Concern Universal
EXCEL
A PROCESS APPROACH TO EXCEL
Contents Page EXCEL strengthens/EXCEL ensures
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Introduction to EXCEL
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EXCEL Ideology
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Conventional/preferred approaches
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Using the EXCEL Framework
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Methodology
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How to use the EXCEL tool
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The EXCEL Wheel
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The Inner Hub
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How to run an Organisational Self Assessment
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Organisational Development Plan
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The first layer of the wheel
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The second layer of the wheel
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Key learning
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Mentoring
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Excel innovation
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EXCEL This handbook is based on the EXCEL project and has been produced for those interested and or involved in organisational development. Concern Universal has been implementing the EXCEL project over the last 4 years. It is based on the premise that development is an ongoing life process, fluid in nature and not something that can be orchestrated from “outside”. The project has exceeded expectations in many areas and as with most ventures into the unknown, some areas have had challenges . What has emerged from the experience is that EXCEL tools when used by an organisation committed to development can have an enormous impact. A number of organisations who have used the EXCEL methodology are now applying for funding independent of international NGO’s and are managing
multiple small
grants, where in the past they had relied entirely on funding through international donors/ NGO’s like Concern Universal. The tools are used by the organisations themselves to look inward, backward and forwards. Stakeholders in the organisation can then identify where they are and where they want to be. Used not only as a one off insight, EXCEL has now become part of one organisations annual review. Concern Universal is now reviewing partnership agreements and MOU’s to integrate into it an exit strategy for organisations whose capacity is so well developed they themselves should now take up the baton of capacity building with smaller organisations struggling to develop. We hope you will enjoy this synopsis of EXCEL.
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EXCEL strengthens …...
EXCEL strengthens organisational governance and management, the vision, mission and values of partner organisations, and enhances the connectivity of civil society to local government
•
EXCEL strengthens financial, human resource, office management, project management, fundraising, advocacy and media capacities of project partners •
EXCEL improves the self-sustainability of local CSO on a not-for-profit basis, through improved donor liaison capacity, project development and fundraising skills, •
•
EXCEL networks core groups of local CSOs who operate in similar sectors
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EXCEL ensures…...
•
EXCEL ensures that the NGO umbrella organisation (s), as an implementing partner benefit from the project approach and methods through implementing professional step-down training
EXCEL raises the awareness of and enables sectoraly networked groups to actively engage in policy dialogue and advocacy •
•
EXCEL supports Local Government Authorities (LGA’s) in strategic planning and Development of organizational plans through self assessment exercise
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Empowering Civil Society Organisations through Capacity Building and Network (EXCEL) Linkages (EXCEL)
The
EXCEL
project arose out of the need to ensure that the fast growing Concern Universal
programme in The Gambia and Senegal (CUTGS) maintained a focus on partnership and partner Organisational Development in tandem with its project work. At the time there was a growing recognition from both Concern Universal and partners that project funding / work was dominating partnership relationships and that Concern Universal was not adequately fulfilling its mandate of partner Organisational Development & Capacity Building with long term partner organisations as set out in the CU Partnership Guide. A key problem was that Project Managers tended to manage multiple partner projects (and partners often participated in multiple CU projects at the same time) which left very little time, energy, resources, etc. for Organisational Development and partnership relationships. Based on this analysis it was agreed to create a team within the country programme that would focus purely on partner Organisational Development working hand in hand with CU project managers and partner organisations. The project was based on twin objectives. The first was to build the capacities of The Association of Non Government Organisations (TANGO) as the national NGO umbrella organisation. The second objective was to pilot a working approach to Organisational Development in The Gambia (CU working with its partners) that could then be handed over to, and appropriated by TANGO for roll out to its members nationwide.
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Project Ideology The overall approach to Organisational Development adopted by the EXCEL project was largely inspired by an article written by Allan Kaplan of the Community Development Resource Association (CDRA) in South Africa entitled The Developing of Capacity. CDRA is highly critical of much that is done in the name of development. But instead of rejecting the concept of development CDRA is committed to building practice based on a particular and quite distinct understanding of it. Development is considered to be an innate and ongoing life process to be recognised, respected and worked with, to be unlocked and enhanced. It is not seen as something that can be created or delivered through projects designed from the outside. With this as a fundamental orientation, developmental practice is seen as a conscious, facilitative approach to social transformation. Effective developmental practice respectfully accompanies and supports people and their organisations, communities and movements, in their own efforts to realise their aspirations, make their choices and access their fair share of resources. And in so doing adding their contribution, more fully and equitably, to shaping an interdependent world for present and future generations .
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Before proposing useful approaches and reference frameworks for Organisational Development work Kaplan makes some thought provoking comparisons between a “conventional” approach to development and a “preferred” approach to development as well as capacity building “as a means to an end” or “as an end in itself”. These comparisons are humbly presented in a very summary fashion below but readers are invited to read the article published by CDRA. It is felt that these reflections were very relevant to A) the trend of being over focused on projects and under focused on partnership relationships and Organisational Development work with partner organisations, and, B) the need to firmly link Organisational Development work with poverty reduction or alleviation given that this is the mandate (in some shape or form) of CUSG and all partners and the general objective of the EXCEL project. A Kaplan, The Developing of Capacity, Community Development Resource Association (CDRA), 1999 http:// www.cdra.org
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Conventional versus Preferred Development Approaches “Conventional” development approach Notion of a “project” which is intended to assist “under developed” communities and countries to “become developed” in the sense of “catching up” with “developed” countries. Notion of development very much centred on economic development as the way forward to eradicate or at least reduce poverty.
Conventional approach fundamentally about the delivery of resources.
“Preferred” development approach
Notion of development as a continuous process centred on the development of people and that development in this sense cannot be imposed.
Preferred approach fundamentally about facilitating resourcefulness.
Capacity building as a means to an end
Capacity building as an end in itself
Some Northern donors/NGOs view Southern development organisations as delivery vehicles for plans and projects. Capacity in this sense essentially means the ability to deliver specified products often according to others’ specifications (absorption capacity).
Southern development organisations view themselves as important and viable organs of civil society, players whose role is to work towards social transformation, towards redress, towards a better deal for the marginalised, towards poverty alleviation and towards parity with respect to the dynamics of power. Capacity in this sense essentially refers to the ability of an organisation to function as a resilient, strategic and autonomous entity. The emphasis is on the capacity to organise rather than carry out a specific task although clearly the latter forms an essential part of organisational capacity.
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Using The EXCEL Framework The framework essentially sets out the elements which must be present and coherent for an organisation to be said to have capacity, or to be effective. These elements are arranged sequentially in a hierarchy of importance. This hierarchy is key in so far as towards the bottom of the hierarchy, one will see those things which are quantifiable, measurable, elements of capacity which can be easily grasped and worked with. If however, we turn our attention to the top of the hierarchy, we enter immediately an entirely different realm, the realm of the invisible. The elements at the top of the hierarchy are ephemeral, transitory, not easily assessed or weighed. They are to a large extent intangible, observable only through the effects they have. It is these aspects that by and large determine capacity.
Reviewing partner relationships
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EXCEL ORGANISATIONAL DEVELOPMENT REFERENCE FRAMEWORK
Development
Development
Organisations
Practitioners
Organisational Development Reference Framework: 1) IDENTITY - Conceptual Framework (context) - Organisational Attitude - Organisational Culture - Vision and Strategy
2) ORGANISATIONAL MANAGEMENT - Structures & procedures
3) ACTION - Skills
- Resources
Proactive
Organisational Development as a means to an end
as opposed to
But also
Reactive
As an end in itself
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Project Methodology The project methodology has evolved since project start but remains simple
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HOW to use the EXCEL TOOL Step one- Preliminary Assessment of the organisation This is a broad surface assessment of the organization, providing an insight into its structure, and identifying whether the organisation has the capacity to conduct step twoa self assessment Ideally the facilitator should be familiar with the organisation undertaking the self assessment. Prior to the assessment it is useful to: Collect and review key organisational documents in advance of the planned workshop. The day before the workshop spend a few hours carrying out one to one semi structured interviews with at least five or six key and junior staff before the self-assessment exercise. Three themes around which to ask probing questions could be: 1. “What do you like about the NGO?”, 2. “What don’t you like about the NGO?”, 3. “What would you do to improve the performance of the NGO?” This gives the facilitator a chance to become more aware on any “simmering” or indeed burning issues. It is important to get specific examples of problems being brought up and not to be content with vague complaints. Armed with this information the facilitator can then challenge the participants during the self-assessment if they feel that the participants are not bringing to the fore real issues. This can be a real issue for junior staff who may not wish to speak out in front of senior staff
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Following the initial pre-assessment
where partners are not at a level to conduct a self
assessment or develop an organisational development plan then assistance would be given to identify the way forward. Where the pre assessment identifies issues that may hinder progress on the organisational self assessment or development plan for example board/ management/ membership issues or the human resource to implement the ODP will need to be addressed.
EXCEL WHEEL
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The inner hub of the Wheel is facilitated by Organisational Self Assessments
(OSAs)
and
Organisational
Development
Plans
(ODPs). The OSA exercise helps an organisation (board, staff, resource persons, members, etc.) to take stock of their organisation using a detailed analytical tool that prescribes best practice in all areas of the OD reference framework. The way the exercises are facilitated ensures room for individual opinions and thus tends to tease out real issues and problems - over 100 questions about specific elements of the organisation with readymade answers or indicators for each question ranging from 1 = weak to 5 = strong that individuals note to give their own personal appreciation. The different appreciations are then discussed in plenary sessions to tease out issues and find a working consensus. Once this has been done some key problem areas are prioritised and problem statements are reformulated to read as tangible, achievable objectives that constitute the ODP. It was expressly decided to opt for facilitated OSAs (as opposed to external organisational evaluations) as this approach puts participating organisations firmly in charge of their own OD ambitions and plans. The OSAs & ODPs also serve as a documented organisational baseline for EXCEL that can be benchmarked and, in a very flexible manner, help organisations to articulate the support they need from
EXCEL to ensure positive organisational change.
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INNER HUB
Step two The Inner Hub
How to run an Organisational Assessment (OSA) This tool is designed to be used as a facilitated internal organisational evaluation or self assessment of local CSOs / NGOs. The exercise should take a minimum of three days The partner organisation should mobilise all staff from bottom to top and including board members. During the first day the facilitator must ensure that all participants understand the rationale behind the self assessment and they must feel free to express their own opinions. Each participant is provided with their own copy of the questionnaires to make their own independent score. Groups are generally used to analyse each aspect of the organisation. Groups of four – seven persons are recommended. To determine the composition of groups ask those participating to categorise all those involved in the exercise (board members, senior staff, project staff, support staff, members, resource persons, etc.) and then ensure maximum spread and representation of each category in each group. The facilitator will lead the exercise and go through each question explaining what is asked thoroughly to enable participants to make a judgement of what prevails within their organisation at the time. Each groups discusses their individual scores and agrees a group consensus score Question no
Score (group 1)
Score (group 2)
Score (group 3)
Consensus
1
4
2
3
3
2
5
4
4
4
3
2
1
4
2
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The facilitator will have drawn a grid on the flip chart with five columns. The first column has the question number, the next three columns are for writing the score given to the question by each of the three groups. The last column carries the consensus score which is arrived at after plenary discussion. The facilitator and the director / designated reporters of the NGO should enter this consensus score into their copy of the full evaluation grid. We chose this strategy because often on contentious issues people may be afraid to air their opinion in a group setting. However, if there are divergent opinions between each group then there is a better chance of these issues being discussed and the reasons teased out. Once the questionnaires have been completed and consensus scores reached then the discussion on what to do with the information gathered will begin and this is where the organisational development plan comes in.
) Consensus scores do not always agree with group scores identifying the need for further discussion. 17
Organisational Development Plan Following on from the OSA is the development of time bound Organisational Development Plan (ODP). Recommendations are formulated on the basis of organisational strengths and weaknesses identified in the assessment and are used to develop a clear and concise ODP as follows: •
Prioritise key problems or issues
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For each key problem identify specific problems that can be tangibly addressed
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For each specific problem articulate a specific time bound objective
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a series of specific actions
•
specific time bound success indicators
The following documents are designed to help the facilitator plan and run the three day workshops. Facilitators should familiarise themselves with these documents before planning a workshop and should keep them handy when facilitating: •
Constitution or Articles of Association
•
Board Manuals
•
Policies and procedures manuals
•
Registration with NGO Affairs and NGO Associations etc
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Organisational Development Planning (ODP) Staff at all levels plan the way forward
During the OSA and ODP process partners identified a number of areas that required additional support. For example some identified financial management as an area that required strengthening. For other partners it was access to a computer, basic computing skills
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FIRST LAYER
The first layer of the Wheel This is a series of documented support mechanisms. These are the main areas that we have identified over the last three years where organisations regularly need technical assistance. Support mechanisms vary in form and range from very well defined Terms Of Reference (TORs) to action research working groups to providing project management / external expertise to help an organisation think about a specific issue or address a specific problem area to a formal training manual. We have eight support mechanisms presented as the spokes of the Wheel and how we actually work (TORs / Action Research / support matrix / working groups / etc.) and whether this work is done by internal or external human resources is set out in the sub layers.
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The Second Layer of the Wheel Specific Trainings
IT
Hu ma nR e Ma nag sourc em e ent
Ad vocac y Pr o jec t
Cyc l
Fin anc ial ma nag em en t
Ma nag em
e
ent
Go ver na B oa
rd
nce
ma nu C a ls Po on stit lici es utio an n dp roc ed ure s
FU ND RA IS IN G
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Key Learning
Over
time it has become apparent that for many organisations the OSA
helps highlight serious issues, often around governance and / leadership, but that the ODPs are often too mechanical to help organisations work through these issues (chasing details without solving root problems). In these instances the approach is to shelve the ODP for a time and focus on the specific blockages. Once these blockages are sorted out there is often then scope to come back to more tangible areas of OD support and change. Some organisations we work with are in their second or third cycle of OSAs & ODPs while others are taking more time to focus on specific problems, and survive at the same time, before getting into the nuts and bolts of OD support and change.
THE original EXCEL project methodology was very focused on training with some mentoring and monitoring around the ODPs and application of the tailor made training modules. Over time it became apparent that training as the first foot forward was not producing results as organisations struggled to work the linkages between the trainings and internal practices and change. This prompted the switch to mentoring using the support mechanisms which in a nutshell means exposing organisations to relevant parts of the training modules at opportune moments in a manner that stimulates partners think through issues themselves. 22
to critically
Mentoring
Organisational
mentoring became the central feature of how we worked with or-
ganisations. Every organisation had one designated mentor who was responsible for mentoring and monitoring the OD processes with the organisation over time. The role of the mentor was to be a well accepted, competent and trusted individual who chaperons the internal OD processes and is the focal point for all interaction with the project and external assistance. At the end of the day the most important role of the mentor was in helping people to believe in themselves and their organisations and to have the confidence to embrace change which is not easy and is more often than not a case of one step backwards two steps forward as opposed to a linear process!
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Monitoring
Listening to the voices of the people
Excel monitoring and evaluating of the project can take many forms. In The Gambia at the end of year one partners undertook a self evaluation followed by a peer evaluation. This provided a stimulus for organisations as they were evaluating each others progress. In year two partners evaluated themselves against their organisational development plan and then presented their findings to a Concern Universal project manager. In year three a consultant was contracted to visit each EXCEL partner and undertake an evaluation with the project document and the organisational development plan as the benchmarks. In addition and conducted simultaneously to the consultants evaluation a people first impact evaluation was conducted. The People First Impact Tool or P-FIT went to the heart of the community in which a partner was working and asked the community themselves what changes they had seen in the partner. Issues that arose from this approach highlighted issues around partners communication with their beneficiary communities, 24
On a more regular basis mentors can link with the project coordinator and this in addition to the bigger annual monitoring events and usual monthly and quarterly financial and programmatic reports provide a more holistic view of a partners development and of project implementation and impact.
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EXCEL INNOVATION
Emanating from the 2009 EXCEL evaluations were regional partnership forums. In this setting the EXCEL partners shared the outcomes of the EXCEL evaluation with other EXCEL partners, civil society organisations, local government agencies and other NGOs operating in the locality. These events were used as a forum for other stakeholders, NGO’s government agencies to showcase their work and share important information. The added value of this has been the forging of networks and partnerships and better collaboration between different actors in development 26
Ousman Dan Fodio Street Fajara P.O. Box 2164 Serrekunda The Gambia Phone: (220) 4494 473 Acknowledgements: UKAID/DFID Nigel Hosford Programme Coordinator EXCEL EXCEL project and staff EXCEL Partners CU Staff Layout; Kay Sey Photography; Front cover Nigel Hosford Back cover and pg 26 VSO Volunteers Pages 7, 8,10, 19 Kay Sey Sketch on page 24 Ebrima “Jingal” Tamba
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WULLI And SANDU ASSOCIATION OPEN DAY FORUM UPPER RIVER region of The GAMBIA
EXCEL 28
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