data storing Where will data (raw and analysed) be stored, how and by
whom? Who will have access?

Data collation Who will use what methods to group data into a logically
ordered overview?
Data analysis Who will examine the data using what method to give them
meaning and synthesise them into a coherent explanation of
what happened and what needs to now be undertaken?
Information At what stages and using what means will information be

feedback andshared with project and partner staff, primary stakeholders,
dissemination steering committees and funding agencies?
6.1.2 Considerations When Choosing Your Method
Before choosing your method, be clear about three methodological aspects:
 the difference and overlap between methods for qualitative and quantitative
information;
 the implications of working with individual or group-based methods;
 what makes a method participatory – or not.
Several steps need to be followed to select the most appropriate method(s) (see 6.2.2 for
more details):
1. Check that you are completely clear about what information you need collected,
collated, analysed or fed back, for which you are seeking a method.
2. Check that another group, person or organisation is not already collecting the data.
Check, where possible, how the information was collected to see if it is reliable
enough for your needs.
3. Be clear about how accurate you need to be.
4. Does the information relate to a specialist area? If so, seek specialist advice or
documentation before proceeding with the method selection.
5. Be clear about the task that needs to be accomplished, and whether this concerns
qualitative and/or quantitative information. Consider whether a method is needed to
collect, collate, analyse, synthesise or disseminate information.
6. Decide the extent to which the data gathering or analysis process is to be

participatory, and therefore whether you need to work with individuals, groups or a
combination.
7. Decide if your data-collection coverage is to be sampled or comprehensive. If

working with a sample, decide on your sample size, clarify the "sampling frame" and
select your sample (see D.1).
8. Do you have several methodological options or is there only one? List your method
options and make an initial selection. If using a sequence of methods, check that the
methods complement each other.

9. List your methods and make an initial selection.
10. When you think you’ve got the right method for the task at hand, consider if it is:
feasible, appropriate, valid, reliable, relevant, sensitive, cost-effective and timely.
11. Pre-test your method, with a small number of participants who are similar to those
from whom information is going to be sought. Adjust your method based on
recommendations from the test run.
12. Determine the frequency of use.
6.1.3 Gathering, Collating and Storing Information
When preparing for data gathering, do not forget to:
 Consider carefully how to select interviewers and facilitators.

 Consider how to distribute the tasks of collection and analysis among different people
and what is needed to limit errors.
 Ensure that those using the methods are comfortable with them.
 Ensure clarity of language.
 Prepare the practicalities of each method, such as materials needed.
Avoid error by considering possible causes of sampling errors and non-sampling errors.
Non-sampling errors are particularly critical. These can occur due to interviewer bias,
inadequacy of methods, processing errors and non-response bias (see 6.3.1).
Check your data from time to time. Spot checks are important at the beginning of any project
– if you are using existing data sets – by looking at where data come from, who has
collected information and the methods and standards they used. Also check data collection
when using a new method or when working with new fieldworkers, new implementing
partners, new staff, etc.. Data can be suspicious if you notice overly precise data (like perfect
matches between targets and actual realised activities), sudden large changes in data, and
data gaps.
For each bit of information, define how it will be recorded. Practise with the people doing the
recording before setting out to collect data.
The step of collating (or aggregating) information often gets lost in the gap between data
collection and analysis. It requires some attention as it can greatly facilitate analysis if
undertaken well and can introduce error if done poorly. Collation is needed when you are
scaling up your information from a smaller unit of analysis to a larger one or when
information has been collected from different sources with different methods. The collation of
qualitative data requires special care and analytical skills.
Qualitative and quantitative data analysis are both critical for making use of M&E data but
are also quite distinct processes. The Guide focuses on aspects of qualitative data analysis
as statistical procedures fall outside its scope. Refer to Section 8 for many ideas on how to
encourage reflective meetings and analytical reporting in addition to the ideas in 6.4.2.

When deciding how to organise the storage of M&E information, consider these four
questions:
1. What information needs to be stored?

2. Who needs access to the information and when?
3. What type of information needs to be stored – hard copies or data that can be
computerised and accessed centrally?
4. Regularly assess what information you need to keep and what can be discarded.
6.1.4 Considering Communication of M&E Results
M&E-related findings have many potential audiences: funding agencies, steering

committees, cooperating institution, project and implementing partner staff, and primary
stakeholders. The main purpose of communicating findings is to ensure accountability and
motivate stakeholders to action. Draft M&E findings need to be discussed with implementing
partners and primary stakeholders in order to get feedback on accuracy, reach joint
conclusions and agree on next steps. Final findings can then be passed to the relevant
organisations for accountability and action.
Plan carefully how you will communicate your M&E findings. Reach agreement with project
stakeholders on who needs to receive what kinds of M&E information. Remember to include
accountability, advocacy and action-oriented audiences and to agree on the information
(content and form) they need.
Plan for communication as part of your M&E system from the outset. Do not hope or expect
that someone else in the project will communicate M&E findings. As part of this, invest in
good communication, not only in producing effective outputs but also in project-based
capacities for communication.
A key communication task is to ensure that your findings are correct. Workshops and
meetings are critical events to seek feedback and plan action.
When planning to present M&E information for feedback, consider these practical aspects:
 Ensure clarity of message for specific audiences.

 Agree on the frequency for communicating information.
 Ensure timeliness. When do you need to get feedback to still be useful for decision
making?
 Consider location. Where will people feel at ease?
Use different media to communicate findings. Written reporting is most known and ranges
from formal progress reports, to special studies, to informal briefs in the form of
memorandums highlighting a current issue. M&E findings can often be communicated more
effectively verbally than by other means. Speaking directly with a target audience provides a
quicker and more flexible way to convey your message. Also use visual displays, such as
graphs or charts showing trends or maps, to convey summaries of what is happening.
Back to Top

6.2 Deciding Which Methods to Use
6.2.1 What Are Methods?
A method is an established and systematic way of carrying out a particular task.

Agronomists have methods for measuring crop yield. Economists have methods for
calculating return on investment. Anthropologists have methods for looking at household
decision-making patterns. Accountants have methods for budgeting and reporting on project
funds. And managers and facilitators have methods for helping groups to make decisions.
M&E makes use of a wide range of methods for gathering, analysing, storing and presenting
information. In your M&E activities, you are likely to use established research methods from
the biophysical and social sciences, as well as from a growing collection of participatory
methods (see Box 6-2). Sometimes the information you require will make it necessary to
adapt an existing method or develop an entirely new method.
Box 6-2. Matching methods to needs
One IFAD-supported agricultural development project in China used crop

development models to make predictions on the development of 14 crops,
including the impact of staple and specialty crops – such as pearl sorghum
and ginger – on farm-level production and income generation. These
models were calculated with the help of the FARMOD modelling software
developed by FAO and the World Bank. These estimates could be used as
a base with which to compare actual results gathered through data-
collection methods.
In India, a method for the self-evaluation of women’s credit "self-help

groups" was developed for periodic monitoring of specific indicators.
Because many of the women are illiterate, a series of pictures was used to
represent indicators and a colour-coding system was developed to
represent levels of evaluation. This method was used in groups and
allowed for full participation of all the members.
In carrying out M&E, it is often necessary to combine a series of methods (see Box 6-3). For
example, a participatory rural appraisal (PRA) process used to find out how primary
stakeholders are benefiting from a project might combine some 15 or more different methods
ranging from transect walks to matrix ranking and focus group discussions. Likewise, a
household survey or annual project review meeting would combine a series of interviewing,
discussion and facilitation methods. The combination of a series of methods in a structured
way is often referred to as a methodology. For example, you have a methodology for a
workshop or a methodology for a baseline survey.
Box 6-3. Diverse methods for sustainability monitoring in the

Karnataka Rural Water Supply and Sanitation Project, India 1
A village-based sustainability monitoring process was developed to

understand what issues could potentially adversely affect the sustainability
of water and sanitation services in India. A set of nine questionnaires was
developed to be used in visits to 15 villages, with the following topics:
village socio-economic profile; technical: water supply (asset condition and

profile); technical: sanitation (drainage, soak-pits and dustbins); technical:

sanitation (household latrines); financial: costs, tariff, billing and collection;
institutional: village water and sanitation committee (VWSC) – composition,
functions and effectiveness; household: facts, perception of demand met;
social: participation by women and poor; and tap stand monitoring.
Preparation and Data Collection
Before starting the data collection, a one-day preparatory workshop was

held for the teams to brainstorm about the concept and the methods. A
variety of methods were used in order to answer the questionnaires: direct
observations, general meetings, focus group discussions, household
surveys, and observations and interviews of villagers while collecting water
at the public tap stands.
Collation and Analysis
After the fieldwork, all the data collected through the questionnaires and
scores of the 71 indicators were converted into a sustainability index for
each village. The analysis revealed that nine out of the 15 villages visited
fell into the "likely to be sustainable" category (60% with a score above
0.65), five into the "uncertain" category (33% between 0.50 and 0.64) and
one in the "unlikely" category (below 0.50).
6.2.2 Types of Methods
Annex D provides a description of 34 different methods commonly used for M&E and, in
particular, participatory M&E. They have been grouped as follows:
 sampling methods;
 core M&E methods (such as stakeholder analysis and questionnaires);
 discussion methods for groups (such as brainstorming and role plays);
 methods for spatially-distributed information (such as maps and transects);
 methods for time-based patterns of change (such as diaries and photographs);
 methods for analysing relationships and linkages (such as impact flow diagrams and
problem trees);
 methods for ranking and prioritising (such as matrices).
You will probably also need to draw on other specialised methods related to specific
technical fields, which are clustered under biophysical measurements (Method 5) and cost-
benefit analysis (Method 7) in Annex D.
By calling on specific technical expertise when developing a detailed M&E plan, you can
ensure the inclusion of appropriate specialist methods. Before selecting your methods, first
consider three important aspects:
 quantitative versus qualitative methods;

 individual versus group-based methods;
 the extent to which a method can be participatory.
Table 6-2. Examples of multi-purpose M&E methods
Qualitative Data Quantitative Data
Methods forCase studies, brainstorming, focusNominal group

groups groups, SWOT, drama and roletechnique, maps,
plays, maps, transects, GIS,transects, historical
historical trends/ timelines,trends/timelines,
seasonal calendars, rich pictures,seasonal calendars, flow
visioning, flow diagrams, well-beingdiagrams, matrix scoring
ranking and ranking
Methods forSemi-structured interviews, caseDirect measurements,

individuals studies, maps, transects, diaries,structured
historical trends/timelines, seasonalquestionnaires, maps,
calendars, flow diagrams transects, GIS, diaries,
flow diagrams
Quantitative and Qualitative Methods
Quantitative methods directly measure the status or change of a specific variable, for
example, changes in crop yield, kilometres of road built or hours women spend fetching
water. Quantitative methods provide direct numerical results.
Qualitative methods gather information by asking people to explain what they have
observed, do, believe or feel. The output from qualitative methods is textual descriptions.
Much information in M&E reports tends to be based on numbers. Quantitative data are clear
and precise and are often considered to be more scientifically verifiable. You will always
need this kind of information. However, for some performance questions you will need to
complement it by asking people about their experiences and opinions.
Choosing to use a method to produce or analyse qualitative or quantitative data (see Box 6-
4) depends not only on the type of information you are seeking but also on the capacities
and resources you have available, how the information will be used and how precise data
need to be.
Note that the difference between quantitative and qualitative methods is not absolute. Much
qualitative information can be quantified. For example, opinions can be clustered into groups
and then counted, thereby becoming quantitative. Note, however, that you can never make
quantitative information more qualitative. You cannot extract an opinion from a number.
Box 6-4. Using methods to produce quantitative or qualitative data
Methods for quantitative data. They need to produce data that are easily
represented as numbers, answering questions such as "How much…?",
"How many…?", and "How frequent …?" Quantitative data generally

require formal measurements of variables such as income, production or

population densities.
Methods for qualitative data. They produce data that are not easily
summarised in numerical form, broadly answering the "how" and "why"
through, for instance, meetings, interviews or general observations.
Qualitative data are more appropriate for understanding people’s attitudes
or behaviours, beliefs, opinions, experiences and priorities. Qualitative data
include answers to questions like "Why do you think this happened?" and
"How do you think this will affect you?"
Box 6-5. Considering the pros and cons of qualitative and

quantitative studies 2
A study focusing on the community’s acceptability of immunisation was

carried out in Somalia, as mothers did not seem to want to take their
children to be immunised.
A quantitative survey could have found out: how many mothers accept
immunisation, how many do not and whether this is related statistically to
their socio-economic status, education, age, number of children, distance
from the clinic, income, clan, etc. This information might be useful for
programme planning if the social or physical factors that were found to
influence the mothers could be changed.
However, a qualitative survey was used instead. It found out why mothers
do or do not take their children to be immunised. It looked at their
experience with immunisation and how that affects their behaviour. The
study showed that the way mothers were treated in clinics put them off. For
example, they were not given enough information and were scared when
their children suffered from fevers after vaccination. They also thought that
diseases were caused by bad spirits and, therefore, could not be
prevented by vaccination.
From this study, it was possible to change the way clinics were run and
how staff was trained, and it was easier to explain to mothers why
immunisation is important.
Considering Individual- or Group-Based Methods
Throughout the M&E process – from design, to data collection and analysis – you can
choose to use methods to consult with groups or with individuals. Working with individuals
can give you more detailed information but it will only give an overview after analysing data
from a set of individuals. A group-based method will elicit a more collective perspective –
with areas of consensus and divergence – while personal details and perspectives are less
likely to emerge. Groups ask more of the facilitator and the quality of discussions depends
on the size of the group and how comfortable people are with each other and the topic at
hand. Annex D includes one cluster of methods that are particularly suited for group
discussions. However, many other methods in Annex D can also be used in a group context.

The more people involved at any one M&E event, the greater the importance of good
facilitation and planning. The facilitator’s skill will largely determine whether a method is used
successfully in a group. Good facilitators will provide suggestions, probe, encourage, redirect
and also take notes. They also help manage conflicts by encouraging people to listen to and
understand each other’s perspectives.
Table 6-3. Pros and cons of working with individuals and groups
Advantages Disadvantages
- Manage the discussion- Consume more time if you want
Processes more easily data from many individuals
with
individuals - Can get detailed information - Cannot be used to generate
consensus
- Generate data that can
usually be structured in a way- Do not allow cost-effective
that makes statistical analysisfeedback
possible
- Generate new learning in- Can cause problems in terms of
Processes some participants, asdata validity, as individuals may
with a information may be shared be influenced by group dynamics
group that normally is not or composition
- With careful planning, can- Cannot (usually) deal with

allow for marginal voices tosensitive information
be heard
- Require a facilitator able to deal
- Can show where divergencewith group dynamics
and convergence of opinions
lie - Require careful thought about
group composition to adequately
represent the voices you want to
hear
What Makes a Method Participatory
Many projects are keen to involve primary stakeholders more in M&E. They commonly
consider that collecting data from local people using so-called participatory methods is
sufficient. Imagine the following scenario. The M&E staff of a project goes to a group of
farms to understand if soil nutrient flows have changed as a result of farmer training on soil
conservation. They meet the farmers and ask them to sketch maps showing where nutrients
enter the farms, how they are used and how they leave, and in particular showing what has
changed after soil conservation measures were adopted. The mapping process lasts about
two hours, after which the team goes back to the M&E office with the sketched maps to
synthesise and analyse the data for a report to the director. At some point, the report is
copied and sent to the village. Can you call this mapping process participatory?
Participation in M&E is often limited to working with primary stakeholders as information

sources, rather than as joint users of information and therefore potential analysts and co-
designers of methods. If you have selected the method and use it to get information from
people, then you are involved not in a participatory process but in an extractive one. This is

fine – unless you are aiming for participatory M&E. In which case, you would involve other
stakeholders in choosing and using methods.
Many people think there is a set of so-called "participatory" M&E methods, but this is not the
case. A method is not inherently participatory or not participatory. Many of the methods
useful for M&E can be used in either a participatory or non-participatory way. The
participatory impact comes with the way a method is used and who helped select it. The use
of a technical method for testing water quality, for example, can become participatory if the
community is involved in deciding what aspects of water quality to measure, collecting the
data and reviewing the results. On the other hand, if a group is directed to produce a map of
the area, there is little discussion, and the map disappears into the project office forever,
then this cannot be called participatory mapping. See 2.6 for general considerations for
participatory M&E.
To ensure that the selection and use of methods is participatory, consider these questions.
1. In what aspect of the M&E methods is participation important? In selection or design

of the method, in applying it for data collection or for analysis?
2. Who should ideally be involved in the task at hand? Who needs to help select, design
or use the method? Ideally, those who are to use it for collecting or analysis should
be involved in selection/design. This can include staff of implementing partners,
project staff, primary stakeholders and consultants.
3. Who wants to be involved in what? Not everyone has the time or inclination to
participate. This is not a problem, as full participation is neither practical nor possible.
Instead, you need to ask those you would like to involve if they are able and
interested.
4. What is needed for effective participation? Self-confidence is needed before effective

participation is possible. Therefore you need to create the conditions for people to
feel free in helping define methods, in testing and adjusting them, in collecting data,
etc. This can include providing training or follow-up mentoring, finding the right time
and place, offering childcare support, etc.
6.2.3 Selecting Your Methods
To select the most appropriate methods for the task at hand, the steps below can give some
guidance.
1. Be clear about what you need to know. Section 5 discusses the process of deciding
what you want to monitor and evaluate. Before you start with method selection,
confirm with those involved that everyone is clear on what information needs to be
sought.
2. Check that another group, person or organisation is not already collecting the data.
Before investing in method selection for data gathering and analysis, find out if the
information you are seeking is already available and from where. Government
agencies, universities and research organisations will often have data that can
contribute to the project’s information needs. Start by asking whether there are
reporting mechanisms in the villages, local towns, district capitals, etc. for information
you might need, such as population, disease incidence, tax collection and so on. The
methods employed will be many and varied, ranging from national statistical and
census methods to specific research methods. You might find it helpful to make an
inventory of existing information collection, as in an IFAD-supported project in
Zambia (see Table 6-4).

Check, where possible, how the information was collected to see if it is reliable enough for
your needs. In some situations it may be possible to modify data gathering by other agencies
to better support the M&E work of the project. However, if you think the data quality cannot
be improved or if they are too difficult to access, then you will need to consider collecting the
data yourself.
Table 6-4. Part of an inventory of information useful for the District Development Project that
is already being compiled in Zambia3
Type ofWho Collects?Why Collect? Where Does It Go

Information After Collection?
Collected
Water points D-WASHE, - Planning for newLocal authorities,

water affairs,water points andNGOs, water affairs,
education, maintenance UNICEF, MoH
MoH (min. of
health)
Road Roads - Planning, e.g.,MoLGandH (min. of

infrastructure department, access andlocal government and
local maintenance housing), MAFF, MoT
authorities, (min. of tourism)
MAFF (min. of
agriculture,
food and
fisheries)
Public - Planning for services
institutions CBS (centralprovision MoLGandH, sector
bureau of departments/ministries,
(agriculture statistics), local- Planning for newdonors, MoFED (min.
camps, authorities, investment of finance and
hospitals, sector economic
schools, departments development)
industries,
trading
centres,
banks, postal
services)
- Food security
Crop MAFF, CBS MAFF, MoFED, CBS,
production - Input requirements FRA (food reserve
agency), local
- Policy formulation authorities
- Marketing
- Crop production
potential
- Household income

Enrolment Head teachers,- Planning purposes,MoE, curriculum

(schools) CBS, e.g., upgrading,development centre,
inspectorates expansion, materialsMoH, local authorities
(district), zoneprocurement
coordinators
- Birth and mortality
Births andLocal rates Registrar general,
deaths authorities, MoFED, CBS, MoH,
hospitals, CBS - Population growthMoLGandH
rate
- Planning, e.g.,
provision of social
services
1. Be clear about how accurate you need to be. Higher accuracy is always more
desirable than lower accuracy. However, in some cases you may not need precise
figures or detailed opinions based on a representative sample, but only a general
impression. For example, you can choose to do a series of 50 measurements on
farmers’ fields to measure exact productivity. But you might only need to know if most
farmers are satisfied with their yields, for which discussion with several farmer
leaders might be sufficient.
2. Does the information relate to a specialist area? If so, seek specialist advice or
detailed documentation before proceeding with the method selection. This is the
case, for example, for cost-benefit analysis and geographic information system
mapping (see Methods 7 and 19 in Annex D). They require expert input in order to
assess if they are worthwhile for the project to use.
3. Be clear about the task that needs to be accomplished and whether it concerns
qualitative and/or quantitative information. Consider whether a method is needed to
collect, collate, analyse, synthesise or disseminate information. Does the
performance question or indicator for which you are seeking a method require
quantitative, qualitative or both types of information? Think about whether you need
individual or group opinions. Also consider how the people involved prefer and are
able to communicate, as this determines the choice of medium: written, oral, visual
and/or dramatic. Some methods are based on diagrams, while others focus on
written information.
4. Decide the extent to which the data gathering or analysis process is to be

participatory and, therefore, whether you need to work with individuals, groups or a
combination. Different stakeholders can be involved in data gathering and analysis of
information to varying degrees. Be clear about why you are seeking more
participation (see Box 6-6). Is it for consistency in processing or for shared analysis?
This will affect the choice of method. The extent of participation will also influence the
suitability of certain methods. For example, a cost-benefit analysis is not suited for
just anyone, but for someone with an economic background. If you are developing an
M&E system that micro-credit groups are to implement and manage, then
questionnaires will only be suitable if they design this themselves and are confident
about analysing the results.
Box 6-6. When participatory M&E is the incentive needed to keep the

data journey moving 4
In many CARE offices, there is often a physical and temporal gap between
data collection and data analysis. Those collecting data are often not
involved in analysing it. Analysis often happens months after the data are
collected. Often data are not analysed at all. One M&E staff member in
CARE joked that when he started his job, there was a huge container of
paper outside his office that one day simply disappeared. He was
indicating that unanalysed data can easily disappear without being missed.
In Bangladesh, CARE project staff tried to meet this challenge by

introducing participatory methods into their project monitoring systems.
Shifting their monitoring activities from CARE headquarters to the field
level grew out of concern that data analysis was not done by those who
collected the information nor who were involved in the day-to-day running
of the project. Also, it took so long for headquarters-based staff to receive
monitoring forms, enter data, send forms back to the field for corrections
and so on that data processing sometimes took over a year.
More participatory M&E was introduced to:
1. Increase the validity of monitoring data by having field trainers and

project participants involved in analysis;
2. Increase the quality of data by helping participants become aware of

why they are being asked certain questions.
One project team has now prepared forms that are one-page pictorial
summaries of production and input data, which will be used with farmers.
This data will then be entered and analysed at the "thana" and district
levels. Composite reports will then be sent to headquarters, where they will
be compiled and analysed for the project as a whole.
 Decide if your data collection coverage is to be sampled or comprehensive. If

working with a sample, decide upon your sample size and then choose an
appropriate sampling method. It is often not possible to gather data from the entire
population that interests you. Instead, a sample will be needed if the population is too
large, time is limited or you face resource and capacity constraints. Select your
sample well, as it affects which methods are appropriate and feasible, and will affect
the validity of your findings.
 Decide on your sample size. The optimal size of your sample has little to do with the
size of the population you are studying. Other factors are more important, such as
the available budget, number of subgroups to be analysed and time available. See
D.1 for more details.
 Clarify the "sampling frame". This refers to a description of the set of all possible
individuals you could sample. See D.1 for more details.
 Select your sample. You have two options (see Methods 1 and 2 in Annex D).
Random sampling methods give every individual in a population an equal chance of
being selected. Non-random sampling methods involve a more deliberate selection
within a population, particularly when a certain kind of opinion or comparison is
needed. Or you can combine these two options (see Box 6-7).

Box 6-7. Random sampling within a non-random sample5
In a total of nine villages, nine to ten households were selected randomly

from four different income categories from each village. The nine villages
consisted of three villages from clusters in three different geographical
areas. In each cluster, villages were selected on the basis of the length of
the project in the area (i.e., one, three or five years). This sampling allowed
for two types of comparisons to be made. A comparison was made based
on the length of the project’s presence in the village and one was made
across clusters (geographical/topographical conditions).
1. Do you have several methodological options or is there only one? Armed with all
these details about how you hope to find information, ask yourselves if you actually
have any options. Sometimes the type of information you are seeking can be found
clearly only in one way. For example, knowing how many turtles have laid eggs on
breeding beaches will require you to go and look. However, it is more likely that you
will have several options.
2. List your method options and make an initial selection. Once you know what the
method needs to do, then it is time to list all options and choose. Table 6-5 provides
one way to help you organise your thinking for this step.
Table 6-5. Helping you match methods for performance questions and indicators
Performance Issues inPotential Comments on

Question / Indicator Gathering Data Methods Possible Methods
Take this from yourCoverage, See AnnexList particular potential

M&E matrix (seedegree ofD. problems and key
Section 5 and Annexparticipation, advantages.
C). qualitative,
quantitative,
who is to do it,
etc.
Selection of your method will depend largely on the type of information needed, the skills of
those involved and the degree of precision needed. Also make sure that methods
complement each other to provide the information you are seeking and that they allow you to
crosscheck information. For example, a forestry resource management plan may involve
GIS maps (Method 19), resource mapping (Method 17) and transects (Method 18) to gather
information on the forest resources, an analysis of historical trends to understand changes in
forest use and ownership, an institutional analysis diagram (Method 27) to help with
stakeholder analysis and various discussion methods (Methods 11 to 16) to understand local
priorities and dynamics.
Critical in your selection process is ensuring appropriateness. Table 6-6 provides an

example of the appropriateness of different soil-erosion assessment methods for different
audiences. Especially in the case of participatory monitoring, methods should be selected so

they can eventually be incorporated into everyone’s everyday activities, as few people are
likely to be remunerated for the effort involved. Methods might need to be created after
negotiations about appropriateness (see Box 6-8). Where possible, the information
collection, analysis and the use of the results should be undertaken by the same people,
who should understand the method(s) and agree that they are appropriate.
Table 6-6. Appropriateness of soil-erosion assessment methods for different stakeholder

groups 6
Assessment Farmer Researcher Policy Maker Funding

Method Agency
Visual (rills, turbidityExcellent Good Poor Poor

of run-off water, etc.)
Stick in the ground Good Fair
Total suspendedFair Excellent

solid
Run-off plots Fair Fair – Good
Soil horizon Poor
Vegetation/Pedestal Good
formation
Simulation/Modelling Poor Excellent Good –Good –

Excellent Excellent
Remote sensing Poor Good –Excellent Excellent

Excellent
Sediment deposition Fair

7
Box 6-8. Negotiating appropriate methods in Brazil
In Brazil, the farmers, NGO staff, union representatives and university

academics were deciding which method could assess "the percentage of
vegetation cover" (one of the chosen indicators for monitoring their
agroforestry activity). First, the academics suggested using a wooden
frame (with four quadrats of about one square metre in total), to be placed
on the ground in several sites within the agroforestry plot) and visually
estimating the surface area covered by vegetation. They also suggested a
form to fill in the percentages. While the wooden frame was acceptable,
the farmers thought the form would be too complicated. The academics
then suggested a form with pre-drawn quadrats that the farmer could
shade to depict the area under vegetation. Again, it was rejected as too
alien to the farmers’ way of registering, as they are reluctant to use pen
and paper. Finally, they all agreed on the use of wooden sticks or rulers,
on which the farmer scratches a mark to indicate the estimated percentage

of vegetation cover in terms of a certain segment of the ruler. Each farmer

uses a new stick for each measuring event. When the farmers meet for the
agroforestry project, they bring their rulers, register the measurements on
paper, and discuss the findings and the significance for their plots.
Scientists might well debate the accuracy of a scratch mark on a wooden

stick compared with written percentages on a piece of paper. However, if
the paper-based method had been imposed, the reliability of the
information would probably have been low because the farmers were
reluctant to use this approach. In this case, participation probably ensured
a more realistic version of "rigorous" data collection.
1. Use this checklist to see if you have the right method for the task at hand.8
 Feasibility. Do you have the right skills and equipment for the method? Can the
method realistically help cover the intended questions/indicators? Do you have
enough time? Can you cover the geographic area adequately? What is the distance
between participants and what are the language requirements? Are sufficient
technical support and training provided?
 Appropriateness. Does the method suit the conditions of the project? Does everyone
involved agree that the method is appropriate and do they understand it? Is the unit
of analysis appropriate for the method?
 Validity. Do the people who are to use the information believe the method is valid,
i.e., able to assess the desired indicator with enough accuracy?
 Reliability. Will the method work when needed? Is the error that will occur
acceptable? Are you using different methods to verify the information collected,
rather than using only one particular method so risking distorted information?
 Relevance. Does the method produce the information required or is it actually

assessing something similar but, in fact, basically different? Does the method
complement the basic philosophy and approach of the project?
 Sensitivity. Is it able to pick up data variations sufficiently? Can it be adapted to

changing conditions without excessive loss of reliability?
 Cost effectiveness. Have sufficient financial resources been allocated? Will the
method produce useful information at relatively low cost – or is there a cheaper
alternative that provides information that is good enough?
 Timeliness. Is there an acceptable level of delay between information collection,

analysis and use? Do the methods use the least amount of time possible outside of
everyday work? Have you looked for ways to incorporate the use of the methods into
other daily tasks?
1. Pre-test your method. You should pre-test all M&E methods to make sure they are
feasible and will give you the desired kind of information. Pre-testing is particularly
critical prior to a major data-gathering exercise. It involves a trial run with a small
number of participants who are similar to those from whom information is to be
sought. Check that the questions are clear and see how long the method takes per

person or group. Adjust your method based on the outcome of the test run. You
might need to organise additional training if the method seems to require more skills
than those possessed by the people who are to use it.
2. Determine the frequency of use. Monitoring implies repeated use of a method to

make comparisons, for example, returning to a map (Method 17) every six months to
update the information or holding a focus group (Method 12) to see if views have
changed. Methods need to be consistently applied at each monitoring moment so
that information is not distorted, comparisons are possible and findings are reliable.
6.3 Gathering Data from the Field
6.3.1 Preparing and Planning for Data Collection
After selecting and pre-testing the method – but before starting the data collection – you will
need to make the final preparations. Consider what you might need to do to limit common
problems in the field.
Consider carefully how to select interviewers and facilitators. Two types of fieldworkers will
be needed: interviewers to collect data and facilitators to conduct group-based discussions
and analysis. Interviewing and facilitating are two sets of complementary skills. Consider
whether the following factors may influence the quality of interviews and discussions: age,
gender, background and position in the community, educational level, socio-economic level,
personality and attitude, physical health, language, religion and cultural customs. These
factors may impair or enhance an interviewer or facilitator’s capacity to understand certain
topics or be acceptable to whomever he/she is meeting. Select those people who fit best
with the task at hand and the stakeholders with whom they will interact.
Consider how to distribute the tasks of collection and analysis among different people and
what is needed to limit errors. The number of people involved in each stage of the data
journey will affect the consistency and accuracy of data. The greater the number of people
involved, not only the more organisation is needed but also the greater the risk of data
inaccuracies and inconsistencies. Plan how you will ensure that fieldworkers achieve
consistent quality of data collection/facilitation and how data will be verified (see 6.3.2).
Ensure that those using the methods are comfortable with them. Each method should be
pre-tested and practised by individuals who are to apply them. Facilitation techniques need
to be mastered by those who will interact with stakeholders to collect and analyse
information. This means understanding and practising facilitation techniques but also having
the skills to design methods jointly with stakeholders. A training session on methods needs
to cover the purpose of each method and of data collection and analysis, improve the
specific skills for working with groups and doing good interviewing, and teach ways to record
information.
Ensure clarity of language. Ideally, field workers either speak the relevant language or are
accompanied by a trusted interpreter. If working through translation, spend time getting the
translations right with native speakers and, if possible, train the translators in the selected
M&E methods. A list of clear translations needs to be prepared before the fieldwork starts.
One way of ensuring that an unusual method, such as matrix scoring (Method 32, Annex D),
is translated correctly is by having one native speaker translate it and then asking another
person to translate it back to the original language. Then the two versions can be discussed
with the data-collectors to be sure they understand and can comment upon the nuances
involved.

Prepare each method. Each method will require its own preparations (see Box 6-9). Be sure
to organise materials, including sufficient backups of the measuring and recording
instruments (pencils or pens for filling in forms or questionnaires, notebooks in which to
write, markers for flip charts, batteries for a laptop computer or tape recorder, etc.). Carefully
plan the formats needed to record information (see 6.3.3)
Box 6-9. Examples of methods and their preparation
 Questionnaire/Survey: checking of forms by a professional to be

sure that questions are unbiased and formulated properly,
enumerator training to ensure they understand the questions and
record accurately, availability of enough copies of the
questionnaire, provision of several writing instruments (and tape
recorder if necessary).
 Biophysical measurement: forms for recording, training in the
accurate use of the measuring instrument, spare instruments and
spare parts if budget allows.
 Role plays: effective training for good facilitation and drawing

conclusions together with participants, (video) camera, notebook,
flip chart, tape recorder, pens.
 Sketch mapping, flow diagrams, matrices: training on facilitation

and explanation of its purpose, (extra) paper, coloured pens,
notebook for own notes.
 Discussion methods: training in facilitation techniques, flip chart(s)

and coloured pens, notebook.
6.3.2 Ensuring Reliability of Information
Reliability of information is about consistency. To increase the reliability of information, stop

to consider possible causes of inconsistency. Errors creep into the system when, for
example, field staff document answers inaccurately, selected respondents are not the best
information sources, field staff are unclear about the purpose of information gathering, etc.
Two basic types of data errors are "sampling errors" and "non-sampling errors".
A sampling error occurs when you have chosen the wrong sample (see 6.2.3 and D.1,
Annex D). It is the difference between an estimate derived from a sample survey and the
value that would result if a census of the whole population were taken. For example, if a
sample has a response rate of 30%, the sample error estimates how accurately the sample
has estimated the 30% of the population that it supposedly represents. Sampling errors arise
when the information you have collected does not accurately represent the target population.
Casley and Kumar (1988: 81) list the types of households that could be missed when
compiling a sample, resulting in data biases: remote or inaccessible households, those with
frequently absent members (e.g., migrant labourers), newly created single-person
households and ethnic minorities (as they are often marginalised within a village). See D1 for
information on how to select a sample. Sampling errors do not occur in a census, for
example if you ask all the micro-credit groups the same questions. Because you have
involved all of them, you will only have non-sampling errors.
The most common and diverse types of errors are the non-sampling errors. Knowing the
possible causes of systematic non-sampling errors can help you limit the error.

 Interviewer bias. An interviewer can unfairly influence the way a respondent answers
questions. This may occur if the interviewer or facilitator is too friendly, aloof or
prompts the respondent. Fieldworkers need to have adequate capacities but also the
right incentives. This can also be caused by a management culture that discourages
the reporting of problems such as low levels of implementation (see Section 7 for
more on incentives).
 Inadequate methods. Causes include: complicated collection procedures,
inappropriate formats, ambiguous questions, mismatch of questions and method, etc.
 Processing errors. These can arise through miscoding, incorrect data entry, incorrect
computer programming and inadequate checking.
 Non-response bias. If a significant number of people do not respond to a certain

question, then results may be biased because the characteristics of non-respondents
may differ from those who have responded. Some questions may be difficult to
understand for certain people.
Non-sampling error can occur at any stage of a sample survey or census, and unlike
sampling error, it is not generally easy to measure. The non-sampling errors are difficult to
measure due to the diversity of sources (the interviewers, respondents, coders, data entry
operator, etc.).
Information inaccuracies can have more than one source of error. For example, in a micro-
credit project in India, the implementing partners felt that data collected were inaccurate due
in part to a burdensome and cumbersome process. The NGOs also questioned the capacity
level of local groups to fill out the lengthy monitoring formats accurately. Furthermore, there
was very high turnover of grassroots workers, primarily due to very low salaries paid under
the programme, so consistency of data collection was bound to suffer. The NGOs feared
that if primary data were not accurate, then errors would multiply as the information from the
different groups and staff was collated into larger figures, leading to a false picture of the
progress and impact.
Avoiding Non-Sampling Errors During Data Collection
Many sources of non-sampling error can be avoided or minimised. Table 6-7 lists some
actions you can take to reduce the most common types of errors.
Table 6-7. Common errors during data collection and how to reduce them
Common Errors Ways to Avoid Them

- Make sure everyone understands the purpose of
Interviewer bias each method.
- Make sure everyone knows exactly what data

she/he is collecting – clarify units, whom to speak with
or where to go for data, and the frequency of
collection.
- Practise interviewing and facilitation techniques.
- Brainstorm about possible problems that might occur

and agree on various ways to avoid them or deal with

them should they occur.

- Standardise formats for documentation.
Processing errors
caused by poor- Practise formats with the users and adapt the
documentation offormats if necessary.
data
- Computerise as soon as possible after data
collection and check the data entries.
- Have enough material to record all responses and

avoid losing data.
- Pre-test questions and methods.
Non-response bias
- Present methods and questions (and especially their
purpose) clearly and confirm that people have
understood.
- Use local terms.
Verifying the Data Once You Have Them
Data must, from time to time, be verified. Only by checking whether your data make sense
and are valid can you feel safe that you are analysing progress and process based on
correct inputs. You do not have to check data all the time. Keep your data verification
process efficient by undertaking spot checks at key moments:
 at the beginning of any project – if you are using existing data sets – by looking at
where data come from, who has collected information and the methods and
standards they used;
 when using a new method;
 when targets and data match perfectly;
 when working with new fieldworkers, new implementing partners, new staff, etc.
When all goes too smoothly with data collection, then probe to see if there really are no
problems lurking underneath the surface. Problems are inevitable and their absence may
signal that problems are suppressed. Keep an eye out for signs of problematic data and
investigate where problems might be occurring.
 Overly accurate data. When the data collected match targets too perfectly the data
are probably problematic. In one IFAD-supported project in Asia, large variations
emerged in reporting per county. Most counties consider the targets written in the
appraisal report as compulsory and strive to achieve them. They only report when
achievements are close to 100% of the targets. For instance, in two counties, the
1996 performance records a 100% achievement for practically all activities. In
another project, a review in 2001 of the data on physical progress showed that
targets and actual figures of implementation were exactly the same, every month, for
every parameter. These are clear cases of unreliable data.
 Sudden, large changes in data. In northeast Brazil, an NGO was monitoring the
adoption rates of contour ploughing and noticed a huge increase in adoption rates.

The NGO knew it had not undertaken much training with farmers on contour
ploughing so doubted the data. Focused research was undertaken in several
communities to see if the data were accurate. It turned out that the data were, in fact,
accurate but that adoption to contour planting had been triggered by a surge in
animal traction. Animals cannot plough up and down steep slopes so contour
ploughing had become the side effect of increased use of animal traction. 9
 Gaps in the data. When certain information has many non-respondents, this may
point to a respondent error or an error in the choice of method for that information.
Options for Verifying Data
Every project needs to find its own way to incorporate verification into its data-collection
process. In Yemen, the RADP project deals with data verification when management senses
a problem with the data collected by component departments and sent via the M&E unit.
Management forms a committee from the department concerned and the M&E unit to verify
the information. The department concerned may also make a field visit and submit a report
directly to the project director and copies to the M&E unit.
Other projects outsource data verification. In the ADIP project in Bangladesh, the reliability
and validity of data are crosschecked using additional data-collection exercises. This
includes, for example, the evaluation of demonstration plot performance and research
activities by consultants. The responsible governmental department verifies M&E data, but
project management decides when such verification will happen and who should carry it out.
In the APPTDP project (India), the primary data are collected through village liaison workers.
Data are then verified by an appointed agricultural/development consultant. Only then are
the verified data passed to the central monitoring unit for analysis.
To check data yourself, triangulation is an important principle. This means collecting the
same type of information but from different sources and using different methods. This can be
as simple as, for example, asking the same questions with different focus groups or
comparing the outputs of a map and a transect of the same area.
Verifying quantitative data is often more straightforward, as more agreed standards exist.
For example, many types of biophysical measurements indicate how to calculate whether
the data are representative. Verifying qualitative data is more difficult, as there are no clear
rules. You can use techniques like "key judges" to verify the interpretation of information
(see Box 6-10).
Box 6-10. Using different methods and "key judges" to verify

qualitative information in the Philippines10
In the Philippines, the NGO, Education for Life Foundation (ELF),

evaluated its leadership-training programme. Various methods were used
to gather data, including focus groups (Method 12, Annex D), story-telling,
direct observation (Method 6, Annex D), psychological assessments,
surveys (Method 8, Annex D) and semi-structured interviews (Method 9,
Annex D). As the information was mostly qualitative and open-ended, the
field researchers developed the idea of "key judges" to cluster the
information for analysis. They clustered and labelled data according to
topics they had selected earlier. Consensus was needed by at least three
people before labelling the data. The process of data analysis allowed the
researchers to share their different interpretations of the answers and so it
triangulated findings. As a final check, they presented the draft findings to

the communities where data had been collected and they asked for
feedback and suggestions.
6.3.3. Recording Data
Besides knowing how to conduct interviews and facilitate discussions, fieldworkers need to
know how to record responses. Data can be recorded in many ways, depending in large part
on the data collection method. Some methods require the filling in of forms or tables, others
require using a tape recorder, video recorder or camera, writing answers on cards or flip-
charts, or taking detailed notes.
For each bit of information, define how it will be recorded. Practise with the people doing the
recording before setting out to collect data.
Whichever data-recording method you choose, make sure you are consistent in how you
record or it will be difficult to compare and analyse the data. Also consider the information
storage implications (see 6.4.4 for more details). Where and how will data be stored so that
they are safe and accessible? This will affect how data are recorded. Box 6-11 describes one
example of the daily recording of information that can then be fed into reports on the progress
of the project.
Box 6-11. Zimbabwean farmers record their day-to-day observations
In one IFAD-supported project in Zimbabwe, farmers are asked to keep

daily records as part of the M&E system. The information they record
includes: production trends, gross margin budgets, cropping programme
(rotation), marketing trends (consumer consumption and price
comparisons), water usage per crop/plot, fertiliser use, pest spraying
programmes, scouting of pests and diseases, harvesting outputs, labour
costs and rainfall records. These records are then compiled by the
extension agent and submitted to the district agricultural office for analysis.
This provides monitoring information on the scheme’s progress and is used
to feed quarterly reviews and annual work plans at the irrigation-scheme
level. With systems like this, it is paramount that farmers be supported to
keep records accurately and that data be verified regularly. Farmers will
only be able to sustain such high levels of information recording if it is
meaningful for them as well.
A good form helps the recorder enter data consistently. It should clearly represent the
selected M&E indicators (as words, as diagrams or symbols, or reformulated as a question)
and give sufficient space for the collector to fill in the information. Data forms should include
space at least for:
 date, location, time and duration of interview or discussion;

 name of enumerator/facilitator;
 name of participants;
 topic(s) being discussed and methods used;
 key findings – either in a predefined format (see Box 6-12) or in terms of key words
and descriptions if the data gathering method is open ended.

Box 6-12. Different options for predefined answer formats11
 Checklist: when the answer requires ticking one or more options

from a list (e.g., "Which health services do you use?").
 Two-way questions: when the answer is "yes" or "no", "agree" or
"disagree".
 Multiple-choice questions: when there are several possible answers

and you want the respondent to consider all the possible answers
before replying.
 Scales: when you are asking people to give or rank their opinion.
Ordered scales are where people mark the statement with which
they agree and leave the others. An agreement scale requires
respondents to show the extent to which they agree with a
statement, for example, from "strongly agree" to "strongly
disagree".
When diagrams form the basis of discussion (see D.4, D.5, D.6 and D.7), extra care is
needed to make additional notes since the diagram itself will never capture all the important
opinions and conclusions.
Who designs the recording form is critical, particularly if monitoring is to be carried out by
local groups. For example, self-help groups in a credit project in India have developed a
coding system to ensure that all their members can participate in their regular self-evaluation
process. Since many members are illiterate, the questions are symbolised with pictures and
the three levels of evaluation are colour-coded. This is an example of an agreement scale
1.2 AC2 Information is collected, organised and summarised from a variety of sources
during daily working activities
6.4 Collating, Analysing and Storing Information
Once data have been collected, they need to be organised into a manageable form ready to
be analysed efficiently. This involves transcribing data into a systematic format, entering the
information obtained from each respondent or group and organising it into one overall
format, for instance, into a computer database.
6.4.1 How to Collate Information
Collation of information is needed when:
 you are scaling up your information from a smaller unit of analysis to a larger one, for
example, compiling all individual interviews to develop an overview of a micro-credit
group or pulling together all village-level information into a district-level analysis;
 information has been collected from different sources with different methods, to lay
the basis for making comparisons and finding patterns during analysis.

Collation of information requires an appropriate format. With some methods, this is a very
straightforward process. It can simply involve filling in a statistical programme on the
computer with numbers that represent measurements or it can entail entering numbers that
are pre-identified codes representing specific ideas, following the form, questionnaire or
notes used in the data collection process. With statistical data, compilation ensures that the
many data are reduced to clearly labelled tables. These tables should integrate the findings
according to your performance question. For example, it should show location-specific
trends if you are trying to understand how impact varies per community or district.
The collation of qualitative data requires special care and analytical skills (see Box 6-13).
Box 6-14 describes the basic steps to order open-ended responses. Section 6.4.2 discusses
this in more detail, since data collation and data analysis with qualitative data are overlapping
processes.
Box 6-13. Gaining confidence with qualitative reporting
Staff from an IFAD-supported project in Indonesia are comfortable with

monitoring progress on physical, quantifiable indicators. They are also
confident that NGO partners working as implementing agencies can use
qualitative methods well enough for monitoring purposes. However, they
are unsure about how to report on information from qualitative data – and
on how to integrate it with physical progress monitoring. This is
understandable. It is often easier to fill pre-determined forms requiring pre-
determined information. This can be supplemented by getting M&E and
field staff to make regular descriptive reports on their impressions from
field visits. Initially, staff can write short impressions of one or two pages.
Once practised, staff can focus their narrative reports on special aspects,
such as poverty alleviation, food security or gender.
Box 6-14. How to synthesise and collate open-response information
1. Produce a short summary of what each person says, including

his/her main points.
2. Look over the responses. Once you are about a quarter of the way
through, note the points most frequently mentioned. Then read all
the responses and record how many have responded to each of
these main points. Alternatively, divide the responses into those for
or against a certain issue, or divide them to show various degrees
of enthusiasm about an issue.
3. Identify any important quotes to emphasise certain points.
4. Ask other people to look through the responses to prevent your

own biases taking over the way you interpret responses.
5. Number each respondent. Then, following point 2, number each

main point so that you can code the responses (who has noted a
main point) and analyse the information numerically, if needed.
6.4.2 Why Analyse M&E Information
Analysing M&E findings requires looking closely at the information (ideas, facts,
impressions), clarifying and structuring it, understanding connections and identifying core

elements, in order to arrive at conclusions that can lead to action. Analysing M&E findings
has several functions:
 to refine understanding – by discussing initial information with project stakeholders,

more refined insights can emerge;
 to limit biases – ensuring a thorough discussion about information means that this is
crosschecked and people can point out when they feel an issue has been
represented incorrectly;
 to build a clear picture of a situation/event/process and reach consensus – by

discussing data, contradictions and gaps can be identified and can be understood or
filled;
 in participatory M&E, joint analysis can strengthen ownership of the conclusions and
motivate people to invest more in making changes happen.
Analysis of M&E information and critical reflection are closely related, so please refer to
Section 8 for many ideas on how to encourage reflective meetings and analytical reporting.
Consider who needs to be involved in analysis. The question of who is making sense of the
data is central to participatory analysis. Often, work that may initially have been very
participatory can shift towards analysis only by project staff. Sometimes this is necessary, as
some aspects of analysis and synthesis can be excessively tedious or time-consuming for
primary stakeholders. Shared analysis can make all the difference between a superficial
descriptive report or simplistic feedback session and analysis based on shared
understanding that motivates people to action, whether they are villagers, policy makers or
technical staff.
Consider how you will undertake analysis. Choosing a method for analysis depends on
various factors, including whether it will be a participatory process, the tool you use to collate
and analyse the data (e.g., a computer), and the type of information that is being collected.
For instance, if it is qualitative information, analysis will involve looking for patterns in
descriptions and explanations of patterns (see 6.4.3). For quantitative data, the analysis will
follow statistical procedures and show trends in terms of percentages or ratios. In both
cases, analysis will involve comparing planned results with actual ones to understand the
reasons for differences, to compare differences over geographic ranges or between groups,
or simply to monitor changes over time.
Many of the methods in Annex D can be used for data analysis. For instance, if you should
choose more participatory processes, see D.3 on discussion methods for more ideas. D.6 on
analysing relationships and linkages and D.7 for ranki
6.4.3 Analysing Quantitative and Qualitative Data12
The analysis of quantitative data is often better known in projects than that of qualitative
data. Quantitative data analysis often - but not exclusively - encompasses calculations, such
as total and average numbers of activities implemented or percentages as compared to
plans or targets. More elaborate statistical analysis may also be required, for example with
cost-benefit analysis (see Annex D). Discussing the specific procedures of statistical
analysis lies beyond the scope of this Guide, so the focus here is on ways to deal with
qualitative information.
The analysis of qualitative information is very different and can be more difficult than that of
quantitative data for those who are not used to dealing with opinions and non-standard

answers. Through content analysis of collected information, conclusions can be formulated

for each of the performance questions or indicators. The analysis process involves
identifying the categories of responses found in the raw data.
Involve the data collectors in analysis. All M&E data collectors and facilitators – whether they
are project staff, implementing partner staff or primary stakeholders – should participate in
sessions to analyse qualitative data. Because of the nature of qualitative data, it is critical
that those who were present when the data were gathered also participate in analysis. Much
happens in open-ended discussions that is observed by facilitators and helps to explain the
data.
Collect and analyse qualitative data concurrently. Qualitative data collection is intended to
trigger an iterative learning process. This means that information from one discussion or
interview will indicate aspects of the topic that you will need to pursue with other questions
and methods. So analysis of one set of interview data may indicate changes needed in
subsequent interviews or discussions. A second reason for immediate analysis of
information is that it is impossible to note everything that is said in open-ended discussions.
Additional information, such as about the group dynamics and how they influenced what was
said, will not be recorded but are critical to interpreting information. So the sooner the
analysis takes place, the easier it is to remember aspects that were not noted.
Structure analysis around each performance question and each category of interviewees.
For example, if M&E field staff conducted individual interviews with two farmer leaders and
with the village council (VC) in one day, then the two sets of data (farmers and VCs) would
be analysed separately. During the analysis, the team may need to refer back to the
performance questions to clarify the objectives of the different discussions.
Follow these five steps to analyse the data.
 Re-read the interview questions to the group. This allows everyone to remember the
focus of the M&E work.
 The note-taker(s) read aloud the responses for each question. If there is more than
one set of notes, each set of notes should be read.
 Discuss the responses and share other comments that may not have been written
down, to clarify exactly what the interviewees were saying.
 Cluster the responses and summarise findings. Together, identify the categories of
responses in collected information and summarise the findings concisely. The
summary should indicate the trends in the information in terms of whether the
attitudes or ideas expressed were shared by all interviewees, the majority, half, a
minority or only a few. Although you cannot quantify the different types of answers,
do report trends.
 Identify unclear or missing information. Determine whether there is missing or

unclear information that should be investigated in subsequent M&E work.
6.4.4 Storing M&E Information
Documenting information is critical for M&E, providing the basis for communication,
transparency, consensus building and continuity of consultative processes. Stored
information serves as the source of institutional memory turned to by newcomers and when
verification or comparison with the past is needed. The quantity of information that all

projects collect and share calls for information systems to store data and make them
accessible to others.
Consider four questions when planning the storage of information (also see 7.5).
1. What information needs to be stored?
Think about what information and how much you need to store. Information storage is
needed at two levels: to guide the project strategy and for tracking operations. In principle,
everything you decide to monitor and evaluate will need to be stored in some way.
Information about progress with implementation, stakeholder reviews, annual project
reviews, primary stakeholder databases, changes in the context, causes, unexpected
impacts, minutes of meetings… the list quickly becomes overwhelming. Collecting excessive
information will also require you to store it (see Box 6-15). Therefore, consider carefully what
information needs to pass to whom for decision making and for reporting. Section 5 details
how to choose what to monitor and evaluate.
Box 6-15. What you store is just as important as how you store it
On the surface, the information management system in an IFAD-supported

smallholder cattle development project in Asia looked good at the end of
two phases. It was filled with extensive data from the project and had been
computerised and updated. However, several flaws in the system impeded
project impact assessment. For example, despite extensive staff training, it
proved too formidable a task to enter more than ten years of data for all
project activities. The data overemphasised physical achievements and
credit repayment, with no monitoring of farmers’ perceptions of how they
had benefited. Socio-economic indicators were lacking in many ways.
There were technical flaws in the selection of respondents and the size of
questionnaires, etc. Historical records were not kept on loan repayments.
Furthermore, most of the survey data were not analysed. This did not allow
for time-series data analysis and, therefore, impact could not be measured.
1. Who needs access to the information and when?
How the data are stored depends on who is to have access to the information and how
often. Information to guide the project strategy is critical for managers (project staff and
implementing partners), steering committees, primary stakeholder representatives and
funding agencies. Information on operations is critical for fieldworkers, managers of project
components and primary stakeholders.
Consider the skills of the users and the types of communication with which they are
comfortable (see Box 6-16).
Only store material where it will be used. This is particularly important with the raw data on
paper, such as diagrams. Do not assume that all diagrams need to be copied, distributed and
stored at all levels. Only keep them where they are used. This usually means leaving the
originals with the stakeholders who produced them.
Box 6-16. The advantages of decentralised computer-based data

storage in Guatemala
A computerised data processing system can form the basis around which

to decentralise and encourage ownership through participatory collection,

recording, analysis and reporting. This is the case for the automated
monitoring system of the Cuchumatanes project in Guatemala. There, the
M&E unit only needed to review the quality of the data gathered and
manage the information at the central level. The field implementers were
trained to use the computerised storage system and every region had
access to its own information. Managers of each implementing partner
were responsible for feeding the system, producing the reports and
sending them to a central M&E unit. The automated system was eventually
transferred to an implementing partner after training, and the project M&E
staff maintained access through the electronic network. This set-up
allowed for each organisation to know its status in relation to its annual
work plan and also to have timely information for local decision making.
1. What type of information needs to be stored – hard copies or data that can be
computerised and accessed centrally?
The more people who need to use information, the better it is to computerise it. However, not
all data gathered at a local level will be entered into a computer. This can be due to local
implementing partners and primary stakeholders not having access to computers or
electronic networks or lacking the necessary skills, or because the information is diagram-
based. Diagrams can be (photo-) copied and distributed to those who will need access in
that form, for example, local groups and community-based facilitators. Generally, however,
you will only need short reports that summarise the findings from the discussions that
occurred as the diagrams were generated and from the diagrams themselves.
1. Regularly assess what information you need to keep and what can be discarded.
A data-storage system will soon get congested and overflow if it is not updated regularly.
This is as true for archives of hard copies as it is for computerised data. Computerised data
are more easily archived in unobtrusive yet accessible ways. Simply make backups and
store them in a safe place away from the hard disk.
For hard copies, making decisions about what to discard is more critical. Make sure that you
keep all material you are legally required to store, such as tax and audit-related financial
records, for the required time period. This will vary per country. Also make sure that you
keep copies of all material you need for making comparisons of change over time. This
includes baseline data, summaries of progress with implementation and interim impact
information.

1.1 AC3 Responses to information collected are appropriate.
6.5 Communicating M&E Findings for Action and Accountability
6.5.1 Why Communicate M&E Findings
M&E-related findings have many potential audiences. When reporting on progress with the
AWPB, you will direct yourself to funding agencies, steering committees, cooperating
institutions and implementing partners. Primary stakeholders have a right to knowing overall
how the project is progressing and they deserve the opportunity to react to initial findings.
Funding agencies and managers need information on impact, while all implementing
partners need to understand problems in order to find solutions.
Two sets of M&E findings will need to be communicated. First, it is good practice to discuss
draft M&E findings with implementing partners and primary stakeholders in order to get
feedback on accuracy, reach joint conclusions and agree on next steps. Once the M&E
findings are agreed upon, these can be communicated to funding agencies, cooperating
institutions, government departments and other projects. This second set of final findings will
fulfil accountability needs but can also serve for advocacy purposes.
6.5.2 Planning How to Communicate M&E Findings
Know Your Audiences
Reach agreement with project stakeholders on who needs to receive what kinds of M&E
information. Table 6-8 shows the information needs of different audiences for a World Food
Programme project in China. It outlines what data and insights the M&E system must
produce and for whom. Note that it focuses on communicating for accountability and not on
communication for action and decision-making purposes.
When undertaking an audience analysis for your project, remember to:
 include accountability, advocacy and action-oriented audiences;

 define what you expect from the audiences by communicating with them (financial
support, commitment to action, etc);
 agree on the information (content and form) they need in order to achieve your
purpose.
Table 6-8. Audiences for information on a WFP project in China 13 (high/medium/low priority)
Types ofTypes of Project Information

Audiences
Progress Achievements Economic Intervention Lessons
Toward Impacts
Goals Positive Negative
County High Medium High Low Low

government
Service- Medium High Low High High

delivery
agency
leaders/staff
Community Medium High Low Depends Depends

members on type on type
Higher levelHigh Low High Low Low

officials
Funding High Medium High Medium Medium

agencies
Other countyMedium Medium Medium High High

groups
Build Communication Into Your M&E System
Do not hope or expect that someone else in the project will communicate M&E findings. Plan
for it from the onset. In Ghana, a workshop was organised with different M&E actors in order
to develop a flow chart for the routing of M&E information from the grassroots level up to
project management. The flow chart identified and offered solutions to communication
bottlenecks in the M&E system, plus it identified who was responsible for the different
information flows and established necessary frequency and deadlines for report submission.
By discussing and planning for these communication issues, the M&E system was more
likely to operate smoothly (see Box 6-17).
Box 6-17. Information flows in Zimbabwe’s SISP ensures feedback,

action and accountability
Information on the indicators from all the irrigation schemes is fed into
annual plans. In turn, these scheme-level annual work plans and budgets
feed into the district-level planning process, and the outputs of which are
used to plan at the national level. Although the provincial level is not
involved in SISP monitoring, it will receive information about activities per
component in the form of progress reports. Once the information has been
synthesised at the national level, the findings will be communicated back to
the districts and to the schemes, first in the form of changed or
consolidated priorities and work processes (feedback and action) and then
in the form of newsletters at the scheme level (feedback).
Not only do members of individual irrigation schemes learn about their own
progress through M&E, but they are also able to view the data related to
other schemes and so can compare their own performance. In addition,
receiving information on the institutional performance of SISP is critical.
These types of feedback ensure that the stakeholders remain accountable
for their actions.

Invest in Good Communication
A good communication strategy can generate more support and interest in your project – it is
worth the investment. Box 6-18 lists some elements that made the communication strategy
of the Maharashtra Rural Credit Project in India a success. They include professionally
prepared presentations of progress and constraints, which were used with positive results at
high-level meetings. Investment is not only in terms of producing effective outputs but also in
project-based capacities (see Box 6-19).
Box 6-18. Linked and complementary M&E documentation
Communication in the Maharashtra Rural Credit Project in India included

these complementary ways of reporting on self-help groups (SHGs).
 A pictorial self-monitoring system for self-help groups helped in

monthly and annual monitoring. The system was composed of a
three-category ranking system to be used for 16 indicators –
ranging from the quality of meeting preparations, to repayment
records, to collective decision-making.
 The district reports captured process issues in the formation of
village development committees and the SHGs.
 The National Bank for Agriculture and Rural Development produced

a newsletter that provided information on the progress of the SHGs
at the district and overall-project levels.
 The analysis of the project’s progress was presented at high-level

meetings and included clear and understandable graphic
representation of the trends.
Box 6-19. Production manager is recommended to support

appropriate communication strategy in Zambia
The communication strategy recommended a production manager for the

Zambian District Development Project for:
 messages to be translated into languages and formats well-suited

for the target audience(s) in a timely manner;
 a labour-intensive and time-consuming process to move
communication ideas (text, images, concepts, etc.) into products,
field testing and quick dissemination;
 interactive, transparent communication flows.
This strategy necessitates a production manager who:
 has experience in developing participatory communication

materials and methods;
 understands the strengths and weaknesses of these materials and
methods;

 has extensive experience with a wide variety of vendors, from

printers to graphic artists to photography studios;
 will work closely with the technical person in the project support unit
and coordinate the process of moving the materials from their raw
stage to the final product.
Plan Workshops to Seek Feedback and Plan Action
A key communication task is to ensure that your findings are correct. For this, you need to
organise feedback sessions with those stakeholders who can verify findings. This is also a
good moment to analyse implications and agree on actions. You can include this in your plan
for the sequence of methods (see Box 6-20). Also refer to Section 8, which offers many
ideas on how to ensure that an M&E event is communicated and reflected upon, and thus is
more likely to lead to action.
Box 6-20. PRA sequence with key feedback sessions14
Steps Taken Methods Used and Their Purpose
Review ofDesk review (literature review, in-country sources and grey

secondary data literature)
Key informant interviews and focus groups
Primary data(structured/semi-structured) – at the national, regional and
gathering local (government, primary and other stakeholders) levels
Resource mapping
Transect walks (local level)
Data collation
and analysis
Initial feedback Graphic trends, maps, pie diagrams and such with field
staff (extension agents, M&E unit, etc.) and primary and
other stakeholders
Quantitative Questionnaires, biophysical measurements during a

survey ("lasttransect, group discussions, etc. to gather information to
step") cover unanswered questions, fill gaps in the data and
substantiate controversial findings
At the national (project management, relevant ministries,
Final feedback donors (IFAD, etc.) and local (primary stakeholders) levels
Inter-organisational seminars (to check validity and

pertinence of results pertaining to project goals, activities,
ongoing efforts)
Practical Considerations When Presenting Information for Feedback and Action

 Ensure clarity of message for specific audiences. The interests and concerns of
different audiences vary and will require adapted reports, both in terms of content
and language. Reports should communicate different levels of detail according to the
audience being addressed. For example, strategic and implementation levels of
management require different focuses. At the strategic level, you need to provide a
general review of the project’s progress and problems. At the implementation level,
more detail is required to help facilitate and coordinate day-to-day project
management tasks.
 Agree on the frequency for communicating information. This will often fit the timing of
decision-making meetings. If you are holding a meeting in order to seek immediate
feedback, choose a time when people will be able to come.
 Ensure timeliness. Be sure to present information while there is still momentum, in

order to benefit from the feedback. However, if setbacks should take place, be sure
to let the audience know and be clear about the delay involved. This issue is not only
important for getting feedback, but also for maintaining project credibility.
 Consider location. Box 6-21 shows the importance of thinking about various conduits
of information to be sure that how and where you share your findings will be able to
reach people, providing them the opportunity to give feedback.
Box 6-21. Remember to tap into informal conduits of information
Various consultation processes have been integrated into the District

Development project in Zambia as an essential part of the project’s M&E
system. Those involved in the consultations are considered to be important
conduits into other formal and informal village information dissemination
processes. Issues of interest in rural communities can pass quite quickly
through informal channels such as markets, social events (church services,
etc.), and weddings or funerals. Focused communication campaigns do not
penetrate these informal channels easily. Informal venues provide an
excellent opportunity for social discussion as people feel more comfortable
in these settings to ask questions and talk, forming individual and group
opinions.
 Make effective use of graphic information to facilitate analysis. Visually presented

information is often easier to understand. The better and more quickly your
information is understood, the more likely you will get direct, useful feedback. There
are many ways to present your information pictorially: through the use of graphs,
diagrams, maps, pictures, photographs or videos. Some of these presentation forms
will arise naturally as a result of your choice of data-gathering method. For instance,
by showing the results of a series of mapping exercises or photographs, people can
see at a glance what has been measured, how and how it has changed. Other visual
portrayals, such as graphs or pie charts, need to be created from the information
obtained through statistical data analysis.
 Keep focused on your task. A feedback session can strand in a general talking event
with no clear outcomes. Plan the event carefully around the anticipated outputs – e.g.
clarifications, additional insights, conclusions, action steps, etc. Don’t rely on
improvisation as your main facilitation strategy. It is always necessary but too much
can lead to confusion. Avoid imposing ideas by thinking how people are most likely to
share their thoughts on the M&E data. Be sincere in the reporting – include the new
insights, otherwise participation will become a farce.
6.5.4 Different Media to Communicate Findings

Written Reporting
M&E reports vary from formal progress reports, to special studies, to informal briefs in the
form of memorandums highlighting a current issue. Most IFAD-supported projects produce
annual work plans and budgets, quarterly and mid-year progress reports (see Box 6-22), a
mid-term review and a completion report. Some produce annual reports and many have
newsletters (see Box 6-23). A small booklet of stories and photographs was used to report on
the impact of Ireland Aid’s Water and Environmental Sanitation Programme in Western
Uganda. As mentioned in the introduction, "It is important to recognise and record the impact
of development projects on individuals’ lives, as felt by the people themselves. By listening
to their voices, hearing their stories and learning from them, we begin to understand the
impacts of development assistance on daily life from people’s own perspective, and put a
‘human face’ on a programme’s impact through the use of photographs, stories and oral
histories."
Box 6-22. Using a logframe to guide reports in Colombia
In PADEMER, reports from the implementing partners have been

streamlined to focus on the logical framework structure. This allows a
clearer overview of the effects and impacts that were hoped for (in
accordance with the formulated indicators) and of the activities with which
they would be achieved. Partners were trained in using this format.
Formats were also made to present technical and financial reports per
trimester. They are simple reports that allow a clear view of what each
project is doing. Subsequent payments depend on the presentation of
good reports. Reports are expected 1) to be brief and objective and take
down only information that is basic and indispensable, 2) to present the
current state of actions based on the programming and data of the
approved logical framework, and 3) to be submitted in printed form and on
diskette, by electronic mail, and using predefined structures, such as the
one below.
Code Activity Duration Execution Percentage No. of Beneficiaries

Period Realised
(Start and M F
Finish
Date)
Description of the activity:
Place:
No. ofMen: Women:

participants:
What was done and how:
Results of the activity:

Experiences obtained:
Difficulties encountered and solution(s):
Box 6-23. Newsletter communicates M&E findings to farmers in

Zimbabwe and Panama
 Each farmer involved in an IFAD-supported project in Zimbabwe

collects various records regarding her/his agricultural production, including
production and marketing trends, water and other input usage, etc. This
information is usually compiled by the extension worker and is submitted to
the district agricultural extension office for production analysis. In addition,
a regular newsletter is produced containing information on trends, ideas
and project progress as well as farmer interviews. This focuses on the
latest project developments, how the information that farmers have
produced is used, and decisions made at the national level.
 The information bulletin produced for the IFAD-supported Ngöbe-Buglé

project in Panama has been developed into an attractive means of
communicating information on project progress. With a few simple graphic
designs to frame the pages, photographs, a map of the project area and a
clear layout, it has become an effective communication tool. The bulletin
contains evaluation information on project activities – with shorter reports
on meetings and events – and other important occurrences in the project.
Oral Reporting
Your M&E findings can be communicated more effectively verbally than by other means.
Much decision making is based on information obtained through personal contacts and oral
presentations. To speak directly to a target audience provides a quicker and more flexible
way to convey your message. You can modify your presentation according to the feedback
you receive. When conducted well, face-to-face contact can lead to greater understanding
and more frank discussions on your findings. Bear in mind that some information may be
better conveyed in individual rather than in group meetings.
Radio can also be effective. In one project in Peru, 20 farmers’ radios provide daily
information on current activities, project-related decisions, resources to be transferred to the
communities, meetings, visits, and interviews with farmers and extension agents. The radio
plays an important M&E function by disseminating information and decisions and motivating
stakeholders.
Visual Display
Visual displays, such as graphs or charts showing trends or maps, help illustrate and
supplement data in reports or oral presentations. You can also choose to photograph or
shoot video images on changes (see Method 20, Annex D). Photographs can bring a project
or community alive in a way not possible through words and diagrams. Dramatic
presentations, whether on video or live, can be another good way to communicate insights
with greater impact than on paper.

Being more creative, however, can mean more time and money to develop the idea and train
(or hire) people in necessary skills. This needs to be considered when looking at
alternatives.
Section 8 provides valuable additional information on critical reflection that is fundamental

when communicating M&E data. Sections 3, 4, 5, and 8 include additional material on
reporting of M&E-related information.
Resources:
Further Reading
Aubel, J. 2000. Participatory Program Evaluation Manual: Involving

Program Stakeholders in the Evaluation Process. Calverton, Maryland:
Child Survival Technical Support Project (with Catholic Relief Services).
Download in English, French and Spanish
Cameron, E. 2001. Facilitation Made Easy: Practical Tips to Improve

Facilitation in Workshops. London: Kogan Page. Order
Casley, D. J. and Kumar, K. 1988. The Collection, Analysis and Use of

Monitoring and Evaluation Data. Washington, D.C.: World Bank. Order
Casley, D. J. and Kumar, K. 1990. Project Monitoring and Evaluation in

Agriculture. Washington, D.C.: World Bank. Order via:
Feuerstein, M. T. 1986. Partners in Evaluation: Evaluating Development

and Community Programmes with Partners. London: Macmillan. Order via:
http://www.talcuk.org/.
Guijt, I. 1998. "Participatory Monitoring and Impact Assessment of

Sustainable Agriculture Initiatives: an Introduction to the Key Elements".
SARL Discussion Paper No. 1. London: IIED. Order or contact
bookshop@iied.org
IFAD, ANGOC and IIRR. 2001. Enhancing Ownership and Sustainability: A

Resource Book on Participation. International Fund for Agricultural
Development, Asian NGO Coalition for Agrarian Reform and Rural
Development and International Institute of Rural Reconstruction. Contact:
info@ifad.org.
Margoluis, R. and Salafsky, N. 1998. Measures of Success: Designing,

Managing, and Monitoring Conservation and Development Projects.
Washington, DC: Island Press. Order
1/ UNDP-World Bank Water and Sanitation Program - South Asia. 1999.

Sustainability Monitoring: the VIP Way. A Ground-level Exercise. UNDP-
World Bank.
2/ Gosling, L. with Edwards, M. 1995. "Toolkits: A Practical Guide to

Assessment, Monitoring, Review and Evaluation". Save the Children

Development Manual 5. London: Save the Children.
3/ Johnson, D. with M. W. Kanyinji, R. Lupenga, G.L.E. Nkhata, B. K.

Siantumbu and S.M.H. Sithole. 1998. Communication Strategy and
Monitoring and Evaluation Framework: Main Report. Zambia: District
Development Project, Government of the Republic of Zambia and the
United Nations Capital Development Fund.
4/ Westley, K. "Lessons Learned from Different CARE Country Offices in

Design, Monitoring and Evaluation". Mimeograph. London: CARE-UK.
5/ IFAD, ANGOC and IIRR 2001, 240, see Further Reading.
6/ Note that "appropriateness" is not defined in this example. Herweg, K.,

K. Steiner and J. Slaats (eds). 1998. Sustainable Land Management
Guidelines for Impact Monitoring: Workbook and Toolkit. Page 65. Berne:
Centre for Development and Environment.
7/ Abbot, J. and Guijt, I. 1998. "Changing Views on Change: Participatory

Approaches to Monitoring the Environment". SARL Discussion Paper 2.
London: IIED. Download
8/ Inspired by: Mikkelsen, B. 1995. Methods for Development Work and

Research: A Guide for Practitioners. New Delhi, London, and Thousand
Oaks: Sage Publications. and Rugh, J. 1986. Self Evaluation - Ideas for
Participatory Evaluation of Rural Community Development Projects.
Oklahoma City: World Neighbors.
9/ Sidersky, P. and Guijt, I. 2000. "Experimenting with Participatory

Monitoring in Northeast Brazil: The case of AS-PTA's Projeto Paraíba". In:
M. Estrella et al. (eds). 2000. Learning from Change: Issues and
Experiences in Participatory Monitoring and Evaluation. London:
Intermediate Technology Publications.
10/ Abes, R.V. 2000. "Strengthening citizen participation and

democratisation in the Philippines: ELF's impact evaluation." In: M. Estrella
et al. (eds). 2000. Learning From Change: Issues and Experiences in
Participatory Monitoring and Evaluation. London: Intermediate Technology
Publications.
11/ Feuerstein, M. T. 1986, 95-102, see Further Reading.
12/ Based on Aubel, J. 2000, see Further Reading.
13/ Hereward, M. and Siping, W. 2000. "Bringing results to the people".

Presentation at M&E Workshop Wuhan, 9 - 12 October, 2000. UNICEF
Office for China.

3 Collect information from a variety of sources by

recognising/reading and/or using sensory cues
3.1 AC1 An understanding of the importance of using information in the work

situation is demonstrated
The following table provides an overview of the basic methods to collect data.
Method Overall Purpose Advantages Challenges
-can complete
anonymously
-might not get careful
-inexpensive to administer
feedback
when need to quickly -easy to compare and
-wording can bias client's
questionnaires, and/or easily get lots of analyze
responses
surveys, information from people -administer to many
-are impersonal
checklists in a non threatening people
-in surveys, may need
way -can get lots of data
sampling expert
-many sample
- doesn't get full story
questionnaires already
exist
when want to fully

-can take much time
understand someone's -get full range and depth
-can be hard to analyze
impressions or of information
and compare
interviews experiences, or learn -develops relationship
-can be costly
more about their with client
-interviewer can bias
answers to -can be flexible with client
client's responses
questionnaires
when want impression -get comprehensive and

-often takes much time
of how program historical information
-info may be incomplete
operates without -doesn't interrupt program
-need to be quite clear
documentation interrupting the or client's routine in
about what looking for
review program; is from review program
-not flexible means to get
of applications, -information already exists
data; data restricted to
finances, memos, -few biases about
what already exists
minutes, etc. information
observation to gather accurate -view operations of a -can be difficult to

information about how a program as they are interpret seen behaviors
program actually actually occurring -can be complex to
operates, particularly -can adapt to events as categorize observations
about processes they occur -can influence behaviors
of program participants

-can be expensive
explore a topic in depth

-quickly and reliably get
through group
common impressions
discussion, e.g., about -can be hard to analyze
-can be efficient way to
reactions to an responses
get much range and depth
experience or -need good facilitator for
focus groups of information in short
suggestion, safety and closure
time
understanding common -difficult to schedule 6-8
- can convey key
complaints, etc.; useful people together
information about
in evaluation and
programs
marketing
to fully understand or
depict client's -fully depicts client's -usually quite time
experiences in a experience in program consuming to collect,
program, and conduct input, process and results organize and describe
case studies
comprehensive -powerful means to -represents depth of
examination through portray program to information, rather than
cross comparison of outsiders breadth
cases

Resources:
Acknowledgements
This paper is based on doctoral research funded by the Central Bank of

Brazil. The research was conducted at the University of Brasília-Brazil and
supervised by Prof. Dr. Kira Tarapanoff. The results, analysis and
conclusions do not represent an official position of the funding institution.
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Self Assessment
Self Assessment:
You have come to the end of this module – please take the time to review
what you have learnt to date, and conduct a self assessment against the
learning outcomes of this module by following the instructions below:
Rate your understanding of each of the outcomes listed below:
Keys:  - no understanding
 - Some idea
 - Completely comfortable
SELF
RATING
NO OUTCOME
  
1.
Explain and discuss the importance of using information in the work
situation
2.
Collect information from a variety of sources by recognising/reading
and/or using sensory cues
3.
Organise, summarise and respond to information collected during
the course of work activities

Learner Guide: US ID: 120304 NQF Level 5

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SAQA ID: 120304 Learner Guide

Analyse, interpret and communicate information

Impact of legislative framework on local government 1

Field 03 - Business, Commerce and Management Studies

Impact of legislative framework on local government 2

Impact of legislative framework on local government 3

How do you identify the different types of information system in an organization?............27

Impact of legislative framework on local government 4

3 Collect information from a variety of sources by recognising/reading and/or

Impact of legislative framework on local government 5

The qualifying learner is capable of:

 Collating and categorising information.

 Developing conclusions and recommendations.

 Communicating conclusions and recommendations according to organisational and

2. About the programme

2.1 Unit standard overview

Analyse, interpret and communicate information

Impact of legislative framework on local government 6

LAST DATE FOR LAST DATE FOR ACHIEVEMENT

2.2 Learner Support

3.1 Formative Assessment

3.2 Summative Assessment

Impact of legislative framework on local government 7

If it is not documented, it did not happen!

4. Navigating the Learner Guide

4.1 Use of Icons

Group Activity / Pair Activity:

Impact of legislative framework on local government 8

Please take a moment to familiarize yourself with the requirements.

4.1 Attendance Register

4.2 Learner Registration Form

Impact of legislative framework on local government 9

4.3 Programme Evaluation Form

Impact of legislative framework on local government 10

(US ID: 120304) Communicate information

The following learning outcomes are covered in this module.

1. Explain and discuss the importance of using information in the work

3. Organise, summarise and respond to information collected during

Results. Unsuspected breakdowns in information sharing emerged when: differences in

Impact of legislative framework on local government 11

Environmental management plans

Incorporating environmental management strategies into your existing business plan or

Minimise your impact

Environmental standards and labelling requirements

Environmental reporting obligations

Impact of legislative framework on local government 12

1: Importance of using information in the work situation

AC1 An understanding of the importance of using information in the work situation

Impact of legislative framework on local government 13

Figure 1: Relating information needs and information competencies (Source, Miranda

Exploring the dimensions of information needs and information competencies.

Impact of legislative framework on local government 14

Impact of legislative framework on local government 15

As increasingly powerful informatics systems are designed, developed, and implemented,

Impact of legislative framework on local government 16

In my opinion, the success of a project is perhaps 80 percent dependent on the

Why Do Information System Failures Occur?

Impact of legislative framework on local government 17

Impact of legislative framework on local government 18

Data analysis, results and discussion.

Off-site supervision of financial institutions is related to the collection, organization and

Critical success factors of off-site supervision.

Impact of legislative framework on local government 19