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Baseline studies: What is it and how is it done?
1. What is a baseline study?
According to the OECD/DAC, a baseline study is “an analysis describing the situation prior to an intervention, against which progress can be assessed or comparisons made”.[1] Defined as such, baseline studies enable before/after comparisons in monitoring and evaluation. Baseline studies are therefore carried out before the implementation starts. The baseline study establishes the status of the intended change before the start of the project, but after it has been designed.[2]
A baseline study focuses on the expected results of an intervention, i.e. gathers information related to the different levels of the results chain. In addition, a baseline study can look at secondary changes, both negative and positive, that have not been intended by the programme as well as underlying assumptions (theories of change). For the latter, information is needed for determining whether the theories of change for the intervention are valid in reality.
2. What is the rational for doing a baseline study?
Baseline studies are essential to show that change has taken place – as they provide a point of comparison –, yet they are often neglected elements of the PME & L process.
Baseline studies are conducted in order to:[3]
3. How should a baseline study be done?
For conducting a baseline study, several steps need to be taken.
3.1 Baseline Plan[4]
To illustrate what information is needed, and how, where and by whom it can be collected a baseline plan can be used. A baseline study focuses on changes (expected) that are planned to take place through the intervention.
See below a framework for a baseline plan:
Baseline focus: As mentioned above, the primary focus of a baseline studies is the change that the intervention aims to bring about, i.e. expected results. Optionally, secondary changes and underpinning assumptions can be looked at.
Indicators: Depending on the focus of the baseline study, indicators may need to be developed. Indicators are used where an outcome cannot be measured directly (see indicator development) and are developed for the different levels of the results chain (see chain of results). As indicators are utilised in order to see changes that take place due to the intervention, the baseline study should establish what values indicators assume prior to starting activities. The baseline study will also serve to test indicators and determine whether refinements are necessary. In fact, there is no better time for changing indicators, because if changed later, the baseline data collected earlier could be rendered useless.
Data collection methods: This part of the plan describes the way in which the data will be collected, e.g. interviews, Focus Group Discussions, direct observation, analysis of statistics. The methods are selected depending on what information one wants to colect. There are qualitative and quantitative data collection methods. For instance, for quantitative indicators, quantitative data collection methods are used. It is an advantage to apply the same methods for the baseline as for the evaluation. Participatory methods should be used whenever possible. In some rare cases, the data needed for the baseline may already exist – be sure that you have a good overview of what information is already available. The methods used need to be explained and justified in detail in the baseline plan and in the baseline reports. When selecting data collection methods, the context of the intervention needs to be taken into consideration. This includes cultural aspects (for instance it might be necessary to conduct separate Focus Group Discussion for men and women) as well as security considerations (access for data collection).
For more information on data collection methods see: Bangura, Abdul Karim/Karbo, Tony Karbo/King, Mary E./Machakanja, Pamela/McCandless, Erin/Zelizer, Craig, "Synopsis of Peace and Conflict Research Methodologies", in: McCandless, Erin/Bangura, Abdul Karim (eds. with Mary E. King and Ebrima Sall), Peace Research for Africa: Critical Essays on Methodology, University for Peace Africa Program, Addis Ababa, 2007, pp. 125-208. <http://www.africa.upeace.org/documents/Peace_Research_for%20Africa.pdf> (accessed 15 April 2009)
Data source and quantity: This refers to where the data will be accessed and how many data sources will be used. For example: 6 teachers per school (3 schools), official police statistics etc.
Location of data collection: Refers to where the data will be collected, e.g. during training, in peoples’ homes, in the place of work or via email.
Conflict considerations: refers to issues specific to the conflict that may influence conducting the baseline study, e.g. security situation, implications of language selection, nationality of researchers, etc.
Means of analysis: This refers to the tools and methods used to analyse data. Here, common social science research tools, such as SPSS or Envivo, can be used.
Time needed: Refers to the number of days needed to implement each aspect of the baseline including analysing the data.
A budget for the baseline study should also be attached to the baseline plan.
Preparing this plan demands a considerable amount of energy and time! If it is done thoroughly, however, it will make starting monitoring much easier.
3.2 Conducting the baseline study
Once the baseline plan has been completed, the baseline study should be conducted in accordance with the plan.
When should a baseline study be carried out?
Ideally, the baseline study should take place some weeks before the implementation of a project starts. If the baseline study has to be done quickly, it can also be done at the same time as the first stages of the project. There should not be too much time between the baseline study and the implementation. In complex programmes, where several different changes are foreseen, resulting from activities that start at different times, a rolling baseline study can be considered. This means that the baseline is broken down in different parts depending on the different anticipated changes, and each part is implemented before the start of activities for each new change.
Who conducts the baseline study?
Ideally, the same individual or team who conducts the evaluation also conducts the baseline study in order to ensure continuity, accuracy and understanding. It is important that the baseline study is implemented in a professional way since it is the basis for many other stages in the project, refining the design as well as measuring change. If hiring an external professional to carry out the baseline study is not possible due to budgetary constraints, and if staff does not have the specialised skills, it can be an alternative to hire an external advisor who provides accompaniment for selecting methods, trains the data collectors and does a quality check on the analysis.
3.3 Analysis of the collected data and review of the result
Analysis of the data collected is one of the most important steps in a baseline study, and it is essential to make sure that adequate time and resources are allocated to it. Analysis involves putting together the data and interpreting the results in the broader context of the activity. It is important that the baseline study and the data collected are stored so that the one carrying out the evaluation can verify the conclusions and analyse the raw data.
Upon completion of data collection and analysis, the project team should meet to review the result and set targets for expected results and indicators. Also, refinements of the intervention design/planning might be necessary based on the results of the baseline study.
3.4 Formulation of report/sharing of results from the baseline study
The results of the baseline should be shared within the organisation and with the implementing partners. Donors and other stakeholders could also be interested in the results.
Sources
Church, Cheyanne/Rogers, Mark M., Designing for Results. Integrating Monitoring and Evaluation in Conflict Transformation Programs (Chapter 5: Baseline), Search for Common Ground/United States Institute of Peace/Alliance for Peacebuilding, 2006, pp. 61-80. <http://www.sfcg.org/programmes/ilr/ilt_manualpage.html> (accessed 14 April 2009).
Paffenholz, Thania/Reychler, Luc, Aid for Peace, A Guide to Planning and Evaluation for Conflict Zones, Baden-Baden: Nomos, 2007.
Australian Government and Australian Agency for International Development, AusGuideline, Activity implementation 4.2 Baseline studies, 2005 <www.ausaid.gov.au/ausguide/pdf/ausguideline4.2.pdf> (accessed 14 April 2009)
Footnotes
According to the OECD/DAC, a baseline study is “an analysis describing the situation prior to an intervention, against which progress can be assessed or comparisons made”.[1] Defined as such, baseline studies enable before/after comparisons in monitoring and evaluation. Baseline studies are therefore carried out before the implementation starts. The baseline study establishes the status of the intended change before the start of the project, but after it has been designed.[2]
A baseline study focuses on the expected results of an intervention, i.e. gathers information related to the different levels of the results chain. In addition, a baseline study can look at secondary changes, both negative and positive, that have not been intended by the programme as well as underlying assumptions (theories of change). For the latter, information is needed for determining whether the theories of change for the intervention are valid in reality.
2. What is the rational for doing a baseline study?
Baseline studies are essential to show that change has taken place – as they provide a point of comparison –, yet they are often neglected elements of the PME & L process.
Baseline studies are conducted in order to:[3]
- Compare baseline information with information gathered during monitoring and evaluation to prove that change has occurred over time.
- Set achievable and realistic targets for the expected results that have been defined in the results chain.
- Ensure accuracy and utility of indicators as baseline studies provide the opportunity to test developed indicators. It shows whether indicators are accurate lenses for seeing whether change has occurred.
3. How should a baseline study be done?
For conducting a baseline study, several steps need to be taken.
- Preparing a baseline plan
- Conducting the baseline study according to the baseline plan
- Analysis of the collected data and review of the results
- Formulation of report/sharing of results from the baseline study
3.1 Baseline Plan[4]
To illustrate what information is needed, and how, where and by whom it can be collected a baseline plan can be used. A baseline study focuses on changes (expected) that are planned to take place through the intervention.
See below a framework for a baseline plan:
| Baseline focus | Indicators | Data collection methods | Data source and quantity | Location of data collection | Conflict considerations | Means of analysis | Time needed |
| Change/Expected results: (Impact) Outcomes Outputs | |||||||
| Optional: Secondary changes | |||||||
| Optional: Underpinning assumptions/theories of change |
Baseline focus: As mentioned above, the primary focus of a baseline studies is the change that the intervention aims to bring about, i.e. expected results. Optionally, secondary changes and underpinning assumptions can be looked at.
Indicators: Depending on the focus of the baseline study, indicators may need to be developed. Indicators are used where an outcome cannot be measured directly (see indicator development) and are developed for the different levels of the results chain (see chain of results). As indicators are utilised in order to see changes that take place due to the intervention, the baseline study should establish what values indicators assume prior to starting activities. The baseline study will also serve to test indicators and determine whether refinements are necessary. In fact, there is no better time for changing indicators, because if changed later, the baseline data collected earlier could be rendered useless.
Data collection methods: This part of the plan describes the way in which the data will be collected, e.g. interviews, Focus Group Discussions, direct observation, analysis of statistics. The methods are selected depending on what information one wants to colect. There are qualitative and quantitative data collection methods. For instance, for quantitative indicators, quantitative data collection methods are used. It is an advantage to apply the same methods for the baseline as for the evaluation. Participatory methods should be used whenever possible. In some rare cases, the data needed for the baseline may already exist – be sure that you have a good overview of what information is already available. The methods used need to be explained and justified in detail in the baseline plan and in the baseline reports. When selecting data collection methods, the context of the intervention needs to be taken into consideration. This includes cultural aspects (for instance it might be necessary to conduct separate Focus Group Discussion for men and women) as well as security considerations (access for data collection).
For more information on data collection methods see: Bangura, Abdul Karim/Karbo, Tony Karbo/King, Mary E./Machakanja, Pamela/McCandless, Erin/Zelizer, Craig, "Synopsis of Peace and Conflict Research Methodologies", in: McCandless, Erin/Bangura, Abdul Karim (eds. with Mary E. King and Ebrima Sall), Peace Research for Africa: Critical Essays on Methodology, University for Peace Africa Program, Addis Ababa, 2007, pp. 125-208. <http://www.africa.upeace.org/documents/Peace_Research_for%20Africa.pdf> (accessed 15 April 2009)
Data source and quantity: This refers to where the data will be accessed and how many data sources will be used. For example: 6 teachers per school (3 schools), official police statistics etc.
Location of data collection: Refers to where the data will be collected, e.g. during training, in peoples’ homes, in the place of work or via email.
Conflict considerations: refers to issues specific to the conflict that may influence conducting the baseline study, e.g. security situation, implications of language selection, nationality of researchers, etc.
Means of analysis: This refers to the tools and methods used to analyse data. Here, common social science research tools, such as SPSS or Envivo, can be used.
Time needed: Refers to the number of days needed to implement each aspect of the baseline including analysing the data.
A budget for the baseline study should also be attached to the baseline plan.
Preparing this plan demands a considerable amount of energy and time! If it is done thoroughly, however, it will make starting monitoring much easier.
3.2 Conducting the baseline study
Once the baseline plan has been completed, the baseline study should be conducted in accordance with the plan.
When should a baseline study be carried out?
Ideally, the baseline study should take place some weeks before the implementation of a project starts. If the baseline study has to be done quickly, it can also be done at the same time as the first stages of the project. There should not be too much time between the baseline study and the implementation. In complex programmes, where several different changes are foreseen, resulting from activities that start at different times, a rolling baseline study can be considered. This means that the baseline is broken down in different parts depending on the different anticipated changes, and each part is implemented before the start of activities for each new change.
Who conducts the baseline study?
Ideally, the same individual or team who conducts the evaluation also conducts the baseline study in order to ensure continuity, accuracy and understanding. It is important that the baseline study is implemented in a professional way since it is the basis for many other stages in the project, refining the design as well as measuring change. If hiring an external professional to carry out the baseline study is not possible due to budgetary constraints, and if staff does not have the specialised skills, it can be an alternative to hire an external advisor who provides accompaniment for selecting methods, trains the data collectors and does a quality check on the analysis.
3.3 Analysis of the collected data and review of the result
Analysis of the data collected is one of the most important steps in a baseline study, and it is essential to make sure that adequate time and resources are allocated to it. Analysis involves putting together the data and interpreting the results in the broader context of the activity. It is important that the baseline study and the data collected are stored so that the one carrying out the evaluation can verify the conclusions and analyse the raw data.
Upon completion of data collection and analysis, the project team should meet to review the result and set targets for expected results and indicators. Also, refinements of the intervention design/planning might be necessary based on the results of the baseline study.
3.4 Formulation of report/sharing of results from the baseline study
The results of the baseline should be shared within the organisation and with the implementing partners. Donors and other stakeholders could also be interested in the results.
Sources
Church, Cheyanne/Rogers, Mark M., Designing for Results. Integrating Monitoring and Evaluation in Conflict Transformation Programs (Chapter 5: Baseline), Search for Common Ground/United States Institute of Peace/Alliance for Peacebuilding, 2006, pp. 61-80. <http://www.sfcg.org/programmes/ilr/ilt_manualpage.html> (accessed 14 April 2009).
Paffenholz, Thania/Reychler, Luc, Aid for Peace, A Guide to Planning and Evaluation for Conflict Zones, Baden-Baden: Nomos, 2007.
Australian Government and Australian Agency for International Development, AusGuideline, Activity implementation 4.2 Baseline studies, 2005 <www.ausaid.gov.au/ausguide/pdf/ausguideline4.2.pdf> (accessed 14 April 2009)
Footnotes
[1] OECD/DAC, Glossary of Key Terms in Evaluation and Results-based management, OECD, 2002, p. 18 <http://www.oecd.org/dataoecd/29/21/2754804.pdf> (accessed 15 April 2009)
[2] Church/Rogers, p. 62
[3] This is adapted from Church/Rogers, p. 64f.
[4] See here Church and Rogers, p. 68-76 (with adaptions)
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