21 Supervision and Monitoring

Dr. Anwara Hashmi

Course Outline

•  Introduction
•  Objectives
•  Monitoring
  • Principles of monitoring
  • Monitoring and its main stakeholders
  • Process of monitoring
  • Monitoring indicators
•  Supervision
  • Functions and types of supervision
  • Methods of supervision
  • Process of supervision
  • Five steps of supervision
•  Summary

Introduction

The word monitor is derived from the Latin word meaning “to warn” and supervision stems from the word “see”. Supervision has, over the years, provides program implementers with the opportunity to reflect on their practice and afforded them the necessary forum to reflect, evaluate, discuss and develop these innovative solutions. Adequate supervision has a positive impact on their day-to-day work with clients and professionals. It has been observed by the experts at different levels that for effectiveness and sustainability of any programme and resources used in implementing them, supervision and monitoring are important functions but are frequently neglected. In many programmes throughout the world the monitoring units are weak and limited to adhoc studies. In many organisations, monitoring has a negative image because these units may concentrate on problems, exposing weakness and failures. Instead, supervision and monitoring should be used in a positive manner to improve program’s performance and increase its efficiency.

Objectives

By the end of this module the students shall:

1. Understand the concept of Monitoring and Supervision
2. Shall come to know about the principles and process of Monitoring
3. Get acquainted with the functions and types of Supervision
4. Get acquainted with the methods and steps of Supervision

Monitoring

Monitoring can be broadly defined as frequent largely routine-wise collection and analysis of and reporting on information about the performance of the work in a programme or project, comparison of this with the programme or project plans, and connected discussion about and proposals for any corrective action. Thus, monitoring aims at meeting information requirements for current programme and project management.

Monitoring primarily covers issues of finance and quality pertaining to inputs and outputs as well as actors and time use in implementation. It should usually also encompass some current assessment of direct results (effects) and may cursorily address additional issues, which may possibly be analyzed more thoroughly in some subsequent evaluation. Most monitoring is usually done by programme or project responsible agencies.

According to Indian social study.com, monitoring:

1. is the systematic collection and analysis of information as a project progresses
2. is aimed at improving the efficiency and effectiveness of a project or department
3. is based on targets set and activities planned during the planning phases of work
4. assesses the progress on a day-to-day basis and thus helps to keep the work on track
5. help to determine whether the resources available are sufficient and being well used
6. Provides a useful base for evaluation

Principles of monitoring

1. Monitoring must be simple: A complex or complicated monitoring system is self-defeating. The basic task of monitoring is to simplify the field level complexity.
2. Monitoring must be timely: Timelines is the essence in monitoring. Management requires input from the monitoring system so that timely action may be taken. Also timeliness is closely related to the credibility of monitoring itself.
3. Monitoring must be relevant: it must concern itself only with parameters which are relevant to program objectives. This also ensures that monitoring does not generate information that is not used or is not usable by management.
4. Information Provided through Monitoring should be Dependable: Management will rely on monitoring findings only if the information is believed to be reasonably accurate.
5. Monitoring Efforts should be participatory: Efforts should be made to ensure participation by all individuals and institutions which have an interest (stake holders) in the project.
6. Monitoring must be flexible: It is interactive in nature. It also gets reutilized with the passage of time. These two features should not, however, lead to rigidity.
7. Monitoring should be Action Oriented: Monitoring often leads to action. Consequently it should follow pragmatic approaches, keeping the requirements of clients uppermost in view. Generating information for which there is no intended use should be avoided.
8. Monitoring must be Cost Effective: Monitoring efforts cost money and time. It is therefore, essential to make it cost effective. While principles of simplicity, timeliness, relevance and accuracy will lead to cost effectiveness, computerization can also help to make monitoring more cost effective by reducing staff hours in data processing.
9. Monitoring efforts should be Top Management- Oriented: Monitoring units should keep in mind the requirements of top management when designing and operating a monitoring system. Yet at the same time, monitoring must take into account the facts that those who provide information to the system also must benefit or the quality of the information provided will decline.
10. Monitoring units Represent Specialised Under-takings: Monitoring is not merely concerned with the collection and analysis of data, but with diagnosing problems and suggesting alternative practical solutions.

Monitoring and its main stakeholders

All of the groups that have a role and an interest in the objectives and implementation of development activities are the stakeholders in the monitoring process. The key stakeholders are:

1. Target groups or those sectors of the population targeted to benefit ultimately from the results of programmes and projects;
2. Direct beneficiaries, usually institutions and/or individuals who are the direct recipients of technical cooperation aimed at strengthening their capacity to undertake development tasks that are directed at specific target groups;
3. Those who are responsible for ensuring that the results are produced as planned: programme managers and staff of the Government (under the national execution modality) or of the United Nations executing agencies;
4. Those who are accountable for the resources that they provide to the programmes and projects: national policy-makers and budget authorities, UNDP, donors and other development partners.
5. Several associated parties could also be added to the list: external consultants, suppliers and other persons or organizations providing inputs to the programmes or projects; and other institutions (private-sector entities, CSOs) in the programme or project environment that may also be affected by or interested in the results of the programmes or projects.

There are two important consequences of the phenomenon of multiple stakeholders. First, monitors must accept the fact that their efforts are but one input into complex mosaic from which decisions and actions eventuate. Second, there are invariably strains that result from the conflicts in the interests of these stakeholders.

The multiplicity of stakeholders for monitoring generates strains for monitors in two main ways. First, monitors are often unsure whose perspective they should take in designing a monitoring. Is the proper perspective that of the society as a whole, the government agency involved, the program staff, the clients, or any of the other stakeholder groups. Second, the monitors must realize that sponsors of monitoring may turn on monitors when the results contradict the policies and programs they advocate.

The responsibility of the monitor is not to take one of the many perspectives as the legitimate one, but rather to be clear from which perspective a particular monitoring is being undertaken while explicitly giving recognition to the existence of other perspectives. In reporting the results of a monitoring, a monitor should state, for example that the monitoring was conducted from the viewpoint of the program administrators while acknowledging that there also exist the alternative perspectives of the society as a whole and of the client targets.

Process of monitoring

Monitoring of development programs may be conducted at the organizational or national levels. Whether at organizational or national level adequate implementation requires that there is a unit whose main purpose is to coordinate all the monitoring functions at its level. Top management receives information from the monitoring unit and from other formal and informal sources. This influences programme implementation, leads to better program planning and ensures sustainability of programs. Ultimately, this leads to institutional development, which has been defined as the process of improving the ability of institutions to make effective use of available human and financial resources. A management information system is needed by which the right information is obtained in the right amount at the right time and is made available to the right person or persons.

The monitoring unit should be staffed by technical personnel having specialized skills. The monitoring capacity of these employees should continuously developed through training and other capacity building initiatives to ensure that they keep up with current and emerging trends in the field. The leader of the monitoring unit should report to one of the top managers in the organization.

For the purpose of monitoring, a monitoring framework and a work plan are developed. The monitoring framework outlines the objectives, inputs, outputs and outcomes of the intended project and the indicators that will be used to measure all these. Monitoring framework also outlines the assumptions that the monitoring system will adopt. The monitoring framework is essential as it links the objectives with the process and enables the monitoring expert knows what to measure and how to measure it. The work plan outlines how the resources that have been allocated for the monitoring functions will be used to achieve the goals of monitoring. The work plan shows how personnel, time, materials and money will be used to achieve the set monitoring functions. These monitoring functions are promoted with the presence of policies and strategies within the organization.

Continuous communication and advocacy initiatives within the organization are also needed to promote monitoring and a monitoring culture within the organization. Such communication and strategies need to be supported by the organizations hierarchy. The existence of an organizational monitoring policy, together with the continuous use of the monitoring system outputs on communication channels are some of the ways of improving communication, advocacy and culture for monitoring.

Following functions are usually being carried out for monitoring

1. Prepare indicators for each activity
2. Collect data for measuring each indicator
3. Analyse this data
4. Present this analysis in logical flow
5. Use this information for effective/efficient improvement of activities/interventions.

Monitoring Indicators

Indicators are variables that help to measure changes in a given situation. They are tools for monitoring the effects of an activity. Indeed, indicators are the principal means by which a monitoring unit keeps track of program’s capability, effectiveness, and efficiency. Any monitoring system will therefore incorporate the use of appropriate indicators in these three aspects. Monitoring indicators are of four types, namely:

1. Input indicators; describe what goes on in the project (eg number of bricks brought on site and amount of money spent)
2. Output indicators; describe the project activity (eg number of classrooms built)
3. Outcome indicators; describe the product of the activity (eg number of pupils attending the school) and
4. Impact indicators; measure change in conditions of the community (eg reduced illiteracy in the community).

Unlike evaluation, monitoring refers to the continuous and routine data collection that takes place during project implementation. Data needs to be collected and reported on a continuous basis to show whether the project activities are driving towards meeting the set objectives. They also need to be integrated into the program activities for routine gathering and analysis. This data is also subjected to verification to ensure its reliability and validity. The data auditing is crucial since all project decisions are based on the data collected.

Possible sources for data collection are:

1. Work records
2. Attendance records
3. Input-output records
4. Recorded observation
5. Case studies
6. Diaries
7. Recording & analysis of important incidents
8. Structured questionnaires
9. One-on-one interviews
10. Focus groups
11. Sample surveys
12. Systematic review of relevant official statistics

The information that is gathered during the project implementation phase needs to be used to inform future activities, either to reinforce the implemented strategy or to change it. Additionally, results of monitoring outputs need to be shared out to relevant stakeholders for accountability purposes. Organizations must therefore ensure that there is an information dissemination plan either in the monitoring plan, Work plan or both.

SUPERVISION

Supervision is a quintessential interpersonal interaction that has a general goal whereby one person (the supervisor) meets with another (the supervisee) in an effort to make the work of latter more effective. Supervision is an intervention conducted by a senior member of a profession. Supervision is a safe, confidential relationship whereby an opportunity is provided to reflect, question and seek guidance on a regular basis. It is seen as a supportive environment. However, supervision is not a straightforward process, therefore, defining it into a tangible product is as difficult as rigorously assessing its effectiveness.

In his book “staff supervision in social care’Tony Morrison (2003) illustrates supervision to be a cooperative and facilitating process, which aims to:

1. Develop the worker’s effectiveness
2. Provide a suitable and appropriate forum for the worker to assure those to whome he or she is accountable that he or she is acting responsibility
3. Develop the worker as a professional person.

Functions and types of Supervision

According to Kadushin (1992) and Morrison (2003) the three main functions/ roles of supervision are : educative, supportive and managerial.

Supervision is predominantly a one-to-one relationship between the supervisor and the supervisee; however it is not always the case that this type of supervision is available. Different types of supervision are peer, group and team supervision.

1. Peer supervision refers to the process where ne worker seeks supervision from another worker. Peer supervision can result if workers are unable to get good supervision as their immediate line senior has neither the time nor the ability to supervise them.
2. Group supervision is a negotiated process whereby members come together in an agreed format to reflect on their work by sharing their skills, experience and knowledge in order to improve both the individual and group capacities. Group supervision has several advantages. Unlike one to one supervision the group provides a supportive atmosphere in which new staff or trainees can share anxieties and realise that others are facing similar issues. The group supervision can provide a range of different perspectives on cases or individuals.
3. Team supervision, unlike group and peer, involves working with a group that has not come together just for the purpose of joint supervision, but have an interrelated work life outside the group. Team supervision is closely aligned to professional supervision and involves one independent person offering professional supervision to a team.

Methods of supervision

(1) Direct supervision shall require the supervisor to be physically present in the direct treatment area of the client-related activity being performed by the supervisee. Direct supervision requires face-to-face communication, direction, observation and evaluation on a daily basis.

(2) Routine supervision requires direct contact at least daily at the site of work, with interim supervision occurring by other methods, such as telephonic, electronic or written communication.

(3) General supervision requires face-to-face communication, direction, observation and evaluation by the supervisor of the supervisee’s delivery of client services at least monthly at the site of client-related activity, with interim supervision occurring by other methods, such as telephonic, electronic or written communication.

Process of supervision

The process of supervision occurs within the relationship established between the supervisor and supervisee. As assumption of supervision is that it will last long enough for some developmental progress of the supervisee. Supervision is differentiated from brief interactions (such as workshops), and consultation that, by definition, is time and session limited, although all of these interactions share common goals (e.g., training in a skill, clarification of process, regaining objectivity). The fact that supervision is ongoing allows for the relationship to grow and develop.

The supervisor evaluates, monitors, and serves as a gatekeeper. In addition to enhancing the professional functioning, supervisors have an ethical and legal responsibility to monitor the quality of care that is being delivered to the supervisee’s clients. In order to enhance the professional functioning of the supervisee and assure quality of care, the supervisor constantly provides feedback regarding supervisee performance. This formative evaluation forms the basis of the work done in supervision. The supervisor also serves as a gatekeeper for those who want to be part of program.

Five Steps of Supervision

For making the supervision relationship work well. It would take into account what supervisee needs in order to do their job well. It would also consider what responsibilities the supervisor has toward their supervisee, what the limits of those responsibilities are and what responsibilities supervisee have toward their supervisor. The five steps of supervision are:

1.Provide employees with the tools they need to do their jobs. From computers and fax machines to pencils, ring binders and patient education brochures —the tools can be anything tangible that is needed for the job.

2.Provide employees with the training they need to do their jobs. The key thing to remember is that the learning process is often more difficult than we realize. While some people are quick studies, others need a lot more time to absorb training. For tasks that are complex—handling an irate patient, for instance—try repeating the training every few days or weeks. One common error is to take an approach to training that is too informal.

3.Help supervisee set goals to improve their performance. What should supervisees’ priorities be, and what level of performance should you expect from them? It is management’s responsibility to provide each member of your staff with some direction on these issues. The best way to do this is by helping them set their own goals for improvement. Ask a staff member to change a goal if it doesn’t seem appropriate. Similarly, direct a staff member to add an extra goal.

4.Become a resource. Providing people with tools, training and goals is a good start, but what happens when they reach an impasse? You can encourage staff to look to you for help if you show that you are available, approachable and willing to listen with an open mind. However, you also must be careful to let supervisee retain responsibility for accomplishing their goals. You should be a resource, but you must not take on staff members’ responsibilities.

5.Hold staff accountable. Make sure people have opportunities to account for the progress that they have made on their goals. How often should you ask staff to report on this? That depends on the nature of the goal. If an supervisee’s goal is to get to work on time, tell him to report weekly. He would use a written form, and each day he would write both the time that he was supposed to arrive and the time that he actually arrived, then at the end of the week he would hand it to me. In an extreme case, ask him to report in writing every day. This becomes an excellent record of achievement when it comes time for salary review. And if you need to terminate an employee, you will have good documentation to support your decision.

Employees have five corresponding responsibilities. While the five steps of supervision encompass the manager’s responsibilities to employees, the flip side of this is that employees have five corresponding responsibilities. Employees are expected to:

1) use the tools that are provided,

2) make the most of the training,

3) set goals and then pursue them,

4) ask for help or guidance if they reach an impasse and

5) account for their progress.

These five steps of supervision provide a management system that helps you to nurture high flyers. This system also helps you to diagnose poor performers and challenge them to do better.

Summary

Monitoring refers to the systematic collection and analysis of information as a program progresses. It is aimed at improving the efficiency and effectiveness of a program by assessing the progress on a day-to-day basis and thus helps to keep the work on track. Monitoring also provides a useful base for evaluation. All of the groups that have a role and an interest in the objectives and implementation of development activities are the stakeholders in the monitoring process. Supervision provides program implementers with the opportunity to reflect on their practice and afforded them the necessary forum to reflect, evaluate, discuss and develop these innovative solutions. Adequate supervision has a positive impact on their day-to-day work with clients and professionals. Thus, Supervision and Monitoring are very important, integral and inseparable part of every program and must be used in a positive manner in order to improve program’s performance and increase its efficiency.